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Scientific Working Group for Forensic Anthropology (SWGANTH)

Laboratory Management and Quality Assurance

Issue Date: 06/25/2011

Revision: 1

Laboratory Management and Quality Assurance

1.0 Principle, Spirit and Intent

The laboratory should carry out its testing activities in such a way as to meet professional 

standards while satisfying the needs of the contributor and the regulatory authorities or 

organizations providing recognition. The integrity of the laboratory’s procedures, 

policies, and field and laboratory testing should remain above reproach at all times.

2.0 Purpose and Scope

These guidelines apply to all forensic anthropology laboratories regardless of the number 

of personnel or the extent of the scope of testing. Practitioners of forensic anthropology, 

especially sole practitioners, may have varying needs and constraints regarding the 

forensic anthropology laboratory with which they are associated. Practitioners of 

forensic anthropology should implement these guidelines to the fullest extent as 

applicable, practical and appropriate. In the absence of specific guidelines or in the case 

of conflicting procedures, the principle, spirit and intent should be met.

3.0 General Principles

This document outlines general guidelines and best practices recommended for effective 

management of a forensic anthropology laboratory and associated activities. A forensic 

anthropology laboratory is defined as a laboratory involved in the recovery and/or testing 

of human skeletal remains of medicolegal significance. The overall effectiveness of a 

forensic anthropology laboratory, balanced with the optimal use of resources, is 

predicated on sound and established management principles, including a quality

assurance program. 

4.0 Best Practices

4.1 Defining the Laboratory

The following should be in place and/or defined to establish the institutional nature of the 

laboratory:
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4.1.1 Mission Statement

The laboratory should have a concise statement defining the purpose of the laboratory in 

relation to its contributors. The mission statement may be generated by the laboratory, its 

higher headquarters, the establishing or legislative organization responsible for its 

creation or charter, and/or other body or organization relevant to the laboratory.

4.1.2 Functions

The laboratory should have a list of tasks performed or services provided in order to 

fulfill its mission. Functions explain how the laboratory achieves it mission and 

objectives. Functions should support the mission and be reflected in the organization of 

the laboratory. 

4.1.3 Organization

The laboratory should have a clear and unambiguous internal organization and chain of 

command. 

4.1.4 Personnel

The laboratory should define and describe personnel who it employs or utilizes. The 

authority, responsibilities, and resources of managerial and analytical/technical personnel 

needed to carry out the laboratory’s mission should be defined. The laboratory should

maintain current job descriptions to include education, expertise, qualifications and 

experience required, as well as job responsibilities.

4.2 Code of Ethics

The laboratory should adopt a code of ethics (or however named). The code should 

address avoidance of involvement in any activities that would diminish confidence in the 

competence, impartiality, judgment or operational integrity of the laboratory. 

4.3 Standard Operating Procedures

The laboratory should write, maintain, and regularly review Standard Operating 

Procedures (SOPs). SOPs should specify steps and materials used to ensure uniform 

quality of the process or product. A laboratory’s SOPs should contain the following 

components: 

4.3.1 Safety

The laboratory should have, and demonstrate use of, a health and safety program that 

addresses personal safety, appropriate environmental concerns and compliance. The 

safety program should minimize, to the greatest possible extent, the risk of accident or 
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injury and allow the laboratory to operate in a manner that protects its staff, collateral 

personnel, property and the public at large. 

4.3.2 Security

The laboratory should have practices for routine security measures for access to the 

laboratory building and areas where physical evidence is processed and/or stored

(including buildings, rooms, cabinets, lockers, refrigerators). Only authorized individuals 

should be allowed to enter an evidence storage area unescorted. 

4.3.3 Evidence Handling

The laboratory should have policies and procedures for the transportation, receipt, 

handling, protection, storage, retention and/or disposal of items of evidence. These 

policies should protect the evidence from loss, cross-transfer, contamination or 

deleterious change, as well as protect the interests of the laboratory and the customer.

4.3.4 Case Management

The laboratory should have a system for managing casework and workflow. This may 

include reviewing examination requests for appropriateness and probative value prior to 

examination, assessing the priority of cases, assigning examinations to analytical and/or 

technical personnel, and handling non-skeletal material and/or evidence that is beyond 

the scope of the laboratory function 

4.3.5 Equipment Calibration, Performance Checking and Maintenance

The laboratory should be furnished with sampling, measurement, and testing equipment 

and related materials required for the correct performance of its tests. The laboratory 

should have policies and procedures that address the calibration, performance, and 

maintenance of its equipment and reference materials used during testing and at recovery 

scenes. In cases where the laboratory needs to use equipment outside its permanent 

control, suitable precautions should be taken to ensure the functional accuracy of the 

equipment, as appropriate.

The laboratory should maintain a list of equipment that requires calibration, performance 

checking and maintenance including each instrument’s serial number or other unique 

identification, and type or name of instrument. A log of calibration, performance 

checking, maintenance and instrument repair should also be maintained. Instruments or 

equipment should not be used for casework if satisfactory calibration, performance and 

maintenance cannot be achieved.
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4.3.6 Standard Tests

The laboratory should have written procedures pertaining to standard tests used and the 

reporting of results. These procedures should consist of appropriate test methods for all 

tests performed. 

All test methods/procedures used by the laboratory should be considered standard if they 

have been subjected to external peer review and publication, are recognized by the 

profession as established, or have been approved following satisfactory results of an 

internal validation study that has been adequately documented. When feasible, tests 

should be performed by the practitioner without a priori knowledge of potentially biasing 

information. 

The laboratory should archive and store all standard test methods/procedures to include 

instructions on the use and operation of all relevant equipment, and on the handling and 

preparation of items being tested, where the absence of such instructions could jeopardize 

the results of the tests. 

4.3.7 Competency and Proficiency Testing

The laboratory should have a program and procedures for competency testing and 

external and/or internal proficiency testing that evaluates practitioners’ capabilities and 

performance. These procedures should contain a list of testing areas and frequency, and a 

description of the test evaluation processes. A record of competency and proficiency test 

examinees and results should be maintained. Corrective action should be taken following 

unsuccessful tests.

All analytical and technical personnel should complete initial competency tests prior to 

independently conducting casework. These tests should evaluate the practitioner’s 

capabilities and performance in each area in which he/she will perform casework. 

All analytical and technical personnel should complete proficiency tests at regular 

intervals. These tests may be external or internal and should test the practitioner’s 

capabilities and performance in each area in which he/she routinely performs casework to 

ensure maintenance of the analyst’s skill set. Proficiency tests may also serve as a check 

of SOPs as well as equipment. Proficiency tests are not recommended for non-routine 

procedures. Individuals who prepare internal proficiency tests are also subject to testing 

and should take an external proficiency test or an internal test prepared by another 

individual.

4.3.8 Preventive and Corrective Action

The laboratory should have preventive action policies and procedures that take a 

proactive approach to identifying and mitigating problems before they occur. Preventive 

action may involve analysis of data, including trend and risk analyses, proficiency test 

results, audit findings and observations, and other quality control data, as appropriate. 
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Where these are found to be outside pre-defined criteria, planned preventive action 

should be taken to prevent problems. When improvement opportunities are identified or 

if preventive action is required, plans should be developed, implemented, and monitored 

to reduce the likelihood of the occurrence of such non-conformances and to take 

advantage of the opportunities for improvement. All preventive action should be 

documented.

The laboratory should also have policies and procedures for implementing corrective 

action when nonconforming work, departures from the policies and procedures, or 

problems with technical operations have been identified. The procedure for corrective 

action should start with cause analysis. Potential causes may include, for example, poor 

methods or procedures, untrained or unskilled staff, poor equipment maintenance or 

miscalibration, lack of management involvement or supervision, inadequate supplies, 

high operations tempo, inadequate facilities, or unrealistic requirements (i.e. operations 

outside the scope of the laboratory functions). When corrective action is needed, the 

laboratory should select and implement the action(s) most likely to eliminate the problem 

and to prevent recurrence. Corrective actions should be to a degree appropriate to the 

magnitude and risk of the problem. Corrective action may be taken with regard to 

personnel or technical and non-technical procedures. All corrective action should be 

documented.

4.3.9 System Audits 

The laboratory should have policies and procedures for the conduct of audits. An audit is 

an inspection used to evaluate or verify any activity related to quality assurance. Audits, 

which may be internal or external, are conducted with the aim of providing the laboratory 

with an evaluation of performance against existing standards. Audit policies should 

include a defined scope and a regular schedule. 

4.3.10 Technical and Administrative Reviews

The laboratory should have policies and procedures for regularly scheduled external 

and/or internal technical and administrative reviews of tests and field reports. A technical 

review is an evaluation of a test and/or field report and applicable supporting 

documentation (e.g., analytical notes) for adherence to and consistency with laboratory 

policies, while administrative reviews focus on editorial correctness. The two reviews 

may be combined into one process.

4.3.11 Court Testimony Monitoring

Members of the laboratory who testify in deposition or in open court should have their

testimony monitored and/or reviewed regularly by a suitable member of the laboratory 

staff or by a key member of the court, as appropriate, and results should be documented. 

The laboratory staff should undergo periodic training and/or receive continuing education 

to this effect. 
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4.3.12 Satisfaction Assessment

Services provided by the laboratory should be assessed by the contributors who have

submitted evidence. This can be accomplished through telephonic conversations, surveys, 

evaluations, etc., and can assist in determining areas in which the laboratory could 

potentially improve its services.

4.3.13 Deviations from Standard Procedures

Occasionally, the recovery and testing of skeletal remains requires deviation from 

established standards. The following should be considered when deviating from standard 

procedures:

 Where possible, the practitioner should obtain prior approval from the laboratory 

management to deviate from the standard. 

 When it is impractical or impossible to consult laboratory management, the 

practitioner should exercise professional judgment in a manner designed to best 

uphold the principle, spirit and intent of the procedures to minimize any adverse 

impact that may arise from such deviations.

 Deviations from the standard should be adequately documented.