ASTM E2028-99

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Designation:E2028–99
Standard Practice for
Receiving, Testing and Reporting Results of Investigation of
Metal, Ore, or Metal Related Samples that Are or May Be
Involved in Litigation
This standard is issued under the fixed designation E 2028; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (e) indicates an editorial change since the last revision or reapproval.
1. Scope by the attorney of the opposing party prior to the trial as part
of the “discovery” process.
1.1 This practice covers the procedures to be used for
3.1.2 evidence chain of custody form, n—form used to
receiving, testing and reporting results of investigation of
accompany the evidence, when evidence is transmitted from
metals, ores, related materials or samples thereof that have
one person to another to prove a continuous chain of custody.
been the subject of an incident that is or is reasonably expected
3.1.3 expert witness, n—a witness having expertise in the
to be the subject of litigation.
field in which he is about to give testimony and whose
1.2 This practice was developed particularly for cases in-
testimony can aid the judge and jury to understand the
volving civil litigation, however it can be applied to criminal
technical facts involved in the case before them.
cases where it does not conflict with applicable laws and
3.1.3.1 Discussion—Before being accepted as an expert
regulations.
witness in a case, the witness has to submit to an examination
2. Referenced Documents and a cross examination concerning his qualifications. An
expert witness can testify to what he saw, heard, or did (such
2.1 ASTM Standards:
as tests performed), and state opinions in his field of expertise.
E 620 Practice for Reporting Opinions of Technical Experts
3.2 Definitions of Terms Specific to This Standard:
E 678 Practice for Evaluation of Technical Data
3.2.1 evidence, n—any metal, ore or related material, re-
E 860 PracticeforExaminingTestingItemsthatAreorMay
gardless whether or not it is an entire part, a portion of a part
Become Involved in Litigation
or a representative sample of some metal, ore or related
E 1188 Practice for Collection and Preservation of the
material, having actual or potential bearing on the incident or
Information and Physical Items by aTechnical Investigator
its outcome.
2.2 ISO Standard:
3.2.2 incident, n—any event or occurrence that causes
ISO Guide 25 General Requirements for the Competence of
directly or indirectly death, injury, or material damage that
Calibration and Testing Laboratories
results or can result in a claim or litigation.
2.3 Other Documents:
3.2.3 investigator, n—the technically competent person in
NIST Handbook 150 NVLAP Procedures and General
charge of the testing.
Requirements
NIST Handbook 150-18 NVLAP Fasteners and Metals
4. Significance and Use
3. Terminology 4.1 This practice sets guidelines for the receiving, testing
and reporting of result of the investigation of metal, ores and
3.1 Definitions:
related materials that may constitute evidence that is or may
3.1.1 deposition, n—the process during which a potential
become involved in litigation. It outlines procedures to be
witness for a trial is questioned under oath (“being deposed”)
followedtodocumentthenatureandconditionoftheevidence,
the planning and performance of the testing, and actions that
This practice is under the jurisdiction of ASTM Committee E-1 on Analytical
involve altering the nature or condition of the evidence.
Chemistry for Metals, Ores and Related Materials and is the direct responsibility of
Subcommittee E01.20 on Fundamental Practices and Measurement Traceability.
5. Procedure—General
Current edition approved June 10, 1999. Published August 1999.
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
5.1 The laboratory performing the testing can be: a labora-
contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
tory owned or operated, or both, by one of the parties involved
Standards volume information, refer to the standard’s Document Summary page on
or potentially involved in the litigation of the incident, such as
the ASTM website.
3 nd th
AvailablefromAmericanNationalStandardsInstitute,11W.42 St.,13 floor, plaintiff(s),ordefendant(s),anindependentlaboratoryhiredby
New York, NY 10036.
one of the parties involved or his representative, a laboratory
Available from the U.S. Government Printing Office, Washington, DC 20402-
owned or hired by a government agency to establish if any
9325.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.
E2028–99
violation of law or regulations was committed, or a laboratory the full description including all markings and conditions as
to act as an arbitrator selected jointly by the plaintiff(s) and requiredbyISOGuide25,andNISTHandbook150,andNIST
defendant(s) or appointed by a court or arbitrating authority. Handbook 150-18 if applicable.Aphotographic record of each
5.1.1 The laboratory shall follow all procedures outlined in piece of evidence may be helpful, in which case it should be
this practice and produce unbiased results, opinions and included in the record.
reports. 6.2.3 The identity of the person delivering the evidence or
5.2 When evidence from an incident is submitted to the the means of delivery of the evidence such as, via registered
laboratory, an investigator is appointed to the particular inci- mail(includingregistrationnumber).Ifthedeliveryismadeby
dent.Theinvestigatorshallbeinchargeofreceiving,recording a person unknown to the investigator, he shall request proper
and securing all evidence received, planning the testing, identification of the person making the delivery and record the
performing or supervising the performance of the testing, type of identification, (for example, drivers licence) along with
preparing the report and preserving the evidence. the serial number of the identification.
5.2.1 The investigator shall be a technically competent 6.2.4 If the person making the delivery has an evidence
person in general, as well as in the principal areas of the chainofcustodyform,itshallbesignedbytheinvestigatorand
testing. He shall be able to submit to a deposition and testify in a copy shall be attached to the record. If there is no evidence
court as an expert witness, if required. chain of custody form, one should be created by the investi-
5.3 Confidentiality—No aspects of the case, incident, evi- gator, signed by the person submitting the evidence and the
dence, and tests planned or performed shall be discussed with investigator. One copy shall be given to the person delivering
anyone outside the technical personnel of the laboratory. Such the evidence and a copy shall be attached to the record.
discussionswithtechnicalpersonnelwithinthelaboratoryshall 6.2.5 All instructions received shall be recorded including
be conducted strictly on a “need to know” basis. the identification of the person who gave the instructions and
how the instructions were given, such as, verbally, by messen-
6. Procedure—Evidence Receiving
ger, by signed letter, or by telephone.
6.1 When evidence is received by the laboratory, company
6.2.6 Any and all other pertinent facts.
or organization, the appointed investigator shall immediately
6.3 No entry shall be made based on opinion or deduction.
take charge of the evidence. If no investigator has been
6.4 All evidence received shall be properly identified with
appointed, the senior management person shall immediately
the assigned unique sample number, and secured from unau-
appoint one. The investigator shall assign a unique case
thorizedaccess.Itshallbestoredinalocationwheretheaccess
number to the incident and the evidence and prepare a record
is restricted to the investigator, and in a manner that is suitable
for the case.
for the proper preservation of the evidence.
NOTE 1—The unique case numbers (however called) shall be alpha-
7. Procedure—Planning of Testing
numeric numbers, using letters of the standard English alphabet and
7.1 The first step in planning should be deciding which tests
Arabic numerals. Example: The case number for an incident may be
BL-12345 and each piece of evidence numbered BL-12345-1, BL- the laboratory intends to perform.
12345-2, BL-12345-3, etc. If any of the pieces of evidence is subdivided,
7.1.1 If the laboratory is part of the organization that is
cut, or broken, each portion may be referred to as BL-12345-2a,
involved in the litigation (or potential litigation), the investi-
BL-12345-2b,etc.Thenumbershallbeunique.Itshallnothavebeenused
gator should consult with the legal advisor (attorney) handling
before, and shall not be used again in conjunction with any other case.
the litigation (or potential litigation) for the organization. His
6.1.1 If the laboratory keeps its records in record books, it
advice should be followed. No work should be performed
may be advisable to start a new record book for each incident.
without his prior approval. The decision on which tests to
If a record book is used for the record of the investigation, it
perform should be made by the legal advisor with technical
should be a bound book with numbered pages.
input from the investigator.
6.1.2 If the laboratory keeps its records on a computer, it
7.1.2 If the laboratory is an independent laboratory hired by
may be advisable to keep the records of a case that is involved
one of the parties involved in the litigation (or potential
in or subject to litigation in a record book, or, at least, on a
litigation), the decision regarding the tests should be made by
completely separate data base if there is a compelling reason to
the party that hired the laboratory, preferably after they have
keep it on a computer.
consulted with their legal advisor (attorney) handling the
litigation (or potential litigation). In some instances the client
NOTE 2—All records related to a case may be subpoenaed by a court
may request that the laboratory consult with and receive the
and are subject to inspection by the opposing party during the discovery
process.Iforiginalrecordshavetobeintroduced,complicationsmayarise
instructions from their legal advisor.
if the records are not kept separately.
7.1.3 If the laboratory is hired by both parties involved in
6.2 The record created at the time of the receipt of the the litigation (or potential litigation) to act as an arbitrator, the
sample should include the following information: parties jointly have to decide whether or not to leave the
6.2.1 A brief factual description of the incident indicating decisiononwhichteststoperformtothelaboratoryperforming
the date and time of the incident, and the source of information the tests, or they can limit it to certain specifie
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