ASTM E2239-12(2016)

Standard Practice for Record Keeping and Record Preservation for Lead Hazard Activities

SIGNIFICANCE AND USE
4.1 This practice is intended to help reduce risks associated with lead hazards in buildings by providing standardized requirements for preserving records, findings, and recommendations associated with lead hazard activities.  
4.2 This practice is intended for use by individuals and organizations that develop and have need to preserve objective evidence when contracting for or when conducting lead hazard activities themselves.  
4.2.1 This practice is intended to assist in complying with management system requirements for record keeping as defined in Practice E1864, as well as record keeping regulatory requirements promulgated by authorities having jurisdiction regarding conduct of lead hazard activities.
SCOPE
1.1 This practice describes requirements for preservation of records generated during lead hazard activities.  
1.2 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.

General Information

• Status: Historical
• Publication Date: 30-Sep-2016
• ICS: 91.120.01 - Protection of and in buildings in general
• Technical Committee: D22 - Air Quality
• Drafting Committee: D22.12 - Sampling and Analysis of Lead for Exposure and Risk Assessment

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NOTICE: This standard has either been superseded and replaced by a new version or withdrawn.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: E2239 − 12 (Reapproved 2016)
Standard Practice for
Record Keeping and Record Preservation for Lead Hazard
Activities
This standard is issued under the fixed designation E2239; 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 describes requirements for preservation of 3.1 Definitions:
records generated during lead hazard activities.
3.1.1 For definitions of terms not appearing here, refer to
Terminology E1605.
1.2 This standard does not purport to address all of the
3.2 Definitions of Terms Specific to This Standard:
safety concerns, if any, associated with its use. It is the
3.2.1 competence, n—(1) demonstrated ability to apply
responsibility of the user of this standard to establish appro-
knowledge and skills. ISO 9000:2005 (3.1.6)
priate safety and health practices and determine the applica-
(2) specifically as applied to auditors,demonstratedpersonal
bility of regulatory limitations prior to use.
attributes and demonstrated ability to apply knowledge and
2. Referenced Documents
skills. ISO 9000:2005 (3.9.14)
2.1 ASTM Standards: 3.2.2 conformity, n—fulfillment of a requirement. ISO
D4840 Guide for Sample Chain-of-Custody Procedures 9000:2005 (3.6.1)
E1579 Guide for Ensuring Data Integrity in Highly Comput-
3.2.3 inspection, n—examination of a product design, prod-
erized Laboratory Operations (Withdrawn 2002)
uct (3.3), process, or installation and determination of its
E1605 Terminology Relating to Lead in Buildings
conformity with specific requirements or, on the basis of
E1864 Practice for Evaluating Quality Systems of Organi-
professional judgement, with general requirements. ISO
zations Conducting Facility and Hazard Assessments for
17000:2004
Lead in Paint, Dust, Airborne Particulate, and Soil in and
3.2.4 nonconformity, n—non-fulfillment of a requirement.
around Buildings and Related Structures (Withdrawn
ISO 9000:2005 (3.1.2)
2011)
3.2.5 observation, n—a judgment that is based on what one
2.2 ISO Standards:
sees while conducting lead hazard activities and that is
ISO 9000-3 Quality Management and Quality Assurance
substantiated by objective evidence.
Standards—Part 3: Guidelines for the Application of ISO
9001:1994 to the Development, Supply, Installation and
3.2.6 objective evidence, n—data supporting the existence
Maintenance of Computer Software
or verity of something. ISO 9000:2005 (3.8.1)
ISO 9000:2005 Quality Management Systems—Fundamen-
3.2.6.1 Discussion—Objective evidence may be obtained
tals and Vocabulary
through observation, measurement, test, or other means.
ISO 17000:2004 ConformityAssessment—General Vocabu-
3.2.7 procedure, n—specified way to carry out an activity or
lary and Principles
process. ISO 9000:2005 (3.4.5)
3.2.7.1 Discussion—In many cases, procedures are docu-
1 mented (for example, quality system procedures). When a
This practice is under the jurisdiction ofASTM Committee D22 on Air Quality
and is the direct responsibility of Subcommittee D22.12 on Sampling andAnalysis,
procedure is documented, the term “written procedure” or
of Lead, for Exposure and Risk Assessment.
“documented procedure” is frequently used. A written or
Current edition approved Oct. 1, 2016. Published October 2016. Originally
documentedprocedureusuallycontainsthepurposesandscope
approved in 2002. Last previous edition approved in 2012 as E2239–12. DOI:
of an activity; what shall be done and by whom; when, where
10.1520/E2239-12R16.
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
and how it shall be done; what materials, equipment and how
contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM
documents shall be used; and how it shall be controlled and
Standards volume information, refer to the standard’s Document Summary page on
recorded.
the ASTM website.
The last approved version of this historical standard is referenced on
3.2.8 record, n—a document stating results achieved or
www.astm.org.
providing evidence of activities performed.
Available fromAmerican National Standards Institute (ANSI), 25 W. 43rd St.,
4th Floor, New York, NY 10036, http://www.ansi.org. ISO 9000:2005 (3.7.6)
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E2239 − 12 (2016)
3.2.9 requirement, n—need or expectation that is stated, 5.3.1.3 Entries shall be signed or initialed, and dated each
generally implied or obligatory. ISO 9000:2005 (3.1.2) workday by the personnel generating the entries and by the
reviewer, where possible.
4. Significance and Use
5.3.2 Pre-printed Data Forms:
5.3.2.1 Data forms, either ASTM forms or equivalent, shall
4.1 This practice is intended to help reduce risks associated
with lead hazards in buildings by providing standardized be defined in terms of the associated ASTM standard.
5.3.2.2 All entries shall be made using water insoluble ink.
requirements for preserving records, findings, and recommen-
dations associated with lead hazard activities. 5.3.2.3 Data forms shall be signed or initialed, and dated
each workday by the person(s) generating the forms and the
4.2 This practice is intended for use by individuals and
reviewer, where possible.
organizations that develop and have need to preserve objective
5.3.2.4 Data forms shall be numbered in a “page of page”
evidence when contracting for or when conducting lead hazard
format for each activity.
activities themselves.
5.3.3 Graphs and Drawings:
4.2.1 This practice is intended to assist in complying with
5.3.3.1 Graphs and drawing shall be labeled so that a person
management system requirements for record keeping as de-
with competence in performing lead hazard activities and
fined in Practice E1864, as well as record keeping regulatory
unfamiliar with their generation can decipher them.
requirements promulgated by authorities having jurisdiction
5.3.4 Chain-of-Custody Forms:
regarding conduct of lead hazard activities.
5.3.4.1 Chain of custody forms (see Guide D4840) shall be
5. Records completed and labeled with the lead hazard activity (name,
address, and other appropriate information).
5.1 General Requirements:
5.3.5 Photographs:
5.1.1 Records of original observations, evidence of confor-
5.3.5.1 Records shall be created and traceable to both the
mity or nonconformity to requirements, and derived data shall
photograph and to the lead hazard activity (for example, name,
contain sufficient information to provide traceability and to
address, and other appropriate information), the name of the
enable an individual having competence with lead hazard
person taking the photograph, and the date taken.
activities to reach the same conclusion(s).
5.1.2 Observations, data, and calculations shall be recorded
NOTE 2—Photographs may be taken using film or digital means (see
at the time
...

This document is not an ASTM standard and is intended only to provide the user of an ASTM standard an indication of what changes have been made to the previous version. Because
it may not be technically possible to adequately depict all changes accurately, ASTM recommends that users consult prior editions as appropriate. In all cases only the current version
of the standard as published by ASTM is to be considered the official document.
Designation: E2239 − 12 E2239 − 12 (Reapproved 2016)
Standard Practice for
Record Keeping and Record Preservation for Lead Hazard
Activities
This standard is issued under the fixed designation E2239; 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
1.1 This practice describes requirements for preservation of records generated during lead hazard activities.
1.2 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.
2. Referenced Documents
2.1 ASTM Standards:
D4840 Guide for Sample Chain-of-Custody Procedures
E1579 Guide for Ensuring Data Integrity in Highly Computerized Laboratory Operations (Withdrawn 2002)
E1605 Terminology Relating to Lead in Buildings
E1864 Practice for Evaluating Quality Systems of Organizations Conducting Facility and Hazard Assessments for Lead in Paint,
Dust, Airborne Particulate, and Soil in and around Buildings and Related Structures (Withdrawn 2011)
2.2 ISO Standards:
ISO 9000-3 Quality Management and Quality Assurance Standards—Part 3: Guidelines for the Application of ISO 9001:1994
to the Development, Supply, Installation and Maintenance of Computer Software
ISO 9000:2005 Quality Management Systems—FundamentalsSystems—Fundamen-
tals and Vocabulary
ISO 17000:2004 Conformity Assessment—General Vocabulary and Principles
3. Terminology
3.1 Definitions:
3.1.1 For definitions of terms not appearing here, refer to Terminology E1605.
3.2 Definitions of Terms Specific to This Standard:
3.2.1 competence, n—(1) demonstrated ability to apply knowledge and skills. ISO 9000:2005 (3.1.6)
(2) specifically as applied to auditors, demonstrated personal attributes and demonstrated ability to apply knowledge and skills.
ISO 9000:2005 (3.9.14)
3.2.2 conformity, n—fulfillment of a requirement. ISO 9000:2005 (3.6.1)
3.2.3 inspection, n—examination of a product design, product (3.3), process, or installation and determination of its conformity
with specific requirements or, on the basis of professional judgement, with general requirements. ISO 17000:2004
3.2.4 nonconformity, n—non-fulfillment of a requirement. ISO 9000:2005 (3.1.2)
3.2.5 observation, n—a judgment that is based on what one sees while conducting lead hazard activities and that is substantiated
by objective evidence.
3.2.6 objective evidence, n—data supporting the existence or verity of something. ISO 9000:2005 (3.8.1)
This practice is under the jurisdiction of ASTM Committee E06 on Performance of Buildings and is the direct responsibility of Subcommittee E06.23 on Lead Hazards
Associated with Buildings.
Current edition approved July 15, 2012Oct. 1, 2016. Published August 2012October 2016. Originally approved in 2002. Last previous edition approved in 20042012 as
E2239 – 04.E2239–12. DOI: 10.1520/E2239-12.10.1520/E2239-12R16.
For referenced ASTM standards, visit the ASTM website, www.astm.org, or contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM Standards
volume information, refer to the standard’s Document Summary page on the ASTM website.
The last approved version of this historical standard is referenced on www.astm.org.
Available from American National Standards Institute (ANSI), 25 W. 43rd St., 4th Floor, New York, NY 10036, http://www.ansi.org.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E2239 − 12 (2016)
3.2.6.1 Discussion—
Objective evidence may be obtained through observation, measurement, test, or other means.
3.2.7 procedure, n—specified way to carry out an activity or process. ISO 9000:2005 (3.4.5)
3.2.7.1 Discussion—
In many cases, procedures are documented (for example, quality system procedures). When a procedure is documented, the term
“written procedure” or “documented procedure” is frequently used. A written or documented procedure usually contains the
purposes and scope of an activity; what shall be done and by whom; when, where and how it shall be done; what materials,
equipment and how documents shall be used; and how it shall be controlled and recorded.
3.2.8 record, n—a document stating results achieved or providing evidence of activities performed.
ISO 9000:2005 (3.7.6)
3.2.9 requirement, n—need or expectation that is stated, generally implied or obligatory. ISO 9000:2005 (3.1.2)
4. Significance and Use
4.1 This practice is intended to help reduce risks associated with lead hazards in buildings by providing standardized
requirements for preserving records, findings, and recommendations associated with lead hazard activities.
4.2 This practice is intended for use by individuals and organizations that develop and have need to preserve objective evidence
when contracting for or when conducting lead hazard activities themselves.
4.2.1 This practice is intended to assist in complying with management system requirements for record keeping as defined in
Practice E1864, as well as record keeping regulatory requirements promulgated by authorities having jurisdiction regarding
conduct of lead hazard activities.
5. Records
5.1 General Requirements:
5.1.1 Records of original observations, evidence of conformity or nonconformity to requirements, and derived data shall contain
sufficient information to provide traceability and to enable an individual having competence with lead hazard activities to reach
the same conclusion(s).
5.1.2 Observations, data, and calculations shall be recorded at the time they are made and shall be identifiable to the specific
task.
5.1.2.1 In cases where written records are damaged and unusable (that is, crumpled or torn), a legible re-created record, where
possible, shall be prepared and attached to the original damaged record.
NOTE 1—For additional information on the subject of data integrity, see Guide E1579.
5.1.3 Records shall contain the identity of the personnel generating them.
5.1.4 Records are permitted to be in any media, such as hard copy or electronic.
5.1.5 As a minimum, records shall be preserved consistent with requirements of regulatory authorities having jurisdiction.
5.2 Summary List of Records:
5.2.1 A list of all records shall be prepared to serve as an index of all individual records for a specific lead hazard activity.
5.2.2 This list shall summarize the identity of each record, the type of record, and where the records are stored.
5.3 Record Types—A wide variety of record types may be used to record lead hazard activities including log books, notebooks,
pre-printed data forms, chain-of-custody forms, graphs and drawings, photographs, lead-hazard activity reports, test reports, and
electronic me
...