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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

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Corrections & Revisions Log PES Administrative Manual, Version 2.X Date 2.28.2008 Description Changes from Version 2.0 to Version 2.1 Revision - Section 7. Evidence Handling Procedures: Evidence Generated in the Laboratory, C. Revised to reflect current procedures related to the release of gunshot residue patterns (press-outs). Revision - Section 11. Proficiency Testing Program. Revised to reflect current frequency standards regarding DNA analysts. Addition Section 22. Release of Reports Changes from Version 2.1 to Version 2.2 Revision Section 22. Release of Reports; to indicate format of the date stamp indicating release date Changes from Version 2.2 to Version 2.3 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. Authorized by Sliter

5.29.2008

Sliter

3.11.2009

Sliter

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EVIDENCE HANDLING PROCEDURES (rev. 3/11/2009) Physical Evidence Section 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 for the 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 delivery services, and lock boxes. 2. Conducts a basic audit of the submission form and other paperwork associated with 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, thereby alerting 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 laboratory examinations. 9. Transfers evidence to submitting agencies, or other entities as directed by submitting agencies or the courts. B. The Analytical Units have responsibility of the handling and storage of evidence while it is being analyzed. The Analytical Units: 1. Request and receive evidence from the ERU for the purpose of laboratory examinations. 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.)

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Evidence Seals A. Except as described below, evidence items submitted to the PES will be properly sealed 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-sealed plastic 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 storage locations, 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 personal control 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 analytical process. 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 submission form, or another agency generated document that provides the same basic case information (see below). Some agencies have their own submission and/or chain of 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 be completed 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.
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B. Items may be submitted in person, stored in secured "lock boxes" pending acceptance by 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 the submission paperwork. 2. In those instances when evidence is shipped, the shipping label showing tracking or 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 sealed when possible. 1. Evidence that is not properly sealed at the time of submittal from an outside agency 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 the evidence was resealed by the registrar will be noted on the submittal paperwork. 2. Under some circumstance, certain types of evidence tape may become loosened from containers during long-term storage. a. Provided that there is no associated risk of evidence loss/contamination, such loosened seals will be repaired and/or reinforced as needed. 3. If during storage evidence packages and/or seals receive damage that creates a risk 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 of action in these circumstances. E. The ERU performs an inventory of the submission to ensure administrative completeness. 1. The inventory will consist of a comparison of the submission form with the packages of evidence submitted, together with any associated agency paperwork that 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, at which 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 following information: Forensic Laboratory (FL) case number, unique item number(s) assigned to the evidence in the container based upon the submitting agencys paperwork, 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 be improperly packaged may be repackaged by the ERU to safeguard its integrity. 5. The ERU enters basic submission data into the computer system (including a brief description of evidence items and an assignment of item numbers). 6. An internal evidence transfer record is generated and, along with any agency chain of custody document, is attached to the evidence. 7. In a separate computer, the ERU will duplicate some administrative information and assign a storage location in the main evidence storage area. 8. Special handling tags or other method of labeling may be placed on evidence packages 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 is available 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, a representative 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 record remains with the evidence. B. Items analyzed by more than one of the Physical Evidence units are circulated in an order 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 evidence packages 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 submitted by 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 identified evidence 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 it originated from and tracks possession. B. Samples removed from evidence items and stored for possible future biological analysis may be stored in designated storage freezers. 1. Such samples will be stored in appropriately sealed containers, and a chain-ofcustody transfer record will be generated when such samples are transferred into and out of the storage freezer for the purpose of analysis. These original chainsof-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 laboratory generated evidence, and will be returned to the appropriate agency following the completion of analysis. Evidence Disposition A. When all analyses are complete, evidentiary items and the chain of custody/internal transfer record(s) are returned to ERU. 1. Evidence will be stored in either the main evidence storage room or the secondary storage facility pending final disposition (packaging, etc.) 2. Submitters will be notified (electronically, by mail, by phone or in person) that evidence is ready for pick-up. Evidence Release A. A transfer of accountability occurs when the submitter signs for the evidence using the 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.
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2. The original(s) of all internal custody documents will be kept in the central case files. B. Evidence is generally released by ERU to the submitter. However, there may be times when 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 to a 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 appropriate documents (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) Physical Evidence Section
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) Physical Evidence Section 1. Analytical reports issued by the Physical Evidence Section will be released following completion 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 will be 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 to indicate the official date of the reports release, as follows: "FILED <date>" 4. The Section Administration will mail or otherwise route copies of the date stamped reports to the report recipient(s) including cc recipients.

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