ASTM E1492-11(2017)

Standard Practice for Receiving, Documenting, Storing, and Retrieving Evidence in a Forensic Science Laboratory

SIGNIFICANCE AND USE
3.1 Prior to being presented in court, a foundation must be established showing how evidence was collected, who collected the evidence, where it was collected, who has had custody 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 can serve to protect the chain of custody of the evidence while the evidence is at the forensic laboratory. Refer to Practice E1188 for chain of custody information and procedures prior to submission to the laboratory.
SCOPE
1.1 This practice describes procedures and techniques for a forensic science laboratory to protect and document the integrity of items of physical evidence with respect to suitability for scientific testing, and admissibility as evidence in litigation.  
1.2 This practice recommends generally accepted professional principles and operations, although the facts and issues of each situation require consideration, and frequently involve matters not expressly dealt with herein. Deviations from this practice should be based on specific articulable circumstances.  
1.3 This practice offers a set of instructions for performing one or more specific operations. This standard cannot replace knowledge, skill or ability acquired through appropriate education, training, and experience and should be used in conjunction with sound professional judgment.  
1.4 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility of the user of this standard to establish appropriate safety and health practices and determine the applicability of regulatory limitations prior to use.  
1.5 This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.

General Information

• Status: Published
• Publication Date: 14-Mar-2017
• ICS: 07.140 - Forensic science
• Technical Committee: E30 - Forensic Sciences
• Drafting Committee: E30.11 - Interdisciplinary Forensic Science Standards

Relations

• Refers: ASTM E1188-23 - Standard Practice for Collection and Preservation of Information and Physical Items by a Technical Investigator
• Effective Date: 01-Sep-2023
• Refers: ASTM E860-07(2013)e1 - Standard Practice for Examining And Preparing Items That Are Or May Become Involved In Criminal or Civil Litigation
• Effective Date: 01-Jun-2013
• Refers: ASTM E860-07(2013) - Standard Practice for Examining And Preparing Items That Are Or May Become Involved In Criminal or Civil Litigation
• Effective Date: 01-Jun-2013
• Refers: ASTM E1459-13 - Standard Guide for Physical Evidence Labeling and Related Documentation
• Effective Date: 15-Feb-2013
• Refers: ASTM E1188-11 - Standard Practice for Collection and Preservation of Information and Physical Items by a Technical Investigator
• Effective Date: 01-Sep-2011
• Refers: ASTM E860-07 - Standard Practice for Examining And Preparing Items That Are Or May Become Involved In Criminal or Civil Litigation
• Effective Date: 01-Apr-2007
• Refers: ASTM E860-97(2006) - Standard Practice for Examining And Preparing Items That Are Or May Become Involved In Criminal or Civil Litigation
• Effective Date: 15-Feb-2006
• Refers: ASTM E1459-92(2005) - Standard Guide for Physical Evidence Labeling and Related Documentation
• Effective Date: 01-May-2005
• Refers: ASTM E1188-05 - Standard Practice for Collection and Preservation of Information and Physical Items by a Technical Investigator
• Effective Date: 01-Apr-2005
• Refers: ASTM E1459-92(1998) - Standard Guide for Physical Evidence Labeling and Related Documentation
• Effective Date: 10-Nov-1998
• Refers: ASTM E860-97 - Standard Practice for Examining and Testing Items that Are or May Become Involved in Litigation
• Effective Date: 10-Jan-1997
• Refers: ASTM E1188-95 - Standard Practice for Collection and Preservation of Information and Physical Items by a Technical Investigator
• Effective Date: 01-Jan-1995

Overview

ASTM E1492-11(2017), Standard Practice for Receiving, Documenting, Storing, and Retrieving Evidence in a Forensic Science Laboratory, is a widely recognized standard from ASTM International. This standard outlines essential procedures to protect the integrity, traceability, and admissibility of physical evidence in forensic laboratories. By following ASTM E1492, forensic professionals can ensure that evidence remains suitable for scientific testing and upholds its evidentiary value in legal proceedings.

Establishing and documenting a clear chain of custody is crucial before evidence is presented in court. Properly applying the practices recommended in ASTM E1492 safeguards the chain of custody from initial receipt through all stages of evidence handling within the laboratory.

Key Topics

• Evidence Receipt and Identification

  • Assign a unique laboratory case number to all items received.
  • Record details such as submitting agency, receipt date, and the name of the receiving staff member.
  • Ensure evidence is sealed to prevent loss, contamination, or tampering.

• Chain of Custody Documentation

  • Maintain an accurate, permanent record of all custody transfers within the laboratory.
  • Identify both the person submitting and receiving evidence, with signatures for verification.

• Case File Management

  • Create a dedicated case file for each laboratory case, retaining all notes and reports.
  • Securely store case files to maintain confidentiality and integrity.

• Evidence Storage and Retrieval

  • Store evidence securely in an orderly, traceable fashion to prevent unauthorized access.
  • Maintain records for all evidence transactions, including returns, transfers, and disposals.

• Evidence Packaging and Labeling

  • Comply with best practices for packaging based on evidence type.
  • Follow recognized guidelines (such as ASTM E1459) for physical evidence labeling.

• Alteration and Testing of Evidence

  • Document any alteration or consumption required for laboratory analysis.
  • Preserve portions of evidence for possible retesting when feasible.

• Deviations and Professional Judgment

  • Deviations from the standard are permitted based on specific circumstances and must be documented.
  • The standard complements, but does not replace, professional expertise and institutional policies.

Applications

Adherence to ASTM E1492 is vital in numerous forensic science areas, including:

• Criminal and Civil Investigations
  • Legal admissibility depends on the demonstrable integrity and documentation of physical evidence.
• Forensic Science Laboratory Operations
  • Standardizes evidence receiving and documentation processes for various samples, from biological to trace evidence.
• Quality Assurance and Accreditation
  • Supports laboratories seeking ISO, ASCLD/LAB, or other forensic accreditation by fulfilling evidence management criteria.
• Judicial Proceedings
  • Ensures that all evidence presented in court can be traced and accounted for, upholding the integrity of the justice process.

Related Standards

ASTM E1492 references and is often used in conjunction with other important forensic standards, including:

• ASTM E1188 - Practice for Collection and Preservation of Information and Physical Items by a Technical Investigator, addressing chain of custody before evidence reaches the lab.
• ASTM E860 - Practice for Examining and Preparing Items That Are or May Become Involved in Criminal or Civil Litigation, covering evidence examination.
• ASTM E1459 - Guide for Physical Evidence Labeling and Related Documentation, focusing on labeling and documentation best practices.

Forensic science professionals, laboratory managers, and legal experts alike rely on ASTM E1492 to standardize evidence management, safeguard the chain of custody, and ensure evidence integrity throughout the lifecycle of an investigation.

Keywords: forensic evidence management, forensic laboratory standards, chain of custody, evidence documentation, evidence storage, ASTM E1492, forensic science standard, legal admissibility.

Standards Content (Sample)

This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the
Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
Designation: E1492 − 11 (Reapproved 2017) An American National Standard
Standard Practice for
Receiving, Documenting, Storing, and Retrieving Evidence
in a Forensic Science Laboratory
This standard is issued under the fixed designation E1492; 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 (´) indicates an editorial change since the last revision or reapproval.
1. Scope E1188 Practice for Collection and Preservation of Informa-
tion and Physical Items by a Technical Investigator
1.1 This practice describes procedures and techniques for a
E1459 Guide for Physical Evidence Labeling and Related
forensic science laboratory to protect and document the integ-
Documentation
rity of items of physical evidence with respect to suitability for
scientific testing, and admissibility as evidence in litigation.
3. Significance and Use
1.2 This practice recommends generally accepted profes-
3.1 Prior to being presented in court, a foundation must be
sional principles and operations, although the facts and issues
established showing how evidence was collected, who col-
of each situation require consideration, and frequently involve
lected the evidence, where it was collected, who has had
matters not expressly dealt with herein. Deviations from this
custody of the evidence, how the evidence has been processed,
practice should be based on specific articulable circumstances.
and when changes of custody have occurred.
1.3 This practice offers a set of instructions for performing
3.2 Following the procedures outlined in this practice can
one or more specific operations. This standard cannot replace
serve to protect the chain of custody of the evidence while the
knowledge, skill or ability acquired through appropriate
evidence is at the forensic laboratory. Refer to Practice E1188
education, training, and experience and should be used in
for chain of custody information and procedures prior to
conjunction with sound professional judgment.
submission to the laboratory.
1.4 This standard does not purport to address all of the
4. Procedure
safety concerns, if any, associated with its use. It is the
4.1 Receiving and Identifying the Evidence:
responsibility of the user of this standard to establish appro-
4.1.1 When evidence from a particular incident is first
priate safety and health practices and determine the applica-
brought to the laboratory, assign a unique numeric or alphanu-
bility of regulatory limitations prior to use.
meric laboratory case number, and use that case number when
1.5 This international standard was developed in accor-
identifying the submitted evidence as well as all subsequent
dance with internationally recognized principles on standard-
items of evidence submitted to the laboratory from the same
ization established in the Decision on Principles for the
incident or case. Laboratory numbering may adopt similar case
Development of International Standards, Guides and Recom-
numbers to those assigned by field investigators, consistent
mendations issued by the World Trade Organization Technical
with Guide E1459.
Barriers to Trade (TBT) Committee.
4.1.1.1 Record the laboratory case number in a permanent
laboratory record along with the following information: sub-
2. Referenced Documents
mitting agency and agency case number, date the case was
2.1 ASTM Standards:
received at the laboratory, name of the person receiving the
E860 Practice for Examining And Preparing Items That Are
evidence, and a listing of the items.
Or May Become Involved In Criminal or Civil Litigation
4.1.1.2 Identify the person delivering the evidence and
record that person’s name in the record of the chain of custody
when evidence is delivered in person. Document shipping and
This practice is under the jurisdiction of ASTM Committee E30 on Forensic
receipt information for evidence received through a public
Sciences and is the direct responsibility of Subcommittee E30.11 on Interdisciplin-
carrier.
ary Forensic Science Standards.
4.1.1.3 Items, or areas of items, that require protection from
Current edition approved March 15, 2017. Published March 2017. Originally
loss, cross-transfer or contamination shall be submitted in a
approved in 1992. Last previous edition approved in 2011 as E1492 – 11. DOI:
10.1520/E1492-11R17.
sealed condition or sealed immediately upon receipt at the
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
laboratory. When requested, the laboratory staff shall provide
contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM
instructions to the submitter in proper methods of packaging
Standards volume information, refer to the standard’s Document Summary page on
the ASTM website. evidence.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E1492 − 11 (2017)
4.1.1.4 A laboratory employee competent to evaluate the 4.3 Documenting Alteration of Evidence:
material shall determine whether improper packaging has 4.3.1 Do not alter a piece of evidence any more than is
diminishedordestroyedthevalueofthematerialforlaboratory absolutely necessary to obtain a valid analysis.
analysis. 4.3.1.1 It is recognized that there are some types of analyses
which require the consumption or substantial alteration of the
4.1.1.5 If an item is submitted to the laboratory that has no
apparent value, or diminished value as evidence, then the evidence. Document such consumption or alteration of the
laboratory shall still take the necessary steps to preserve the evidence. When significant alteration o
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