OKLAHOMA STATE BUREAU OF INVESTIGATION …

OKLAHOMA STATE BUREAU OF INVESTIGATION

CRIMINALISTIC SERVICES DIVISION

Firearm/Toolmark Quality Manual

Revision # 14 Effective Date: 09-07-2020

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SUBJECT: Firearm/Toolmark Quality Manual

Table of Contents

1. Introduction

1.1 Purpose and Scope

1.2 Definitions

1.3 Instrumentation and reference standards

2. Services Provided

2.1 Firearm Function Testing

2.2 Unknown Projectile Classification

2.3 Projectile Comparisons

2.4 Cartridge Case Comparisons

2.5 Restoration of Stamped Marks

2.6 Toolmark Comparative Analysis

2.7 Muzzle to Target Distance Determination

3. Criteria for Identification

3.1 Theory of Identification

4. Interpretation Guidelines

4.1 Range of Conclusions Possible When Comparing Toolmarks

4.2 Elimination Based on Differences in Individual Characteristics

4.3 Marks Used in Comparisons

5. Safety

6. Abbreviations

7. Case Record Documentation

8. Verifications

9. Attachments





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1. INTRODUCTION

1.1 Purpose and Scope

The Firearm and Toolmark Laboratory of the Oklahoma State Bureau of Investigation is

part of an accredited full-service laboratory system and tasked with the responsibility of

providing quality forensic science services in a timely manner to the criminal justice

community.

Types of cases analyzed in the Firearms Lab include cartridge case, bullet and firearm

identification and examination, serial number restoration, toolmark identification and

examination, muzzle-to-target distance determination and Integrated Ballistics

Identification System (IBIS) entry.

The goal of all criminalists involved in the firearm and toolmark laboratory is to provide

the most accurate and timely analyses possible. This Quality Manual has been

established to assist firearm and toolmark examiners in attaining this goal by clearly

delineating important practices throughout the Firearms Lab.

The purpose of this quality manual is to ensure the best practices when handling firearm

and toolmark evidence and documentation within the LIMS System (BEAST).

1.2 Definitions

Caliber - Firearm: The approximate diameter of the circle formed by the tops of the lands of a rifled barrel. Ammunition: A numerical term, without the decimal point, included in a cartridge name to indicate the nominal bullet diameter. A term used to designate the specific cartridge for which a firearm is chambered. Cannelure – A circumferential groove generally of a knurled or plain appearance on a bullet or cartridge case. Three uses include crimpling, lubrication and identification. Cartridge – A single unit of ammunition consisting of the case, primer, and propellant with one or more projectile(s). Also applies to a shotshell. Cartridge case – The container for all the other components which comprise a cartridge.





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Class Characteristics – Measureable features of a specimen which indicate a restricted group source. They result from design factors, and are therefore determined prior to manufacture. For bullets: caliber, number of lands/grooves, direction of twist and land/groove width. For cartridge cases: caliber, firing pin shape, general breechface marks (i.e. parallel, arched, etc.), extractor and ejector positions. Firearm – An assembly of a barrel and action from which a projectile(s) is propelled by products of combustion. Manual Safety- A manual safety is one that must be manually engaged and subsequently disengaged to permit normal firing. Passive Safety-A safety that is in place until the trigger is pulled Accidental Discharge Test -The examination of a firearm to determine if it is capable of firing without deliberate action on part of the shooter (i.e. if it will fire without the trigger being pulled) and if safety features of the firearm are operational. Firearm & Toolmark Identification – A discipline of forensic science which has as its primary concern to determine if a bullet, cartridge case or other ammunition component was fired by a particular firearm, or if a toolmark was produced by a particular tool. Individual characteristics – Marks produced by the random imperfections or irregularities of tool surfaces. These random imperfections or irregularities are produced incidental to manufacture and/or cause by use, corrosion, or damage. They are unique to that tool and distinguish it from all other tools. Ogive – The curved forward part of a bullet. Projectile – A non-spherical projectile for use in a rifled barrel and sometimes contained within a sabot; also known as a bullet. Tool – An object used to gain mechanical advantage. Also thought of as the harder of two objects which when brought into contact with each other, results in the softer one being marked. Note: a firearm is considered a tool; the marks left on fired bullets and fired cartridge cases are considered toolmarks

1.3 Instrumentation

The following instruments and reference standard are necessary to ensure correct results for analyses and examinations conducted in the Firearm and Toolmark Unit. These instruments and reference standards will be subjected to the requirements of QP 24 and they are as follows:





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a) Comparison Microscope

b) Digital Calipers

c) Balances

d) Stage Micrometers

e) Mitutoyo Steel Ruler

1.3.1 Reference Standard

a) Steel Gauge Block

2. SERVICES PROVIDED

This is not an all-inclusive list. However, if the desired analysis is not listed below, the request must be approved by the Lab Director or the Criminalist Administrator.

2.1 Firearm Function Testing

All submitted firearms will be tested for functionality, as allowed by the condition of the firearm, with the exception of No Analysis Cases.

2.2 Unknown Projectile Classification

If the submitted projectile(s) provides sufficient information, a list of possible firearm brands that could have fired the submitted projectile(s) can be created.

2.3 Projectile Comparisons

Includes evidence-to-evidence comparisons as well as evidence-to-firearm comparisons.

2.4 Cartridge Case Comparisons

Includes evidence-to-evidence comparisons as well as evidence-to-firearm comparisons.

2.5 Restoration of Stamped Marks

It is the responsibility of the submitting agency to run the restored serial number through eTrace, the ATF’s Electronic Tracing System.

2.6 Toolmark Comparative Analysis





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Toolmark examinations will only be conducted if the following are submitted: 1. The suspect tool 2. Unknown toolmark(s)

Test toolmark components from evidence tools are considered evidence and will be returned to the submitting agency with the tool. Additional test toolmark components may be collected and retained as references samples. Test toolmark components retained as reference samples will only be used for training and/or research purposes. Reference test toolmarks may not be used for identification or other evidence examinations.

2.7 Muzzle to Target Distance Determination

Distance determination examinations will be conducted when the following are submitted:

1. Target material with a questioned pattern and/or suspect bullet hole

o All target material must be dried; clothing wet with blood or other fluids should not be submitted until they have been dried.

o Suspect clothing (clothing from the shooter) will not be analyzed for distance determination.

o Target Material/Articles of clothing absent suspected bullet holes will not be analyzed.

o If the victim’s clothing cannot be submitted for viewing, photographs of the pattern(s) may be submitted; however, each photograph MUST contain a scale/ruler.

2. The suspect firearm. 3. Ammunition consistent with that used during the shooting. A narrative detailing a logical and reasonable cause for this analysis should accompany any determination request. This may be accomplished through email, phone or in-person communication with the requesting or submitting officer(s) and should be documented in the case narrative within the BEAST.

If only the victim’s clothing is available, the examiner can confirm the presence of residue but must refrain from reporting a distance.

Distance determination analysis provides the muzzle to target range of the firearm; it is not a measure of the suspect’s intent. The firearm examiner must be capable of articulating this point to all interested parties.





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The OSBI Firearm and Toolmark Unit will report muzzle to target distances after the analysis of the target material. A muzzle to target distance cannot be reported if the pattern is on the victim’s skin (i.e. stippling/tattooing). 4. OSBI forms QMA 4.2 and QMA 1.1 can be used to document the item(s) that is/are being examined. These form will be uploaded in the LIMS system.

3. CRITERIA FOR IDENTIFICATION

As endorsed by the Scientific Working Group for Firearms and Toolmarks (SWGGUN), the Association of Firearms and Tool Mark Examiners (AFTE) “Theory of Identification” as set forth in the AFTE Glossary is used as the acceptable standard.

3.1 AFTE Theory of Identification

1. The theory of identification as it pertains to the comparison of toolmarks enables opinions of common origin to be made when the unique surface contours of two toolmarks are in “sufficient agreement.”

2. This “sufficient agreement” is related to the significant duplication of random toolmarks as evidenced by the correspondence of a pattern or combination of patterns of surface contours. Significance is determined by the comparative examination of two or more sets of surface contour patterns comprised of individual peaks, ridges and furrows. Specifically, the relative height or depth, width, curvature and spatial relationship of the individual peaks, ridges and furrows within one set of surface contours are defined and compared to the corresponding features in the second set of surface contours. Agreement is significant when it exceeds the best agreement demonstrated between toolmarks known to have been produced by different tools and is consistent with agreement demonstrated by toolmarks known to have been produced by the same tool. The statement that “sufficient agreement” exists between two toolmarks means that the agreement is of a quantity and quality that the likelihood another tool could have made the mark is so remote as to be considered a practical impossibility. Currently the interpretation of individualization/identification is subjective in nature, founded on scientific principles and based on the examiner’s training and experience.

4. INTERPRETATION GUIDELINES The AFTE “Range of Conclusions Possible When Comparing Toolmarks” as set forth in the AFTE Glossary is used as the acceptable standard.

4.1 Range of Conclusions Possible When Comparing Toolmarks





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The examiner is encouraged to report the objective observations that support the findings of toolmark examinations. The examiner should be conservative when reporting the significance of those observations.

Identification: Agreement of a combination of individual and all discernible class characteristics where the extent of agreement exceeds that which can occur in the comparison of toolmarks made by different tools and is consistent with the agreement demonstrated by toolmarks known to have been produced by the same tool. Inconclusive: I. Some agreement of individual characteristics and all discernible class characteristics, but insufficient for an identification. II. Agreement of all discernible class characteristics without agreement or disagreement of individual characteristics due to an absence, insufficiency, or lack of reproducibility. III. Agreement of all discernible class characteristics and disagreement of individual characteristics, but insufficient for an elimination. Elimination: Significant disagreement of discernible class characteristics and/or individual characteristics. Unsuitable: Unsuitable for examination.

4.2 Elimination Based on Differences in Individual Characteristics

The OSBI firearm and toolmark unit allows the examiner to eliminate a particular firearm if there is sufficient disagreement of individual characteristics, while all class characteristics are in agreement. However, this type of elimination will require verification from a second qualified examiner. In toolmark comparisons, eliminations can only be made when there are differences in class characteristics.

4.3 Marks Used in Comparisons

Conclusions can only be made on marks left by the firearm during the firing and/or cycling process(es). These marks include, but are not limited to: breechface marks, firing pin impression, firing pin drag, chamber marks, extractor marks, ejector marks and ejection port marks. Analysts are required to document in their notes which of the above marks were used to make a determination. If more than one area is used, the analyst must state the result





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for each area used in the comparison. When cartridge cases are identified using either ejector or extractor the result must be reported as being cycled, as these marks can be made during both the cycling and/or the firing process.

It is recommended to cycle lab stock ammunition through the firearm in addition to test firing the firearm to separate the marks left by cycling alone versus firing.

If the examiner cannot attribute marks found on the cartridge case to a certain portion of the firearm (i.e. breechface, extractor, ejection port, etc.), the examiner cannot report that the cartridge cases were fired and/or cycled through the firearm.

5. SAFETY

If biological material is present, disinfect the evidence using a 1:10 bleach solution or any disinfectant labeled tuberculocidal. Every examiner should inform another examiner or any individual with direct access to the firearms laboratory before test firing any and all firearms. Refer to OSBI Policy 121.1.II.J and Directive 121.1 Appendix I for additional firearms safety information.

6. ABBREVIATIONS

The following are a list of approved abbreviations for Firearm/Toolmark case notes: Please note the listed abbreviations can be lower or upper case.

#TF number of test fires

ACP automatic Colt pistol

B near base area

BBL barrel

BRM bolt rotation marks

BEB brass enclosed base

BFM breechface marks

BPS brown paper sack

Br Brass

Conv conventional/standard rifling

CC Cartridge Case

CCFPI Concentric Circles in Firing Pin Impression

C/Scope comparison microscope





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CAL caliber

CCW counter clockwise

CHBR Chamber Marks

Class Class Characteristics

Cu Copper

CuW Copper Washed

CW clockwise

DA Double Action

DAO Double Action Only

DNMC Does not meet criteria

DT Drop Testing

EE evidence envelope

EJR ejector

EJR/PORT ejection port marks

ELIM elimination

EXT extractor

FTEX Failure to Extract

FTEJ Failure to Eject

FeCl Ferric Chloride

FED Federal

FMJ Full Metal Jacket

FP firing pin

FPI firing pin impression

FPD firing pin drag

G/W groove width measurement

Ga gauge

GEA groove engraved area

GD Gold Dot

GEA Groove engraved area

GI groove impression

GMB Glock Marksman Barrel

Gr grain

GRC general rifling characteristics

GSR gunshot residue

HS H/S HydraShok

HBWC hollow base wad-cutter

HCC High confidence candidate

HCl hydrochloric acid

HP hollow point





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IBIS Integrated Ballistics Identification System

ID identification

ID’d Identified

IDed Identified

IMIS insufficient matching individual striae

IMP impressions

INSUF insufficient

INA Insufficient Agreement

INC inconclusive

IRC individual rifling characteristics

JHP jacketed hollow point

JSP jacketed soft point

L left

L/G number of lands and grooves

L/W land width measurement

LEA land engraved area

LI land impression

LR/L Long Rifle/Long

LRN lead round nose

MA machine gun

MAG magnum

MAG/LIP magazine lip marks

MC Metal Case

N/A not applicable

N near nose area

NaRho Sodium Rhodizonate

NIBIN National Integrated Ballistic Information Network

Ni Nickel

NSFI Not Suitable for IBIS Entry

O/U over / under

Poly polygonal rifling

Pb lead

PCC Primed Cartridge Case

PD Pistol Derringer

PI Semi-Automatic Pistol

PR Revolver

PRT projectile recovery tank

PS single-shot pistol

PX pistol, four or more barrels





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R right

RA Automatic/Select fire rifle

RB Bolt-Action rifle

RC Rifle Carbine

RE double-barreled rifle

RI semi-automatic rifle

RL lever-action rifle

RP pump action rifle

R-P Remington-Peters

RR revolving-action rifle

RS single-shot rifle

S shotgun (general)

SA single action

SB bolt-action shotgun

SE double-barreled shotgun

SF striker fired

SI semi-automatic shotgun

SMG submachine gun

SN serial number

SP pump action shotgun

SPL special

SPR Speer

SPRG Springfield

SR revolving-action shotgun

SS single-shot shotgun

STR striations

Subm/w submitted with

Susp suspect

SWC semi-wadcutter

SXT Super Expanding Talon

T/T test/test matched

TF# item number of test fire used

TF Test Fire

TFCC Test Fire Cartridge Case

TMJ total metal jacket

Vic victim

WC wadcutter

WIN Winchester

mm millimeter





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IN “ inches

(V) Verified

7. CASE RECORD DOCUMENTATION

Before beginning analysis, ensure the proper sequence of tests has been conducted (serology, latent prints, firearms). Use the guidelines set forth in the Firearm/Toolmark Unit Protocols to document the submitted evidence. Use only the information present on or about the evidence to fill out the documentation worksheets do not rely on the RFLE. Per QM 7.8.1.2 the results of all testing and examination of any evidence items that is conducted by OSBI CSD personnel will be reported accurately, clearly, unambiguously, and objectively in a written Examination Report. If additional information about the evidence is added to the worksheet, the source should be properly documented in the case record. However, the examiner is permitted to expand manufacturer’s abbreviations on cartridge case headstamps. Prior to use, all equipment shall be confirmed as having current calibration verification. Evidence can be labeled on any surface, as long as the label does not obstruct or cover any manufacturer’s marks, marks used for identification, etc. In accordance with QP 16.2, the start date of analysis will be defined as the earliest date the examiner logs in his/her notes/worksheets. The end date of analysis will be defined as the date that the report is approved. Test fired ammunition components will be returned to the submitting agency and any that are retained by the lab will not be used to make comparisons. Over-all photographs of all firearms-related evidence shall be taken and maintained in the case file for inventory and review purposes. The exception to this is cases that are submitted for IBIS/NIBIN only, that need to be fast tracked. When working this type of case, the analyst is not required to take an overall photograph of the firearms-related accessories (i.e. ammunition, holsters or cleaning items etc.); however, the analyst must itemize and document their disposition in their report. A close-up photograph of the firearm's serial number (on the frame/receiver, as applicable) shall also be taken and maintained in the case file. Photographic





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documentation should be labeled with item number(s) of the evidence depicted in the photograph(s) by either a text box below the photo(s), or the photo(s) is stored with the item worksheet.

The following forms shall be used to fulfill this requirement: OSBI FA QMA 1 General Images OSBI FA QMA 4 Muzzle to Target Distance Determination OSBI FA QMA 8 Firearm Documentation Worksheet OSBI FA QMA 9 Unfired Cartridge Documentation Worksheet OSBI FA QMA 10 Fired Bullet Documentation Worksheet OSBI FA QMA 11 Fired Cartridge Case Documentation Worksheet OSBI FA QMA 12 Shotshell Documentation Worksheet OSBI FA QMA 13 Shotshell Wad Documentation Worksheet OSBI FA QMA 14 Shot Documentation Worksheet OSBI FA QMA 15 Tool Documentation Worksheet OSBI FA QMA 16 Toolmark Documentation Worksheet

Each form shall be saved as a PDF and uploaded to the image vault within the BEAST. Any identification or elimination based on individual characteristics must be documented with a representative photograph, labeled with the OSBI lab number and the items depicted and uploaded to the image vault within the BEAST.

Note: Eliminations based on class characteristics can be documented with a narrative in case notes; a photograph is not required.

The Firearm/Toolmark Unit will perform technical reviews on 100% of cases.

8. VERIFICATIONS

All identifications and all eliminations based on individual characteristics must be verified and technically reviewed by a second qualified examiner. Note: If the primary examiner and the verifying examiner cannot concur on their conclusion, the Technical Manager will make the final determination in the case. In the event that the Technical Manager is one of the analysts involved in the disagreement another examiner will make the final determination in the case. Note: Any differences between the original and final conclusions will be documented in LIMS system (BEAST) as a narrative. The verifying examiner must observe the comparison on a comparison microscope. This may be accomplished by the transferring of evidence to the verifying examiner or

OKLAHOMA STATE BUREAU OF INVESTIGATION CRIMINALISTIC SERVICES DIVISION

Firearm/Toolmark Quality Manual Revision # 14

Effective Date: 09-07-2020 of 14


by asking the verifying examiner to observe the comparison on the primary examiner’s microscope.

Note: If the evidence is transferred, this transfer must be documented in the LIMS System (BEAST).

All verifications will be documented in the case file by the verifying examiner’s signature on OSBI FA QMA 2, Comparison Verification. Form OSBI FA QMA 2, Comparison Verification shall be saved and uploaded to the image vault within the BEAST.

All restored or partially restored serial numbers must be verified by a second qualified examiner. Form OSBI FA QMA 3, Serial Number Restoration shall be used to document the serial number restoration and the verification of the [partially] restored number. Form OSBI FA QMA 3, Serial Number Restoration shall be scanned and uploaded to the image vault within the BEAST.

9. ATTACHMENTS

OSBI FA QMA 1 Rev. 1 General ImagesOSBI FA QMA 2 Rev. 4 Comparison VerificationOSBI FA QMA 3 Rev. 2 Serial Number RestorationOSBI FA QMA 4 Rev. 2 Muzzle to Target Distance DeterminationOSBI FA QMA 8 Rev. 2 Firearm Documentation WorksheetOSBI FA QMA 9 Rev. 1 Unfired Cartridge Documentation WorksheetOSBI FA QMA 10 Rev. 1 Fired Bullet Documentation WorksheetOSBI FA QMA 11 Rev. 2 Fired Cartridge Case Documentation WorksheetOSBI FA QMA 12 Rev. 1 Shotshell Documentation WorksheetOSBI FA QMA 13 Rev. 1 Shotshell Wad Documentation WorksheetOSBI FA QMA 14 Rev. 1 Shot Documentation WorksheetOSBI FA QMA 15 Rev. 1 Tool Documentation WorksheetOSBI FA QMA 16 Rev. 1 Toolmark Documentation Worksheet

AUTHOR: Terrance Higgs, Firearm/Toolmark Supervisor

APPROVAL

Technical Date: Manager _____________________________________ _______________

Terrance Higgs

Assistant Date: Director _____________________________________ _______________

Andrea Fielding

9/3/2020

Terrance.Higgs

Typewritten text

09-07-2020

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