ASTM E1492-11(2017) Standard Practice for Receiving, Documenting, Storing, and Retrieving Evidence in a Forensic Science Laboratory.pdf

1、Designation: E1492 11 (Reapproved 2017)Standard Practice forReceiving, Documenting, Storing, and Retrieving Evidencein a Forensic Science Laboratory1This standard is issued under the fixed designation E1492; the number immediately following the designation indicates the year oforiginal adoption or,

2、in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1. Scope1.1 This practice describes procedures and techniques for aforensic science laborator

3、y to protect and document the integ-rity of items of physical evidence with respect to suitability forscientific testing, and admissibility as evidence in litigation.1.2 This practice recommends generally accepted profes-sional principles and operations, although the facts and issuesof each situatio

4、n require consideration, and frequently involvematters not expressly dealt with herein. Deviations from thispractice should be based on specific articulable circumstances.1.3 This practice offers a set of instructions for performingone or more specific operations. This standard cannot replaceknowled

5、ge, skill or ability acquired through appropriateeducation, training, and experience and should be used inconjunction with sound professional judgment.1.4 This standard does not purport to address all of thesafety concerns, if any, associated with its use. It is theresponsibility of the user of this

6、 standard to establish appro-priate safety and health practices and determine the applica-bility of regulatory limitations prior to use.1.5 This international standard was developed in accor-dance with internationally recognized principles on standard-ization established in the Decision on Principle

7、s for theDevelopment of International Standards, Guides and Recom-mendations issued by the World Trade Organization TechnicalBarriers to Trade (TBT) Committee.2. Referenced Documents2.1 ASTM Standards:2E860 Practice for Examining And Preparing Items That AreOr May Become Involved In Criminal or Civi

8、l LitigationE1188 Practice for Collection and Preservation of Informa-tion and Physical Items by a Technical InvestigatorE1459 Guide for Physical Evidence Labeling and RelatedDocumentation3. Significance and Use3.1 Prior to being presented in court, a foundation must beestablished showing how eviden

9、ce was collected, who col-lected the evidence, where it was collected, who has hadcustody of the evidence, how the evidence has been processed,and when changes of custody have occurred.3.2 Following the procedures outlined in this practice canserve to protect the chain of custody of the evidence whi

10、le theevidence is at the forensic laboratory. Refer to Practice E1188for chain of custody information and procedures prior tosubmission to the laboratory.4. Procedure4.1 Receiving and Identifying the Evidence:4.1.1 When evidence from a particular incident is firstbrought to the laboratory, assign a

11、unique numeric or alphanu-meric laboratory case number, and use that case number whenidentifying the submitted evidence as well as all subsequentitems of evidence submitted to the laboratory from the sameincident or case. Laboratory numbering may adopt similar casenumbers to those assigned by field

12、investigators, consistentwith Guide E1459.4.1.1.1 Record the laboratory case number in a permanentlaboratory record along with the following information: sub-mitting agency and agency case number, date the case wasreceived at the laboratory, name of the person receiving theevidence, and a listing of

13、 the items.4.1.1.2 Identify the person delivering the evidence andrecord that persons name in the record of the chain of custodywhen evidence is delivered in person. Document shipping andreceipt information for evidence received through a publiccarrier.4.1.1.3 Items, or areas of items, that require

14、protection fromloss, cross-transfer or contamination shall be submitted in asealed condition or sealed immediately upon receipt at thelaboratory. When requested, the laboratory staff shall provideinstructions to the submitter in proper methods of packagingevidence.1This practice is under the jurisdi

15、ction of ASTM Committee E30 on ForensicSciences and is the direct responsibility of Subcommittee E30.11 on Interdisciplin-ary Forensic Science Standards.Current edition approved March 15, 2017. Published March 2017. Originallyapproved in 1992. Last previous edition approved in 2011 as E1492 11. DOI:

16、10.1520/E1492-11R17.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.Copyright ASTM International, 100 Barr Ha

17、rbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United StatesThis international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for theDevelopment of International Standards, Guides and Recommenda

18、tions issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.14.1.1.4 A laboratory employee competent to evaluate thematerial shall determine whether improper packaging hasdiminished or destroyed the value of the material for laboratoryanalysis.4.1.1.5 If an item is submi

19、tted to the laboratory that has noapparent value, or diminished value as evidence, then thelaboratory shall still take the necessary steps to preserve thechain of custody of that item. Notify the submitter as soon aspractical regarding the value of the submitted evidence. Labo-ratory policy may dict

20、ate that improperly packaged evidencebe returned to the submitter without analysis.4.1.1.6 In the event that the material has value for laboratoryanalysis, the laboratory shall be responsible for ensuring thatthe evidence is properly packaged or repackaged and labeled atthe time of submission.4.1.2

21、Create and maintain a record that accurately reflectsthe chain of custody. The chain of custody shall reflect allpertinent information regarding internal transfers of evidencewithin the laboratory. Items sub-divided by the laboratory shallbe labeled in accordance with Guide E1459 and shall betracked

22、 through a documented chain of custody record.4.1.3 If requested, provide a signed evidence receipt to thesubmitter.4.1.4 Create a case file identified by the laboratory casenumber.4.1.5 In addition to the laboratory case number, identifyeach item with a unique item designation. Laboratory desig-nat

23、ions may correspond to those assigned in the field.4.1.6 If evidence received is other than as stated on thecontainer or accompanying documents, or if the condition ofthe evidence is not as stated on the accompanying documentsor container, document the discrepancy and notify the client orsubmitting

24、agency as soon as possible.4.1.7 Retain any packaging material necessary to maintainthe chain of custody or which may be relevant to the integrityof the evidence4.1.8 Maintain evidence in a secure condition while it is incustody of the laboratory.4.2 Documenting Test Procedures:4.2.1 Each individual

25、 laboratory shall maintain a currentrecord identifying what evidence is in the laboratory foranalysis, its current status, and the date the evidence isremoved from the laboratory.4.2.2 Retain all notes, test data, and other documentationgenerated during the inspection of the sample in a case file. I

26、fthis is not possible, keep summary information or photocopiesof original notes in the case file and refer to the location of theoriginal documentation.4.2.3 Retain copies of reports generated as the result of theexamination or inspection of evidence in the case file.4.2.4 Maintain case files in a s

27、ecure location.4.3 Documenting Alteration of Evidence:4.3.1 Do not alter a piece of evidence any more than isabsolutely necessary to obtain a valid analysis.4.3.1.1 It is recognized that there are some types of analyseswhich require the consumption or substantial alteration of theevidence. Document

28、such consumption or alteration of theevidence. When significant alteration or consumption of evi-dence is necessary for its evaluation, follow the procedures setforth in Practice E860, ensuring that the submitter is aware ofand agrees that the evidence may be submitted to destructivetesting, through

29、 either explicit or tacit acknowledgement oragreement.4.3.2 Whenever possible, and when the accuracy of theanalysis will not be affected, maintain an adequate portion ofthe evidence for testing by other methods or other laboratories.4.3.3 Package and store items in a manner that best main-tains samp

30、le integrity.4.3.3.1 Different types of samples have different containerrequirements. The individual analyst is responsible for ensur-ing that the sample is properly packaged.4.3.3.2 Document any conditions that prevent or interferewith the preservation of any sample in its submitted state.4.3.3.3 I

31、f a laboratory has a written document or evidencestorage policy, that policy should be followed. These types ofpolicies are commonly found where samples are potentiallyhazardous or present in large volumes.4.4 Storage:4.4.1 Protect and store evidence in an orderly, traceable, andretrievable fashion

32、and in a manner which preserves theintegrity of the evidence.4.4.2 Secure the evidence storage area from unauthorizedentry.4.4.3 Maintain adequate records for all evidence placed inthe evidence storage area.4.4.4 Establish procedures for routine maintenance of thecontents of the evidence storage are

33、a.4.5 Documenting Removal of Evidence:4.5.1 When evidence is to be removed from the laboratoryfor return to the submitter, for presentation in court, for transferto another facility or laboratory, for disposal, or for any otherreason, make appropriate entries in laboratory records.4.5.1.1 When evide

34、nce is picked up in person from thelaboratory, the person receiving the evidence from the labora-tory shall be properly identified and shall sign and date areceipt for the evidence. Maintain the signed receipt in the casefile. Document shipping and delivery information for evidencereturned or transf

35、erred to another facility via a public carrier.5. Keywords5.1 chain of custody; evidence documentation; evidencelabeling; forensic scienceE1492 11 (2017)2ASTM International takes no position respecting the validity of any patent rights asserted in connection with any item mentionedin this standard.

36、Users of this standard are expressly advised that determination of the validity of any such patent rights, and the riskof infringement of such rights, are entirely their own responsibility.This standard is subject to revision at any time by the responsible technical committee and must be reviewed ev

37、ery five years andif not revised, either reapproved or withdrawn. Your comments are invited either for revision of this standard or for additional standardsand should be addressed to ASTM International Headquarters. Your comments will receive careful consideration at a meeting of theresponsible tech

38、nical committee, which you may attend. If you feel that your comments have not received a fair hearing you shouldmake your views known to the ASTM Committee on Standards, at the address shown below.This standard is copyrighted by ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohoc

39、ken, PA 19428-2959,United States. Individual reprints (single or multiple copies) of this standard may be obtained by contacting ASTM at the aboveaddress or at 610-832-9585 (phone), 610-832-9555 (fax), or serviceastm.org (e-mail); or through the ASTM website(www.astm.org). Permission rights to photocopy the standard may also be secured from the Copyright Clearance Center, 222Rosewood Drive, Danvers, MA 01923, Tel: (978) 646-2600; http:/ 11 (2017)3