Self-disclosures

What laboratories must disclose

Key definitions

Both apply when a forensic analyst or crime laboratory, through a material act or omission, fails to follow the standard of practice an ordinary forensic analyst or crime laboratory would have followed, and the act or omission would substantially affect the integrity of the results of a forensic analysis. The difference is awareness.

Professional negligence

The forensic analyst or crime laboratory, through a material act or omission, negligently failed to follow the standard of practice that an ordinary forensic analyst or crime laboratory would have followed, and the negligent act or omission would substantially affect the integrity of the results of a forensic analysis.

Negligent when the analyst or laboratory should have been, but was not, aware of an accepted standard of practice.

Professional misconduct

The forensic analyst or crime laboratory, through a material act or omission, deliberately failed to follow a standard of practice that an ordinary forensic analyst or crime laboratory would have followed, and the deliberate act or omission would substantially affect the integrity of the results of a forensic analysis.

Deliberate when the analyst or laboratory was aware of, and consciously disregarded, an accepted standard of practice.

How disclosures are reviewed

Before each quarterly Commission meeting, staff drafts three memoranda to inform members about incoming communications.

1. 1

   Complaint / Disclosure Memo

   Outlines the facts of each self-disclosure received by staff, with the staff recommendation for disposition. Possible dispositions:

   • No further action (where the laboratory's response is sufficient)
   • Investigate the self-disclosure and publish a report
   • Table the self-disclosure pending additional information
   • Require further action by the laboratory as needed to fully address the issues raised in the self-disclosure

   Deadline: to be included in a quarter's meeting materials, a complaint or self-disclosure must be received 15 days before the scheduled quarterly meeting.

2. 2

   Accreditation Memo

   Summarizes accreditation-related activities, such as the results of on-site assessments or surveillance visits. If staff believe an item submitted for the Complaint / Disclosure Memo does not meet the definition of items requiring self-disclosure, the item may be moved to this memo.

3. 3

   Proficiency Monitoring Memo

   Summarizes all non-consensus proficiency monitoring results and places each in one of these categories:

   1. Method not used in casework
   2. Answer outside acceptable or validated reporting limits
   3. Test provider or manufacturing error
   4. Clerical mistake by the analyst or test participant with no impact on competency
   5. Non-consensus results that may impact the competency or proficiency of the analyst or test taker
   6. Individual test taker not yet authorized for the method or technology
   7. DNA mixture interpretation

   Most non-consensus proficiency test results submitted as self-disclosures are moved to this memo. The exceptions, which are exceedingly rare, are results that raise questions about the integrity and reliability of the laboratory's forensic analysis, or that involve professional misconduct.