ASTM E1492-2011 Standard Practice for Receiving Documenting Storing and Retrieving Evidence in a Forensic Science Laboratory《法庭科学实验室用证据的接收 建档 存储和提取的标准操作规程》.pdf

1、Designation: E1492 11Standard 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, in the case of rev

2、ision, 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 laboratory to protect and d

3、ocument 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 situation require consider

4、ation, 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 replaceknowledge, skill or abili

5、ty acquired through appropriate edu-cation, training, and experience and should be used in conjunc-tion 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 standard to e

6、stablish appro-priate safety and health practices and determine the applica-bility of regulatory limitations prior to use.2. Referenced Documents2.1 ASTM Standards:2E860 Practice for Examining And Preparing Items That AreOr May Become Involved In Criminal or Civil LitigationE1188 Practice for Collec

7、tion 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 evidence was collected, who col-lected the

8、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 while theevidence is at the forensic lab

9、oratory. 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 unique numeric or alphanu-meric labor

10、atory 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 investigators, consistentwith Practic

11、e 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 the items.4.1.1.2 Identify the pe

12、rson 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 protection fromloss, cross-transfe

13、r 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 jurisdiction of ASTM Committee E30 on For

14、ensicSciences and is the direct responsibility of Subcommittee E30.11 on Interdisciplin-ary Forensic Science Standards.Current edition approved June 1, 2011. Published July 2011. Originally approvedin 1992. Last previous edition approved in 2005 as E1492 05. DOI: 10.1520/E1492-11.2For referenced AST

15、M 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.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshoho

16、cken, PA 19428-2959, United States.4.1.1.4 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 submitted to the laboratory that has noapparent value, or di

17、minished 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 dictate that improperly packaged evidencebe returned to the

18、 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 Create and maintain a record that accurately reflectsth

19、e 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 E1459 and shall be trackedthrough a documented chain of custody record.4.1.3 If reques

20、ted, 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-nations may correspond to those assigned in the field.4.1.6 If e

21、vidence 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 agency as soon as possible.4.1.7 Retain any packaging materia

22、l 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 laboratory shall maintain a currentrecord identifying what e

23、vidence 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. Ifthis is not possible, keep summary information or photocopie

24、sof 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 secure location.4.3 Documenting Alteration of Evidence:4.3.1 D

25、o 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 such consumption or alteration of theevidence. When significa

26、nt 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 either explicit or tacit acknowledgement oragreement.4.3.2 W

27、henever 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 sample integrity.4.3.3.1 Different types of samples have differen

28、t 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 If a laboratory has a written document or evidencestorage poli

29、cy, 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 and in a manner which preserves theintegrity of the evidence.

30、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 area.4.5 Documenting Removal of Evidence:4.5.1 When evidence is

31、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 evidence is picked up in person from thelaboratory, the person rec

32、eiving 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 transferred to another facility via a public carrier.5. Keywords5.1

33、 chain of custody; evidence documentation; evidencelabeling; forensic scienceE1492 112ASTM International takes no position respecting the validity of any patent rights asserted in connection with any item mentionedin this standard. Users of this standard are expressly advised that determination of t

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36、s 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 Conshohocken, PA 19428-2959,United States. Individual reprints (single or mul

37、tiple 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 ASTM website (www.astm.org/COPYRIGHT/).E1492 113