ASTM E2028-99(2005)

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Reporting Results of Investigation of Metal, Ore, or Metal Related Samples that Are or May Be Involved in Litigation (Withdrawn 2014)

SIGNIFICANCE AND USE
This practice sets guidelines for the receiving, testing and reporting of result of the investigation of metal, ores and related materials that may constitute evidence that is or may become involved in litigation. It outlines procedures to be followed to document the nature and condition of the evidence, the planning and performance of the testing, and actions that involve altering the nature or condition of the evidence.
SCOPE
1.1 This practice covers the procedures to be used for receiving, testing and reporting results of investigation of metals, ores, related materials or samples thereof that have been the subject of an incident that is or is reasonably expected to be the subject of litigation.
1.2 This practice was developed particularly for cases involving civil litigation, however it can be applied to criminal cases where it does not conflict with applicable laws and regulations.
WITHDRAWN RATIONALE
This practice covered the procedures to be used for receiving, testing and reporting results of investigation of metals, ores, related materials or samples thereof that have been the subject of an incident that is or is reasonably expected to be the subject of litigation.
Formerly under the jurisdiction of Committee E01 on Analytical Chemistry for Metals, Ores, and Related Materials, this practice was withdrawn in January 2014 in accordance with section 10.6.3 of the Regulations Governing ASTM Technical Committees, which requires that standards shall be updated by the end of the eighth year since the last approval date.

General Information

• Status: Withdrawn
• Publication Date: 30-Apr-2005
• Withdrawal Date: 10-Feb-2014
• ICS: 03.120.20 - Product and company certification. Conformity assessment
• Technical Committee: E01 - Analytical Chemistry for Metals, Ores, and Related Materials
• Drafting Committee: E01.20 - Fundamental Practices

Relations

• Replaces: ASTM 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
• Effective Date: 01-May-2005

Standards Content (Sample)

NOTICE: This standard has either been superseded and replaced by a new version or withdrawn.
Contact ASTM International (www.astm.org) for the latest information
Designation: E2028 − 99 (Reapproved2005)
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 E2028; 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 3. Terminology
1.1 This practice covers the procedures to be used for
3.1 Definitions:
receiving, testing and reporting results of investigation of
3.1.1 deposition, n—the process during which a potential
metals, ores, related materials or samples thereof that have
witness for a trial is questioned under oath (“being deposed”)
been the subject of an incident that is or is reasonably expected
by the attorney of the opposing party prior to the trial as part
to be the subject of litigation.
of the “discovery” process.
1.2 This practice was developed particularly for cases in-
3.1.2 evidence chain of custody form, n— form used to
volving civil litigation, however it can be applied to criminal
accompany the evidence, when evidence is transmitted from
cases where it does not conflict with applicable laws and
one person to another to prove a continuous chain of custody.
regulations.
3.1.3 expert witness, n—a witness having expertise in the
field in which he is about to give testimony and whose
2. Referenced Documents
testimony can aid the judge and jury to understand the
2.1 ASTM Standards:
technical facts involved in the case before them.
E620 Practice for Reporting Opinions of Scientific or Tech-
3.1.3.1 Discussion—Before being accepted as an expert
nical Experts
witness in a case, the witness has to submit to an examination
E678 Practice for Evaluation of Scientific or Technical Data
and a cross examination concerning his qualifications. An
E860 Practice for Examining And Preparing Items That Are
expert witness can testify to what he saw, heard, or did (such
Or May Become Involved In Criminal or Civil Litigation
as tests performed), and state opinions in his field of expertise.
E1188 Practice for Collection and Preservation of Informa-
tion and Physical Items by a Technical Investigator 3.2 Definitions of Terms Specific to This Standard:
3.2.1 evidence, n—any metal, ore or related material, re-
2.2 ISO Standard:
ISO Guide 25 General Requirements for the Competence of gardless whether or not it is an entire part, a portion of a part
or a representative sample of some metal, ore or related
Calibration and Testing Laboratories
material, having actual or potential bearing on the incident or
2.3 Other Documents:
its outcome.
NIST Handbook 150 NVLAP Procedures and General
Requirements
3.2.2 incident, n—any event or occurrence that causes
NIST Handbook 150-18 NVLAP Fasteners and Metals
directly or indirectly death, injury, or material damage that
results or can result in a claim or litigation.
3.2.3 investigator, n—the technically competent person in
This practice is under the jurisdiction of ASTM Committee E01 on Analytical
charge of the testing.
Chemistry for Metals, Ores, and Related Materials and is the direct responsibility of
Subcommittee E01.20 on Fundamental Practices.
Current edition approved May 1, 2005. Published June 2005. Originally
4. Significance and Use
approved in 1999. Last previous edition approved in 1999 as E2028 – 99. DOI:
10.1520/E2028-99R05.
4.1 This practice sets guidelines for the receiving, testing
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
and reporting of result of the investigation of metal, ores and
contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM
related materials that may constitute evidence that is or may
Standards volume information, refer to the standard’s Document Summary page on
the ASTM website.
become involved in litigation. It outlines procedures to be
Available fromAmerican National Standards Institute (ANSI), 25 W. 43rd St.,
followedtodocumentthenatureandconditionoftheevidence,
4th Floor, New York, NY 10036.
the planning and performance of the testing, and actions that
AvailablefromU.S.GovernmentPrintingOfficeSuperintendentofDocuments,
732 N. Capitol St., NW, Mail Stop: SDE, Washington, DC 20401. involve altering the nature or condition of the evidence.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E2028 − 99 (2005)
5. Procedure—General 6.2 The record created at the time of the receipt of the
sample should include the following information:
5.1 The laboratory performing the testing can be: a labora-
6.2.1 A brief factual description of the incident indicating
tory owned or operated, or both, by one of the parties involved
the date and time of the incident, and the source of information
or potentially involved in the litigation of the incident, such as
for the stated facts.
plaintiff(s),ordefendant(s), an independent laboratoryhiredby
6.2.2 The date and time of the submission of the evidence,
one of the parties involved or his representative, a laboratory
andthenumberofpiecesofevidencesubmitted.Foreachpiece
owned or hired by a government agency to establish if any
of evidence, the unique number assigned to that sample, and
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
5.3 Confidentiality—No aspects of the case, incident,
investigator, signed by the person submitting the evidence and
evidence, and tests planned or performed shall be discussed
the investigator. One copy shall be given to the person
with anyone outside the technical personnel of the laboratory.
delivering the evidence and a copy shall be attached to the
Such discussions with technical personnel within the labora-
record.
tory shall be conducted strictly on a “need to know” basis.
6.2.5 All instructions received shall be recorded including
the identification of the person who gave the instructions and
6. Procedure—Evidence Receiving
how the instructions were given, such as, verbally, by
messenger, by signed letter, or by telephone.
6.1 When evidence is received by the laboratory, company
or organization, the appointed investigator shall immediately 6.2.6 Any and all other pertinent facts.
take charge of the evidence. If no investigator has been
6.3 No entry shall be made based on opinion or deduction.
appointed, the senior management person shall immediately
6.4 All evidence received shall be properly identified with
appoint one. The investigator shall assign a unique case
the assigned unique sample number, and secured from unau-
number to the incident and the evidence and prepare a record
thorizedaccess.Itshallbestoredinalocationwheretheaccess
for the case.
is restricted to the investigator, and in a manner that is suitable
NOTE 1—The unique case numbers (however called) shall be alpha-
for the proper preservation of the evidence.
numeric numbers, using letters of the standard English alphabet and
Arabic numerals. Example: The case number for an incident may be
7. Procedure—Planning of Testing
BL-12345 and each piece of evidence numbered BL-12345-1, BL-
12345-2, BL-12345-3, etc. If any of the pieces of evidence is subdivided,
7.1 The first step in planning should be deciding which tests
cut, or broken, each portion may be referred to as BL-12345-2a,
the laboratory intends to perform.
BL-12345-2b,etc.Thenumbershallbeunique.Itshallnothavebeenused
before, and shall not be used again in conjunction with any other case.
7.1.1 If the laboratory is part of the organization that is
involved in the litigation (or potential litigation), the investi-
6.1.1 If the laboratory keeps its records in record books, it
gator should consult with the legal advisor (attorney) handling
may be advisable to start a new record book for each incident.
the litigation (or potential litigation) for the organization. His
If a record book is used for the record of the investigation, it
advice should be followed. No work should be performed
should be a bound book with numbered pages.
without his prior approval. The decision on which tests to
6.1.2 If the laboratory keeps its records on a computer, it
perform should be made by the legal advisor with technical
may be advisable to keep the records of a case that is involved
input from the investigator.
in or subject to litigation in a record book, or, at least, on a
7.1.2 If the laboratory is an independent laboratory hired by
completely separate data base if there is a compelling reason to
one of the parties involved in the litigation (or potential
keep it on a computer.
litigation), the decision regarding the tests should be made by
NOTE 2—All records related to a case may be subpoenaed by a court
the party that hired the laboratory, preferably after they have
and are subject to inspection by the opposing party during the discovery
consulted with their legal advisor (attorney) handling the
process.Iforiginalrecordshavetobeintroduced,complicationsmayarise
if the records are not kept separately. litigation (or potential litigation). In some instances the client
E2028 − 99 (2005)
may request that the laboratory consult with and receive the 8.4 The investigator should be present to observe all tests,
instructions from their legal advisor. even if they are performed by another technically competent
7.1.3 If the laboratory is hired by both parties involved in person, so that he can testify to all tests performed.
the litigation (or potential litigation) to act as an arbitrator, the
9. Testing—Special Conditions
parties jointly have to decide whether or not to leave the
decisiononwhichteststoperformtothelaboratoryperforming
9.1 Special conditions may apply when the testing of an
the tests, or they can limit it to certain specified tests.
item of evidence is regulated by law or regulations.
7.1.4 The court’s or arbitrator’s decision concerning the
9.2 In the United States, the testing of fasteners falls within
tests to be performed shall be followed.
the scope of this practice and is regulated by law and
7.1.5 If the laboratory is a governmental laboratory inves-
regulations. Certain fasteners to be made, sold or used in the
tigating any violations of law or regulations in conjunction
United Sates have to be tested in accordance with the Fastener
with the incident, the laboratory shall follow the agency’s or
4,5
Quality Act (FQA) , and applicable regulations, by laborato-
laboratory’s standard policies if the policies include record
ries certified for the testing of fasteners.
keeping outlined in this practice and impartial testing.
9.3 Although any laboratory can test fasteners for litigation
7.2 If the investigator determines that the tests requested
purposes, a laboratory may face a question of credibility if it is
require any alteration in the appearance, state, or condition,
not certified for fastener testing.
including, but not exclusively, the cutting up or removal of a
portion of any of the evidence, he should take the following
10. Reporting Results
steps prior to proceeding, in accordance with Practice E860:
10.1 The report issued at the conclusion of the testing shall
7.2.1 Notify the legal advisor handling the litigation if the
contain all the following items as listed in Section 13 of ISO
laboratory is part of the organization that is involved in the
Guide 25:
litigation (or potential litigation). The legal advisor may want
10.1.1 A title, such as “Test Report” or “ Test Certificate,”
to proceed or notify the other interested parties or the courts, if
10.1.2 The name and address of the laboratory, and the
applicable.
location where the test was carried out if different from the
7.2.2 Notify his client if the laboratory is an independent
address of the laboratory,
laboratory hired by one of the parties involved in the litigation
10.1.3 A unique identification of the certificate or report
(or potential litigation).
(see 6.1 and Note 1) and of each page, and the total number of
7.2.3 Notify both parties if the laboratory is an independent
pages,
laboratory hired by both of the parties involved in the litigation
10.1.4 Name and address of the client, where appropriate,
(or potential litigation).
10.1.5 The description and unambiguous identification of
7.2.4 Notify the court or arbitrator if the laboratory is
the evidence item(s) tested,
appointed by the court (or arbitrator).
10.1.6 The characterization and condition of the evidence
7.2.5 If compelling reasons exist to perform the action
item(s),
withoutnotifyingotherparties,theinvestigatorhastodraftand
10.1.7 The date of receipt of the evidence item(s),
preserve documentation supporting the compelling reasons for
10.1.8 The identification of the test method(s) used or
such action.
unambiguous description of any non-standard methods used,
7.3 When any subdivision (cutting) or any other alteration
...