ASTM D4840-99(2010)
(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's 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.
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Designation: D4840 − 99 (Reapproved 2010)
Standard Guide for
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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 1.7 This international standard was developed in accor-
dance with internationally recognized principles on standard-
1.1 This guide contains a comprehensive discussion of
ization established in the Decision on Principles for the
potential requirements for a sample chain-of-custody program
Development of International Standards, Guides and Recom-
and describes the procedures involved in sample chain-of-
mendations issued by the World Trade Organization Technical
custody.Thepurposeoftheseproceduresistoprovideaccount-
Barriers to Trade (TBT) Committee.
abilityforanddocumentationofsampleintegrityfromthetime
samples are collected until sample disposal.
2. Referenced Documents
1.2 These procedures are intended to document sample
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2.1 ASTM Standards:
possession during each stage of a sample’s life cycle, that is,
D1129 Terminology Relating to Water
during collection, shipment, storage, and the process of analy-
D3325 Practice for Preservation of Waterborne Oil Samples
sis.
D3370 Practices for Sampling Water from Closed Conduits
1.3 Sample chain-of-custody is just one aspect of the larger
D3694 Practices for Preparation of Sample Containers and
issue of data defensibility (see 3.2.2 and Appendix X1).
for Preservation of Organic Constituents
D3856 Guide for Management Systems in Laboratories
1.4 A sufficient chain-of-custody process, that is, one that
Engaged in Analysis of Water
provides sufficient evidence of sample integrity in a legal or
D4210 Practice for Intralaboratory Quality Control Proce-
regulatory setting, is situationally dependent. The procedures
dures and a Discussion on Reporting Low-Level Data
presented in this guide are generally considered sufficient to
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(Withdrawn 2002)
assure legal defensibility of sample integrity. In a given
D4841 Practice for Estimation of Holding Time for Water
situation, less stringent measures may be adequate. It is the
Samples Containing Organic and Inorganic Constituents
responsibility of the users of this guide to determine their exact
2.2 U.S. EPA Standard:
needs. Legal counsel may be needed to make this determina-
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tion. U.S. EPA Good Automated Laboratory Practices
1.5 Because there is no definitive program that guarantees
3. Terminology
legal defensibility of data integrity in any given situation, this
3.1 Definitions—For definitions of terms used in this guide,
guide provides a description and discussion of a comprehen-
refer to Terminology D1129.
sivelistofpossibleelementsofachain-of-custodyprogram,all
of which have been employed in actual programs but are given
3.2 Definitions of Terms Specific to This Standard:
as options for the development of a specific chain-of-custody
3.2.1 custody—physical possession or control. A sample is
program. In addition, within particular chain-of-custody
under custody if it is in possession or under control so as to
elements, this guide proscribes certain activities to assure that
prevent tampering or alteration of its characteristics.
if these options are chosen, they will be implemented properly.
3.2.2 data defensibility—a process that provides sufficient
1.6 This standard does not purport to address all of the
assurance, both legal and technical, that assertions made about
safety concerns, if any, associated with its use. It is the
a sample and its measurable characteristics can be supported to
responsibility of the user of this standard to establish appro-
priate safety, health, and environmental practices and deter-
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mine the applicability of regulatory limitations prior to use. 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
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This guide is under the jurisdiction of ASTM Committee D19 on Water and is the ASTM website.
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thedirectresponsibilityofSubcommitteeD19.02onQualitySystems,Specification, The last approved version of this historical standard is referenced on
and Statistics. www.astm.org.
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Current edition approved Feb. 1, 2010. Published March 2010. Originally AvailablefromU.S.GovernmentPrintingOfficeSuperintendentofDocuments,
approved in 1988. Last previous edition approved in 2004 as D4840 – 99 (2004). 732 N. Capitol St., NW, Mail Stop: SDE, Washington, DC 20401, http://
DOI: 10.1520/D4840-99R10. www.access.gpo.gov.
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