Template:LIMSpec/Forensic case and data management

Regulation, Specification, or Guidance Requirement ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 5.8.4.3 ASTM E1188-11 3.2.3 ASTM E1188-11 3.4.1 ASTM E1459-13 2.1 ASTM E1459-13 4.1.1–2 ASTM E1459-13 4.1.4.2 ASTM E1459-13 4.2.2–3 ASTM E1492-11 4.1.1 ASTM E1492-11 4.1.5 21.1 The system shall be able to assign each piece of collected evidence and each scene a unique identifier using methodologies such as an ID with an incrementing integer (for sequential evidence numbers) or a user-defined naming format for meeting regulatory requirements. A2LA C223 4.13 ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 4.13.2.6–10 ASTM E1492-11 4.1.1 21.2 The system shall be able to assign each case a unique case identifier that, in addition to an electronic signature, is able to be automatically placed on, at a maximum, each page of the case's associated examination and administration records. A2LA C223 4.13 ASTM E1492-11 4.1.1.1–2 ASTM E1492-11 4.1.4–5 ASTM E1492-11 4.2.2–3 ASTM E1492-11 4.5.1.1 21.3 In addition to a unique case number, the system shall provide a means to add additional information to a case file, including, but not limited to, submitting agency, agency case number, date of case receipt, name of recipient, shipping and receipt details, items associated with the case and their unique designators, notes, test data, related reports, and other documentation. ASTM E1188-11 (throughout) ASTM E1459-13 (throughout) ASTM E1492-11 4.4.3 and 4.5.1 21.4 The system should be able to document evidence using an ASTM-compliant evidence log, including, but not limited to, unique identifiers, investigator and custodian names, key dates and times, evidence conditions, and storage location. ASTM E1492-11 4.3.1.1 21.5 The system should be able to prevent a piece of evidence from being scheduled for destructive testing until an appropriate authorization for such analysis is acquired and documented. ASCLD/LAB Supp. Reqs. for the Accreditation of Forensic Science Testing Laboratories 5.8.1.1.1 ASTM E1492-11 4.1.2 21.6 The system shall be able to record and maintain chain of custody of evidence that is subdivided in the laboratory in the same way that original evidence items are tracked. CJIS Security Policy 5.1.3 21.7 The system shall be capable of recording the secondary dissemination to an authorized agency or organization of criminal history record information (CHRI) sourced from U.S. Criminal Justice Information Services (CJIS). CJIS Security Policy 5.4.7 21.8 The system shall be able to record all National Crime Information Center (NCIC) and Interstate Identification Index (III) data transactions, clearly identifying the operator and authorized receiving agency or organization. III records shall also identify requester and recipient using a unique identifier. CJIS Security Policy 5.5.6 NIST 800-53, Rev. 5, AC-17(1) 21.9 If the system provides remote access to authorized users over authorized devices, the remote access shall be monitored, controlled and documented, particularly for privileged functions. If remote access to privileged functions is allowed, virtual escorting that meets CJIS Security Policy 5.5.6 conditions will be required. CJIS Security Policy 5.6.2.1.1.1–2 CJIS Security Policy 5.6.2.1.2–3 NIST 800-53, Rev. 5, IA-5(1) 21.10 The system shall be capable of putting into place, in their entirety, either the "basic password standards" or "advanced password standards" described in CJIS Security Policy 5.6.2.1.1.1 and 5.6.2.1.1.2. If PIN and/or one-time password is also used, the attributes in 5.6.2.1.2 and 5.6.2.1.3 shall also be required. CJIS Security Policy 5.6.2.2 21.11 If the system supports user-based certificates for authentication, the system shall be configurable enough to require them to be 1. user-specific, not device-specific, 2. used only by one user at any given time, and 3. activated for each use by, e.g., a passphrase or PIN. CJIS Security Policy 5.10.1.2.1–2 CJIS Security Policy Appendix G.6 NIST 800-53, Rev. 5, AC-17(2) NIST 800-53, Rev. 5, SC-13, SC-28, and SC-28(1) 21.12 The system shall allow "encryption in transit" and "encryption at rest" of criminal justice information (CJI) that meets or exceeds the requirements of CJIS Security Policy 5.10.1.2.1 and 5.10.1.2.2. CJIS Security Policy 5.10.1.5 21.13 If the system is cloud-based, the vendor shall ensure that CJI is stored in databases located within the physical boundaries of APB-member countries and within the legal authority of APB-member agencies. Additionally, the vendor shall agree to not use any metadata derived from unencrypted CJI for commercial, advertising, or other purposes, unless specifically permitted for limited within the service agreement. CJIS Security Policy 5.11.1–2 21.14 If the system is cloud-based, the vendor should agree to FBI and CSA compliance and security audits of CJI. CJIS Security Policy 5.10.3.2 CJIS Security Policy Appendix G.1 21.15 If the system is capable of being run in a virtual environment, it shall meet the virtualization requirements set forth in CJIS Security Policy 5.10.3.2 and best practices set forth in CJIS Security Policy Appendix G.1. CJIS Security Policy Appendix G.5 NIST 800-53, Rev. 5, AC-6(4) NIST 800-53, Rev. 5, SC-39 21.16 The system should provide separate processing domains in order to not only allow for more granular allocation of user privileges, but also to prevent one process from modifying the executing code of another process. NIST 800-53, Rev. 5, IA-2(1–2), IA-2(12), and IA-8(1) 21.17 The system should support the use of personal identity verification—a U.S. Federal government-wide credential system—and other forms of hardware-based (i.e., public key infrastructure or PKI) token authentication, while electronically verifying those credentials and any configured token quality requirements. A2LA C223 5.4 21.18 The system should support the identification and tagging of infrequently performed forensic tests or analyses in order to alert the analyst and other stakeholders that additional competency verification or method validation is required before performing the test or analysis. A2LA C223 5.9 21.19 The system should allow case records to be scheduled for periodic administrative and technical review by individuals not connected with the case. The conducted review should indicate details such as who conducted the review, what the results were, and when the review was completed. If non-conforming results were discovered, records of determination and resolution should be appended to the case record. A2LA C223 5.9 21.20 The system should be able to document examiner testimony and allow such testimony to be scheduled for periodic evaluation. The conducted evaluation should indicate details such as who conducted the evaluation, what the results were, and when the review was completed. If non-conforming results were discovered, related records of determination and resolution should be maintained in the system.