ASTM D4840-99(2004)
(Guide)Standard Guide for Sampling Chain-of-Custody Procedures
Standard Guide for Sampling Chain-of-Custody Procedures
SIGNIFICANCE AND USE
Chain-of-custody procedures are a necessary element in a program to assure one’ability to support data and conclusions adequately in a legal or regulatory situation, but custody documentation alone is not sufficient. A complete data defensibility scheme should be followed.
In applying the sample chain-of-custody procedures in this guide, it is assumed that all of the other elements of data defensibility have been applied, if applicable.
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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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: D4840 – 99 (Reapproved 2004)
Standard Guide for
Sample Chain-of-Custody Procedures
This standard is issued under the fixed designation D4840; 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 2. Referenced Documents
1.1 This guide contains a comprehensive discussion of 2.1 ASTM Standards:
potential requirements for a sample chain-of-custody program D1129 Terminology Relating to Water
and describes the procedures involved in sample chain-of- D3325 Practice for Preservation ofWaterborne Oil Samples
custody.Thepurposeoftheseproceduresistoprovideaccount- D3370 Practices for Sampling Water from Closed Conduits
abilityforanddocumentationofsampleintegrityfromthetime D3694 Practices for Preparation of Sample Containers and
samples are collected until sample disposal. for Preservation of Organic Constituents
1.2 These procedures are intended to document sample D3856 Guide for Good Laboratory Practices in Laborato-
possession during each stage of a sample’s life cycle, that is, ries Engaged in Sampling and Analysis of Water
during collection, shipment, storage, and the process of analy- D4210 Practice for Intralaboratory Quality Control Proce-
sis. dures and a Discussion on Reporting Low-Level Data
1.3 Sample chain-of-custody is just one aspect of the larger D4841 Practice for Estimation of Holding Time for Water
issue of data defensibility (see 3.2.2 and Appendix X1). Samples Containing Organic and Inorganic Constituents
1.4 A sufficient chain-of-custody process, that is, one that 2.2 U.S. EPA Standard:
provides sufficient evidence of sample integrity in a legal or U.S. EPA Good Automated Laboratory Practices
regulatory setting, is situationally dependent. The procedures
3. Terminology
presented in this guide are generally considered sufficient to
assure legal defensibility of sample integrity. In a given 3.1 Definitions: For definitions of terms used in this guide,
refer to Terminology D1129.
situation, less stringent measures may be adequate. It is the
responsibility of the users of this guide to determine their exact 3.2 Definitions of Terms Specific to This Standard:
3.2.1 custody—physical possession or control. A sample is
needs. Legal counsel may be needed to make this determina-
under custody if it is in possession or under control so as to
tion.
1.5 Because there is no definitive program that guarantees prevent tampering or alteration of its characteristics.
3.2.2 data defensibility—a process that provides sufficient
legal defensibility of data integrity in any given situation, this
guide provides a description and discussion of a comprehen- assurance, both legal and technical, that assertions made about
a sample and its measurable characteristics can be supported to
sivelistofpossibleelementsofachain-of-custodyprogram,all
of which have been employed in actual programs but are given an acceptable level of certainty. See Appendix X1 for a
discussion of the elements of a data defensibility process.
as options for the development of a specific chain-of-custody
program. In addition, within particular chain-of-custody ele- 3.2.3 sample—a portion of an environmental or source
matrix that is collected and used to determine the characteris-
ments, this guide proscribes certain activities to assure that if
these options are chosen, they will be implemented properly. tics of that matrix.
3.2.4 sample chain-of-custody—a process whereby a
1.6 This standard does not purport to address all of the
safety concerns, if any, associated with its use. It is the sample is maintained under physical possession or control
during its entire life cycle, that is, from collection to disposal.
responsibility of the user of this standard to establish appro-
priate safety and health practices and determine the applica-
bility of regulatory limitations prior to use. 2
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
Standards volume information, refer to the standard’s Document Summary page on
This guide is under the jurisdiction of ASTM Committee D19 on Water and is the ASTM website.
thedirectresponsibilityofSubcommitteeD19.02onQualitySystems,Specification, Withdrawn.
and Statistics. Withdrawn. The last approved version of this historical standard is referenced
Current edition approved March 1, 2004. Published January 2000. Originally on www.astm.org.
approved in 1988. Last previous edition approved in 1995 as D4840 – 95. DOI: Available from Superintendent of Documents, Government Printing Office,
10.1520/D4840-99R04. Washington, DC.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.
D4840 – 99 (2004)
3.2.5 sample chain-of-custody record— documentation pro- (a) Sample identifying name.
viding evidence that physical possession or control was main- (b) Sampling location ID, sampling point ID, date, and
tained during sample chain-of-custody.
sampling time interval.
(c) Signatures of sampling personnel and signatures of all
4. Summary of Guide
personnel handling and receiving the samples.
(d) Project identification code (if applicable).
4.1 This guide addresses chain-of-custody procedures as
(e) Preservation (to alert lab personnel): amount and type.
they relate to field practices, shipping methods, and laboratory
(f) Number of containers (where field sub-sampling oc-
handling of samples.
curs). Indicate number of replicates if there are multiple
containers of the same sample.
5. Significance and Use
(g) Field notes.
5.1 Chain-of-custody procedures are a necessary element in
(h) Analyses desired (may be required in some situations).
a program to assure one’s ability to support data and conclu-
(i) Sample type: grab, composite, etc.
sions adequately in a legal or regulatory situation, but custody
Example forms are shown in Appendix X2.
documentation alone is not sufficient. A complete data defen-
6.2.2.5 Freight bills, post office receipts, and bills of lading
sibility scheme should be followed.
should be retained as part of the permanent custody documen-
5.2 In applying the sample chain-of-custody procedures in
tation.
this guide, it is assumed that all of the other elements of data
6.2.3 Sample Labeling:
defensibility have been applied, if applicable.
6.2.3.1 Sample labels may be in the form of adhesive labels
ortags,orboth.Tagshavetheadvantageofbeingremovableto
6. Procedure
become part of the record keeping process, although their
6.1 Facility Chain-of-Custody Standard Operating
inadvertentlossorinappropriateremovalmayleavethesample
Procedure—Each organization should have a chain-of-custody
without documentation. Labels should be made of waterproof
procedure document. This document should spell out in detail
paper and indelible ink should be used to make entries.
the specific procedures utilized at this facility to achieve
Alternatively, sample information may be written directly on
sample chain-of-custody. It should contain copies of all the
the sample container, as long as the writing can be done
forms used in the chain-of-custody process and detailed
indelibly.Containersshouldbefreefromotherlabelsandother
instructions for their use. It should be kept current and
writing to prevent any confusion. If both tags and labels are
revisions tracked. This guide may serve as a template for the
used, care should be taken to ensure that the information on
chain-of-custody procedure document.
both is identical.
6.2 Sample Collection Phase:
6.2.3.2 Labels or tags should be filled out just before or
6.2.1 Custody Assignment—A single field sampling person
immediately after sample collection. Labels should contain
should be assigned responsibility for custody of samples. An
spaces for the following information:
alternate custodian should also be assigned to cover the prime
(a) Project identification code (if applicable).
custodian’s absence. As few people as possible should handle
(b) Sample identifying name (exactly as it appears on the
samples. The assigned field sampler should be personally
chain-of-custody record).
responsible for the care and custody of the samples collected
(c) Sampling location ID, sampling point ID, and sampling
until they are properly transferred. While samples are in their
time interval.
custody, field personnel should be able to testify that no one
(d) Safety considerations (if applicable).
was able to tamper with the samples without their knowledge.
(e) Analysis schedule or schedule code (if applicable).
6.2.2 Documentation/Field Custody Forms:
6.2.2.1 Standard forms should be designed and available for (f) Company or agency name.
An example label is shown in Appendix X2.
recording custody information related to field sample handling.
The forms may be designed to handle one sample or multiple 6.2.4 Sample Sealing:
samples.Asingle sample form may allow room for laboratory
6.2.4.1 Sample custody seals of waterproof adhesive paper
chain-of-custody.
may be used to detect unauthorized tampering with samples
6.2.2.2 In any sampling effort, there is field information
prior to receipt by the lab. When seals are used, they shall be
related to sample collection and field measurements that are
appliedsothatitisnecessarytobreaktheminordertoopenthe
recorded. This information is not specifically part of chain-of-
sample container.
custody, but part of the larger aspect of data defensibility. This
6.2.4.2 Electrical (vinyl) tape may be used to prevent bottle
information may be recorded on chain-of-custody forms or
closures from loosening in transit. Tape should be applied
other forms specific for the purpose. Record keeping may be
before any custody seals are applied.
simplified if separate forms are used.
NOTE 1—Electrical tape should not be used to seal vials used for
6.2.2.3 It may be useful to print field forms on polyethylene
volatile organic analyses due to the potential for sample contamination.
or other plastic coated paper to keep them from being affected
6.2.5 Field Transfer of Custody and Shipment:
bywaterorchemicals.Anindelibleink,paint,orcrayonshould
be used to enter information on the forms. 6.2.5.1 Package samples properly for shipment and trans-
6.2.2.4 Spaces for the following information should be on port them to the laboratory for analysis. Special care should be
the form: taken when packaging in glass. It is important that all laws and
D4840 – 99 (2004)
regulations related to the transport of materials have been sample label against that on the chain-of-custody record. The
adequately addressed before shipping samples. temperature of the samples should be recorded on the chain-
of-custody record. If samples are not delivered in a cooler,
6.2.5.2 When employing a common carrier, the use of
indicate on record. If pH adjustment to preserve the sample
padlocks or custody seals on shipping containers should be
considered.Ifpadlocksareemployed,thekeysshallbeshipped was done in the field, the pH of the samples should be checked
and recorded on the chain-of-custody record.
separately from the samples. Alternatively, padlocks may be
sent unfastened to the field and the keys can be retained by the
6.3.2.3 If a sample container is leaking, note it on the
laboratory sample custodian (see 6.3.2.1). A separate custody
custody record. The custodian, along with the supervisor
record should accompany each shipment. Enter the method of
responsible for the analytical work, should decide whether the
shipment, courier name(s), and other pertinent information in
leaky sample is valid. If seals are used, the custodian should
the “remarks” section on the custody record.
examine whether the sample seal is intact or broken, since a
6.2.5.3 If sent by mail, register the package with return
broken seal may mean sample tampering and may make
receipt requested.
analytical results inadmissible as evidence in court. Any
6.2.5.4 When transferring the possession of samples, the
discrepancies between the information on the sample label and
individuals relinquishing and the individuals receiving the seal and the information on the chain-of-custody record should
samples should sign, date, and note the time on the custody
be resolved before the sample is assigned for analysis. This
record. Document any opening and closing of the sample effort might require communication with the sample collector.
containers on the custody record. Provisions should be made
Record the results of any such investigation.
for receipt of samples at nonstandard hours, such as nights and
6.3.2.4 After processing the sample, (splitting, logging,
weekends by nonlaboratory personnel. Shipping documents,
preserving) record all sample splits on the laboratory chain-of-
with noted time of receipt and receipt by whom, should be
custody form. When the sample is logged, the sample identi-
made part of the custody record.
fyinginformationshouldbetranscribedexactlyasitappearson
6.3 Laboratory Handling and Analysis Phase:
the field chain-of-custody form. If custody transfer to analyti-
6.3.1 Documentation—Laboratory Custody Forms:
cal staff will not occur immediately or if sample processing is
6.3.1.1 The sample chain-of-custody record in the labora- delayed, the samples should be transferred to the custody
lockup (see 6.3.3). Record all transfers to and from a lockup on
tory is traditionally maintained on paper forms. Based on the
data defensibility needs of the organization, it may be possible the chain-of-custody form. The custody form should remain
with the sample.
to maintain the laboratory record in an electronic format.
Various computer systems, such as a laboratory information
6.3.3 Laboratory Security:
management systems (LIMS) or other electronic data manage-
6.3.3.1 In some situations, legally defensible custody in the
ment systems, may meet the data integrity needs. It is the
laboratory has been achieved without regulating possession
responsibility of each organization to assure that an electronic
within the laboratory but rather by assuring controlled and
record system meets these needs. Users of such systems are
restricted access to the laboratory facility through keying,
encouraged to assure compliance of their electronic data
guarding access points, and other measures. Sufficiency of
system with the U.S. EPA Good Automated Laboratory Prac-
security measures for legal defensibility can only be assessed
tices. All references to laboratory custody record forms in this
on a case by case b
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