ASTM D4840-99
(Guide)Standard Guide for Sampling Chain-of-Custody Procedures
Standard Guide for Sampling Chain-of-Custody Procedures
SCOPE
1.1 This guide contains a comprehensive discussion of potential requirements for a sample chain-of-custody program and describes the procedures involved in sample chain-of-custody. The purpose of these procedures is to provide accountability for and documentation of sample integrity from the time samples are collected until sample disposal.
1.2 These procedures are intended to document sample possession during each stage of a sample's life cycle, that is, during collection, shipment, storage, and the process of analysis.
1.3 Sample chain-of-custody is just one aspect of the larger issue of data defensibility (see 3.2.2 and Appendix X1).
1.4 A sufficient chain-of-custody process, that is, one that provides sufficient evidence of sample integrity in a legal or regulatory setting, is situationally dependent. The procedures presented in this guide are generally considered sufficient to assure legal defensibility of sample integrity. In a given situation, less stringent measures may be adequate. It is the responsibility of the users of this guide to determine their exact needs. Legal counsel may be needed to make this determination.
1.5 Because there is no definitive program that guarantees legal defensibility of data integrity in any given situation, this guide provides a description and discussion of a comprehensive list of possible elements of a chain-of-custody program, all of which have been employed in actual programs but are given as options for the development of a specific chain-of-custody program. In addition, within particular chain-of-custody elements, this guide proscribes certain activities to assure that if these options are chosen, they will be implemented properly.
1.6 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.
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An American National Standard
Designation: D 4840 – 99
Standard Guide for
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Sample Chain-of-Custody Procedures
This standard is issued under the fixed designation D 4840; 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 2. Referenced Documents
1.1 This guide contains a comprehensive discussion of 2.1 ASTM Standards:
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potential requirements for a sample chain-of-custody program D 1129 Terminology Relating to Water
and describes the procedures involved in sample chain-of- D 3325 Practice for Preservation of Waterborne Oil
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custody. The purpose of these procedures is to provide account- Samples
ability for and documentation of sample integrity from the time D 3370 Practices for Sampling Water from Closed Con-
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samples are collected until sample disposal. duits
1.2 These procedures are intended to document sample D 3694 Practices for Preparation of Sample Containers and
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possession during each stage of a sample’s life cycle, that is, for Preservation of Organic Constituents
during collection, shipment, storage, and the process of analy- D 3856 Guide for Good Laboratory Practices in Laborato-
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sis. ries Engaged in Sampling and Analysis of Water
1.3 Sample chain-of-custody is just one aspect of the larger D 4210 Practice for Intralaboratory Quality Control Proce-
2
issue of data defensibility (see 3.2.2 and Appendix X1). dures and a Discussion on Reporting Low Level Data
1.4 A sufficient chain-of-custody process, that is, one that D 4841 Practice for Estimation of Holding Time for Water
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provides sufficient evidence of sample integrity in a legal or Samples Containing Organic and Inorganic Constituents
regulatory setting, is situationally dependent. The procedures 2.2 U.S. EPA Standard:
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presented in this guide are generally considered sufficient to U.S. EPA Good Automated Laboratory Practices
assure legal defensibility of sample integrity. In a given
3. Terminology
situation, less stringent measures may be adequate. It is the
responsibility of the users of this guide to determine their exact 3.1 Definitions: For definitions of terms used in this guide,
refer to Terminology D 1129.
needs. Legal counsel may be needed to make this determina-
3.2 Definitions of Terms Specific to This Standard:
tion.
1.5 Because there is no definitive program that guarantees 3.2.1 custody—physical possession or control. A sample is
under custody if it is in possession or under control so as to
legal defensibility of data integrity in any given situation, this
guide provides a description and discussion of a comprehen- prevent tampering or alteration of its characteristics.
3.2.2 data defensibility—a process that provides sufficient
sive list of possible elements of a chain-of-custody program, all
of which have been employed in actual programs but are given assurance, both legal and technical, that assertions made about
a sample and its measurable characteristics can be supported to
as options for the development of a specific chain-of-custody
program. In addition, within particular chain-of-custody ele- an acceptable level of certainty. See Appendix X1 for a
discussion of the elements of a data defensibility process.
ments, this guide proscribes certain activities to assure that if
these options are chosen, they will be implemented properly. 3.2.3 sample—a portion of an environmental or source
matrix that is collected and used to determine the characteris-
1.6 This standard does not purport to address all of the
safety concerns, if any, associated with its use. It is the tics of that matrix.
3.2.4 sample chain-of-custody—a process whereby a
responsibility of the user of this standard to establish appro-
priate safety and health practices and determine the applica- sample is maintained under physical possession or control
during its entire life cycle, that is, from collection to disposal.
bility of regulatory limitations prior to use.
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This practice is under the jurisdiction of ASTM Committee D19 on Water and
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is the direct responsibility of Subcommittee D19.02 on General Specifications, Annual Book of ASTM Standards, Vol 11.01.
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Technical Resources, and Statistical Methods. Annual Book of ASTM Standards, Vol 11.02.
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Current edition approved Dec. 10, 1999. Published January 2000. Originally Available from Superintendent of Documents, Government Printing Office,
published as D 4840 – 88. Last previous edition D 4840 – 95. Washington, DC.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.
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