CASE TRACKING WORKSHEET

Compliance with many of the ASCLD/LAB criteria can be addressed through case tracking. The inspection team can effectively use active cases as a road map. Through a review of several case files and the laboratories written procedures, coupled with staff interviews and direct observation by the inspection team the following criteria can be addressed: Case Tracking Questions to Address How was evidence received? Where? When? From? To? How documented? Evidence marked for ID? When? By whom? Evidence sealed? How? When? By whom? Evidence stored in vault? Where located? When? By whom? How documented? Is evidence stored to prevent contamination/change? Refrig/Freeze? Who has access to vault? Key records? When re-keyed? Policy on lost keys? How is case assignment made? By whom? How documented? How is case entry/management/tracking done? Who has access? File storage? Evidence removed for analysis? By whom? When? Where taken to? How documented? Is there an internal chain tracking location of evidence within lab? How recorded? Evidence storage during analysis? Where? Access by whom? How recorded? Who has access to overnight storage location? Staff? Janitorial? Etc? Are written technical procedures being followed? Are the technical procedures accepted in field? Have the new procedures been validated? By who? Validations on file? Are the standards/controls specified? Being used/ documented? Are standards adequate? Are they routinely checked? Reagent records current? Are instruments adequate? In working order? Calibration records current? Are case notes complete? Support conclusions? Unique Id? Each page idd/examiners handwritten initials? Notes in ink? Corrections done by strike out/initials? Administrative information in retrievable form? Evidence Receipts? Subpoenas? Case related conversations? Do relevant pages of examination documentation identify each person who issued findings based upon examination documentation generated by another person? Are written reports generated for all analytical work performed? Are associations communicated clearly and qualified properly? Do authors names appear in reports? Has the report been technical reviewed? By whom? How recorded? Lab policy on technical review? Has report been administratively reviewed? By whom? How recorded? Has the analyst undergone annual proficiency testing in this discipline? When? Records? Has the analyst been competency tested prior to beginning casework in this discipline? When? Records? Did the laboratory successfully complete at least one annual test from an approved test provider in this discipline? When? Records? Does the analyst have a Baccalaureate degree? Transcript for DNA required courses? Does the analyst understand the instruments/methods/procedures? Criteria 1.1.2.3 1.4.1.1 1.4.1.2 1.4.1.3 1.4.1.1 1.4.1.5 1.4.1.4 1.4.1.5 3.3.4 1.2.2.5 1.1.2..12 1.4.1.1 1.4.1.1 1.4.1.5 3.3.4 3.3.1 1.4.2.7 1.4.2.5 1.4.2.6 1.4.2.8 1.4.2.9 1.4.2.10 1.4.2.11 1.4.2.12 1.4.2.13 1.4.2.14 1.4.2.15 1.4.2.16 1.4.2.17 1.4.1..14 1.4.2.18 Case File Interview Written Procedure Direct Observation Comments

1.4.2.19 1.4.2.20 1.4.2.21 1.4.2..22 1.4.2..23 1.4.3.1 2.X.4 2.5.5 2.X.3 2.5.4 1.4.3..3

2.X.1 2.5.2 2.X.2 2.5.3

Case Tracking Worksheet (Appendix 6-4) Approval Date: January 10, 2006 Approved By: Executive Director

Page 1 of 1 Effective Date: January 22, 2007 AL-OD-5025-Ver 1.0