Records

6.1 General

The forensic science laboratory shall establish a system that will 

ensure that all records required by its quality system are 

maintained.
Some examples of records required by 

the accreditation criteria include case records, management review 

records,complaints, staff training records,quality assurance records 

(including qualitycontrol,proficiency testing,court testimony 

monitoring, corrective action, equipment maintenance and 

calibration records). The laboratory must document its policies for 

the identification, collection, access, storage, maintenance and 

disposal of records, whatever be their type and format. All records 

shall be legible and shall be stored and retained in such a way that 

they are readily retrievable in facilities that provide a suitable 

environment to prevent damage, deterioration or loss. All records 

must be accompanied by the identity of the person making the 

record. All observations and calculations shall be made by an 

initialed single strike out. Nothing in the handwritten information 

is to be obliterated or erased. Corrections to results, data etc. stored 

on computer must also be recorded. Retention times must be 

established and documented for all records but will not be less than 

three years. Central and/ or state legislative/judicial requirements 

may necessitate the retention of records for longer periods.

6.2 Case Records

The laboratory must maintain a case record in a designated location under unique case designator, usually a laboratory case number. Administrative and analytical documentation generated by a laboratory on a particular case constitute a case record. The laboratory must have documented policies regarding:

a. Describing its case designator system.

b.Detailing the information that is to be included in a case record. 

All data and observations and any other analytical or administrative records which support conclusions must be generated and kept by the laboratory. Examples of administrative records include records of case related conversations, evidence receipts, description of evidence, packaging and seals and other pertinent information. Examples of analytical records include reference to procedure(s) followed, test(s) conducted, standards and controls used, diagrams,
print outs, autoradiographs, photographs, observations and results of examinations. In general, the records required to support conclusions must be such that in the absence of the  analysts/ examiners any competent analyst/examiner or supervisor could evaluate what was done and interpret the data.

Where instrumental analyses are done, operating parameters must be recorded. Instrument charts and graphs on analyses that are batched (eg. Blood alcohol screening) may be more appropriately kept in a central location as specified in the laboratory's procedure manuals. Where appropriate observations or test results must be preserved by photography (eg. electrophoretic runs, physical matches), photocopies may also be suitable (eg. T.L.C. results questioned documents). When a test result or observation is rejected, the reason(s) must be recorded. 

Calculations and manual data transfers must be checked, preferably by a second person. The case record must include an indication that such checks have been performed.

The case record must include an indication that such checks have been performed. Each page of every document in the case record must bear the laboratory's unique case identifier and the analyst/examiner's name or initials. Laboratory generated examination records must be paginated using a page numbering system records must be paginated using a page numbering system indicating total number of pages. Since case notes and records of observations are subject to summons and/or scrutiny, they must be of a permanent nature. Handwritten notes and observations must be in ink not in pencil. Pencil (including colour) may, however, be appropriate for diagrams or making tracings. Abbreviations are acceptable only if they are readily comprehensible to a reviewer. It must be clear from case record when the work was performed (eg. Relevant date and where appropriate, time)

6.3 Computers

When computers are used for capturing, processing, manipulation, recording, reporting, storage or retrieval of test/examination data or other information pertaining to an investigation, the laboratory must ensure that:

a. The requirements of the accreditation criteria are met

b. Computer software is documented in sufficient detail and 
validated or otherwise checked as being adequate for use.

c. The computer is appropriately maintained to ensure proper 
functioning.

d. Appropriate procedures are documented and implemented to 
maintain the integrity and the security of the data including the prevention of unauthorized access to and amendments of computer records.