SWIFS Physical Evidence Section Administrative Manual v2.3 (03.11.2009) 45 Pages - Re Formatted

8/2/2019 SWIFS Physical Evidence Section Administrative Manual v2.3 (03.11.2009) 45 Pages - Re Formatted

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Physical Evidence Section

Administrative Manual, Version 2.3

(3.11.2009)

Approved by:

Timothy J. Sliter, Ph.D., Chief of Physical Evidence

Karen Young, Quality Manager

This is an uncontrolled copy of a controlled document


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Corrections & Revisions LogPES Administrative Manual, Version 2.X

Date Description Authorized by

2.28.2008 Changes from Version 2.0 to Version 2.1

Revision - Section 7. Evidence HandlingProcedures: Evidence Generated in theLaboratory, C. Revised to reflect current

procedures related to the release of gunshot

residue patterns (press-outs).

Revision - Section 11. Proficiency TestingProgram. Revised to reflect current frequency

standards regarding DNA analysts.

Addition Section 22. Release of Reports

Sliter


Revision Section 22. Release of Reports; toindicate format of the date stamp indicatingrelease date

Sliter


Revision to Section 7. Evidence Handling.Reorganization and rewording to improve

clarity; clarification of requirements regarding

notification requirements in the event of damage

to seals and packages.

Sliter



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EVIDENCE HANDLING PROCEDURES (rev. 3/11/2009)


Evidence is received from external agencies, and from internal units of the Institute

(Forensic Chemistry Section & Medical Examiners Office).

Responsibilities

A. The Evidence Registration Unit (ERU) is the unit that has primary responsibility forthe receipt, storage and disposition of items submitted to the Physical Evidence

Section (PES) for analyses. The ERU:

1. Receives evidence from submitters via in person transfers, package deliveryservices, and lock boxes.

2. Conducts a basic audit of the submission form and other paperwork associatedwith submissions, thereby determining what items of evidence have been

submitted and what requests for analysis are associated with them.

3. Initiates internal transfer chain documents.4. Logs received evidence into the Dallas County computer system from which a

unique Forensic Laboratory (FL) case number is derived and individual item

number(s) assigned.

5. Provides the appropriate technical units with copies of submittal forms, therebyalerting them that evidence is available for analyses.

6. Labels evidence packages with the appropriate FL# and item number(s).7. Stores evidence pending transfer to the analytical units, and maintains a computer

database of storage locations.

8. Receives evidence from the analytical units following completion of laboratoryexaminations.

9. Transfers evidence to submitting agencies, or other entities as directed bysubmitting agencies or the courts.

B. The Analytical Units have responsibility of the handling and storage of evidencewhile it is being analyzed. The Analytical Units:

1. Request and receive evidence from the ERU for the purpose of laboratoryexaminations.

2. Store evidence during the process of laboratory examinations.3. Return evidence to the ERU following completion of laboratory examinations.4. Provide long-term storage of evidence items requiring freezer storage conditions

(test samples for DNA analysis, soft tissues, etc.)


Evidence Handling (rev. 3.11.2009)11



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Evidence Seals

A. Except as described below, evidence items submitted to the PES will be properlysealed while under the control of the PES. A properly sealed container is one whose

openings are secured so as to:

1. Prevent undetected access to the contents of the container.2. Prevent loss of evidence inside the container.3. Prevent contamination of evidence inside the container.4. Additionally, the package closures will be initialed or signed by the individual

responsible for the closure.

B. Typically, tamper evident closures will involve tamper evident tape or heat-sealedplastic bags.

1. Other types of tamper evident closures are possible, however.C. The requirement for proper seals applies to evidence packages that are:

1. Stored in common-use areas (evidence vaults, shared laboratory evidence storagelocations, etc.).

2. Transferred between individuals.D. The requirement for proper seals does not apply to evidence packages that are:

1. Stored analysts personal storage areas. Such packages are under the personalcontrol of the analyst who has signed for them on the internal transfer chain.

2. Evidence that is transferred between analysts as part of a collaborative analyticalprocess.

Evidence Submission to Physical Evidence Section

A. General.1. The ERU routinely receives evidentiary items submitted for analysis from the

Medical Examiner and law enforcement agencies throughout the state of Texas.Inasmuch as the Institute is a "fee for service" organization, evidence can be

received from agencies outside the state of Texas, attorneys or private individuals.

2. Each laboratory submission must be documented by an evidence submissionform, or another agency generated document that provides the same basic case

information (see below). Some agencies have their own submission and/or chainof custody forms which may be used in lieu of the PES submission form.

3. The evidence submission form is normally filled out by the submitter, but can becompleted by an Evidence Registrar or another Institute staff member in unusual

circumstances, namely submissions from individuals who would not have access

to the PES form.

4. The original of the submission form will be maintained in the case folder.Physical Evidence Section 12

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B. Items may be submitted in person, stored in secured "lock boxes" pending acceptanceby the PES or sent via certified mail/Fed Ex/UPS or other courier services.

1. When submitted in person, a signature of the submittor will included be on thesubmission paperwork.

2.

In those instances when evidence is shipped, the shipping label showing trackingor control numbers will be removed from the outside packaging and be made a

part of the case file.

C. The submission paperwork should have the following:1. A description/listing of the evidence being submitted into the laboratory.2. A description of the analysis being requested.3. Sufficient information to link the evidence to a specific incident (e.g. agency

name, agency case number, complainant's name, date of offense).

4. A means of contacting a responsible individual at the investigating agency, (e.g.,lead investigator's name, phone number, mailing address, etc.).

D. Evidence containers transferred in person from customers to the ERU must be sealedwhen possible.

1. Evidence that is not properly sealed at the time of submittal from an outsideagency will be properly sealed by the ERU as soon as circumstances permit.

a. The seal condition at the time of evidence receipt and the fact that theevidence was resealed by the registrar will be noted on the submittal

paperwork.

2. Under some circumstance, certain types of evidence tape may become loosenedfrom containers during long-term storage.

a. Provided that there is no associated risk of evidence loss/contamination, suchloosened seals will be repaired and/or reinforced as needed.

3. If during storage evidence packages and/or seals receive damage that creates arisk of evidence loss and/or contamination, the Section Chief will be notified

immediately.

a. It will be the Section Chiefs responsibility to determine the proper course ofaction in these circumstances.

E. The ERU performs an inventory of the submission to ensure administrativecompleteness.

1. The inventory will consist of a comparison of the submission form with thepackages of evidence submitted, together with any associated agency paperworkthat may describe in greater detail the evidence being submitted.

2. Evidence registrars will not perform a direct physical inventory of evidence items.They may, however, open outer packaging that contains sealed evidence

containers in order to inventory the inner containers.

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a. On occasion, a package thought to be an outer package may be opened, atwhich time it is discovered to contain evidence items (not evidence

containers). These packages will be immediately closed and sealed.

3. Once inventoried, the evidence containers will be marked with the followinginformation: Forensic Laboratory (FL) case number, unique item number(s)

assigned to the evidence in the container based upon the submitting agencyspaperwork, date and the initials of the ERU staff performing this operation.

4. Evidence that is not received directly from an individual and is found to beimproperly packaged may be repackaged by the ERU to safeguard its integrity.

5. The ERU enters basic submission data into the computer system (including a briefdescription of evidence items and an assignment of item numbers).

6. An internal evidence transfer record is generated and, along with any agencychain of custody document, is attached to the evidence.

7. In a separate computer, the ERU will duplicate some administrative informationand assign a storage location in the main evidence storage area.

8. Special handling tags or other method of labeling may be placed on evidencepackages as necessary to direct attention to potential hazards or special handling

requirements (e.g., Biohazard, Fingerprinting, etc.).

9. Following completion of the above steps, units are notified that evidence isavailable for analyses by placing a copy of the submission form in their respective

distribution boxes.

Evidence Storage

A. Once processed, evidence will normally be stored in the ERU.1. The storage areas can be on either the third or fourth floor.2. Exceptions can be made to this policy when circumstances dictate (e.g. fetal

tissue, autopsy tissue, etc.).

3. Regardless of storage location, evidence will be kept under proper seal.Evidence Distribution & Storage

A. When a technical unit is ready to collect the evidence in order to perform analyses, arepresentative will communicate a request for evidence to the ERU.

1. The ERU identifies the shelf and bin number and retrieves the evidence.2. Transfer of responsibility for the evidence is recorded as both representatives sign

the internal transfer record.

3. A copy is made for the central case file. The original internal transfer recordremains with the evidence.

B. Items analyzed by more than one of the Physical Evidence units are circulated in anorder dictated by the needs of the case and as determined by the scientists.

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C. When not actually being examined, evidence will be secured in the analysts'temporary evidence storage locker. Inasmuch as each unit is monitored by an

electronic security system during non-business hours, large sealed items that cannot

fit in the temporary evidence lockers may be stored temporarily in the technical unit.

D. Pending analysis or return to the Evidence Registration Unit, sealed evidencepackages may be stored in laboratories in designated community storage areas.

Evidence Generated in the Laboratory

A. Additional evidence may be discovered or collected from items of evidence submittedby customers (e.g. hairs removed from clothing, stains cut from garments, etc.).

1. Whenever practical, these items will be returned to the investigating agency,packaged with the original evidence and an annotation made on the original chain

of custody document that additional packaging accompanies the original item.

2. No separate chain of custody document is required unless the newly identifiedevidence is to be separated from the original article. In that instance its transfer

must be documented using the internal chain of custody that identifies where itoriginated from and tracks possession.

B. Samples removed from evidence items and stored for possible future biologicalanalysis may be stored in designated storage freezers.

1. Such samples will be stored in appropriately sealed containers, and a chain-of-custody transfer record will be generated when such samples are transferred into

and out of the storage freezer for the purpose of analysis. These original chains-

of-custody will be maintained in the central case file.

2. Movement of containers as part of maintenance of the freezer storage area(defrosting, etc.) will not be documented on chain-of-custody transfer records.

C. Gunshot residue patterns (press-outs) will be handled as other items of laboratorygenerated evidence, and will be returned to the appropriate agency following thecompletion of analysis.

Evidence Disposition

A. When all analyses are complete, evidentiary items and the chain of custody/internaltransfer record(s) are returned to ERU.

1. Evidence will be stored in either the main evidence storage room or the secondarystorage facility pending final disposition (packaging, etc.)

2. Submitters will be notified (electronically, by mail, by phone or in person) thatevidence is ready for pick-up.

Evidence Release

A. A transfer of accountability occurs when the submitter signs for the evidence usingthe internal transfer document and/or any submitter-unique chain of custody

documents if they exist.

1. The original of the submitter's accountability form will remain with the evidence.Physical Evidence Section 15

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Evidence Handling ( rev. 3.11.2009)16

2. The original(s) of all internal custody documents will be kept in the central casefiles.

B. Evidence is generally released by ERU to the submitter. However, there may be timeswhen evidence still in the possession of an analyst may be directly released to the

submitter. Likewise, the original submitter may request that evidence be released to

someone else (e.g. court for introduction at trial). Authorization to release evidence toa third party must be made in writing. In every case, the internal chain of custody

forms will record the actual transfer.

C. Evidence may be shipped or mailed to the submitter along with any appropriatedocuments (e.g. agency chain of custody, copy of reports, etc.). Copies of shipping

documents will be affixed to the internal chain of custody document(s) and remain in

the case jacket.



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PROFICIENCY TESTING PROGRAM (Revised 2.28.2008)


Proficiency tests are a valuable management tool and as such, must be completed in a

timely manner. Forensic scientists who are involved in case work will be subjected to at

least one proficiency test per calendar year (January - December).

DNA analysts will perform DNA proficiency tests at the frequency established by FBI

Directors Quality Assurance Standards for Forensic DNA Testing Laboratories.

Subscriptions to external proficiency testing will be coordinated with and ordered by the

Quality Manager.

Upon receipt of a proficiency test, a Physical Evidence Section case number will be

assigned to that test. Once assigned to an analyst the proficiency test will be completed as

soon as is practical. Accordingly, they will be given a priority similar to the practices

employed when ordinary cases are designated as being "RUSH."

It will not be acceptable for deadline dates to be missed without prior knowledge and

concurrence of the Chief of Physical Evidence.

For external proficiency tests, upon completion of the test, the results will be returned to

the test provider with a copy of the entire file including supporting documentation given

to the Quality Manager.

For internal proficiency tests (including those obtained from outside vendors/sources),

the results will be submitted to the Quality Manager.

As with all cases, a billing sheet will be prepared. Charges will be assessed to "DALLAS

COUNTY NB/FS.

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Release of Analytical Reports (5.29.2008)


1. Analytical reports issued by the Physical Evidence Section will be released followingcompletion of all required technical, administrative, and supervisory reviews as specified

by the Institute Quality Management Program and the procedures of the individual

analytical units.

2. Completed analytical reports together with their supporting documentation packages willbe forwarded by the analytical units to the Section Administration Office for release.

3. The Section Administration Office will date stamp the front page of each report toindicate the official date of the reports release, as follows: "FILED "

4. The Section Administration will mail or otherwise route copies of the date stampedreports to the report recipient(s) including cc recipients.


SWIFS Physical Evidence Section Administrative Manual v2.3 (03.11.2009) 45 Pages - Re Formatted

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Transcript of SWIFS Physical Evidence Section Administrative Manual v2.3 (03.11.2009) 45 Pages - Re Formatted