1、Designation: D 4840 99 (Reapproved 2004)Standard Guide forSample Chain-of-Custody Procedures1This standard is issued under the fixed designation D 4840; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last revision. A n
2、umber in parentheses indicates the year of last reapproval. Asuperscript epsilon (e) indicates an editorial change since the last revision or reapproval.1. Scope1.1 This guide contains a comprehensive discussion ofpotential requirements for a sample chain-of-custody programand describes the procedur
3、es involved in sample chain-of-custody. The purpose of these procedures is to provide account-ability for and documentation of sample integrity from the timesamples are collected until sample disposal.1.2 These procedures are intended to document samplepossession during each stage of a samples life
4、cycle, that is,during collection, shipment, storage, and the process of analy-sis.1.3 Sample chain-of-custody is just one aspect of the largerissue of data defensibility (see 3.2.2 and Appendix X1).1.4 A sufficient chain-of-custody process, that is, one thatprovides sufficient evidence of sample int
5、egrity in a legal orregulatory setting, is situationally dependent. The procedurespresented in this guide are generally considered sufficient toassure legal defensibility of sample integrity. In a givensituation, less stringent measures may be adequate. It is theresponsibility of the users of this g
6、uide to determine their exactneeds. Legal counsel may be needed to make this determina-tion.1.5 Because there is no definitive program that guaranteeslegal defensibility of data integrity in any given situation, thisguide provides a description and discussion of a comprehen-sive list of possible ele
7、ments of a chain-of-custody program, allof which have been employed in actual programs but are givenas options for the development of a specific chain-of-custodyprogram. In addition, within particular chain-of-custody ele-ments, this guide proscribes certain activities to assure that ifthese options
8、 are chosen, they will be implemented properly.1.6 This standard does not purport to address all of thesafety concerns, if any, associated with its use. It is theresponsibility of the user of this standard to establish appro-priate safety and health practices and determine the applica-bility of regu
9、latory limitations prior to use.2. Referenced Documents2.1 ASTM Standards:2D 1129 Terminology Relating to WaterD 3325 Practice for Preservation of Waterborne OilSamplesD 3370 Practices for Sampling Water from Closed Con-duitsD 3694 Practices for Preparation of Sample Containers andfor Preservation o
10、f Organic ConstituentsD 3856 Guide for Good Laboratory Practices in Laborato-ries Engaged in Sampling and Analysis of WaterD 4210 Practice for Intralaboratory Quality Control Proce-dures and a Discussion on Reporting Low Level Data3D 4841 Practice for Estimation of Holding Time for WaterSamples Cont
11、aining Organic and Inorganic Constituents2.2 U.S. EPA Standard:U.S. EPA Good Automated Laboratory Practices43. Terminology3.1 Definitions: For definitions of terms used in this guide,refer to Terminology D 1129.3.2 Definitions of Terms Specific to This Standard:3.2.1 custodyphysical possession or co
12、ntrol. A sample isunder custody if it is in possession or under control so as toprevent tampering or alteration of its characteristics.3.2.2 data defensibilitya process that provides sufficientassurance, both legal and technical, that assertions made abouta sample and its measurable characteristics
13、can be supported toan acceptable level of certainty. See Appendix X1 for adiscussion of the elements of a data defensibility process.1This guide is under the jurisdiction of ASTM Committee D19 on Water and isthe direct responsibility of Subcommittee D19.02 on General Specifications,Technical Resourc
14、es, and Statistical Methods.Current edition approved Dec. 10, 1999. Published January 2000. Originallyapproved in 1988. Last previous edition approved in 1995 as D 4840 95.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For An
15、nual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.3Withdrawn.4Available from Superintendent of Documents, Government Printing Office,Washington, DC.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19
16、428-2959, United States.3.2.3 samplea portion of an environmental or sourcematrix that is collected and used to determine the characteris-tics of that matrix.3.2.4 sample chain-of-custodya process whereby asample is maintained under physical possession or controlduring its entire life cycle, that is
17、, from collection to disposal.3.2.5 sample chain-of-custody record documentation pro-viding evidence that physical possession or control was main-tained during sample chain-of-custody.4. Summary of Guide4.1 This guide addresses chain-of-custody procedures asthey relate to field practices, shipping m
18、ethods, and laboratoryhandling of samples.5. Significance and Use5.1 Chain-of-custody procedures are a necessary element ina program to assure ones ability to support data and conclu-sions adequately in a legal or regulatory situation, but custodydocumentation alone is not sufficient. A complete dat
19、a defen-sibility scheme should be followed.5.2 In applying the sample chain-of-custody procedures inthis guide, it is assumed that all of the other elements of datadefensibility have been applied, if applicable.6. Procedure6.1 Facility Chain-of-Custody Standard OperatingProcedureEach organization sh
20、ould have a chain-of-custodyprocedure document. This document should spell out in detailthe specific procedures utilized at this facility to achievesample chain-of-custody. It should contain copies of all theforms used in the chain-of-custody process and detailedinstructions for their use. It should
21、 be kept current andrevisions tracked. This guide may serve as a template for thechain-of-custody procedure document.6.2 Sample Collection Phase:6.2.1 Custody AssignmentA single field sampling personshould be assigned responsibility for custody of samples. Analternate custodian should also be assign
22、ed to cover the primecustodians absence. As few people as possible should handlesamples. The assigned field sampler should be personallyresponsible for the care and custody of the samples collecteduntil they are properly transferred. While samples are in theircustody, field personnel should be able
23、to testify that no onewas able to tamper with the samples without their knowledge.6.2.2 Documentation/Field Custody Forms:6.2.2.1 Standard forms should be designed and available forrecording custody information related to field sample handling.The forms may be designed to handle one sample or multip
24、lesamples. A single sample form may allow room for laboratorychain-of-custody.6.2.2.2 In any sampling effort, there is field informationrelated to sample collection and field measurements that arerecorded. This information is not specifically part of chain-of-custody, but part of the larger aspect o
25、f data defensibility. Thisinformation may be recorded on chain-of-custody forms orother forms specific for the purpose. Record keeping may besimplified if separate forms are used.6.2.2.3 It may be useful to print field forms on polyethyleneor other plastic coated paper to keep them from being affect
26、edby water or chemicals.An indelible ink, paint, or crayon shouldbe used to enter information on the forms.6.2.2.4 Spaces for the following information should be onthe form:(a) Sample identifying name.(b) Sampling location ID, sampling point ID, date, andsampling time interval.(c) Signatures of samp
27、ling personnel and signatures of allpersonnel handling and receiving the samples.(d) Project identification code (if applicable).(e) Preservation (to alert lab personnel): amount and type.(f) Number of containers (where field sub-sampling oc-curs). Indicate number of replicates if there are multiple
28、containers of the same sample.(g) Field notes.(h) Analyses desired (may be required in some situations).(i) Sample type: grab, composite, etc.Example forms are shown in Appendix X2.6.2.2.5 Freight bills, post office receipts, and bills of ladingshould be retained as part of the permanent custody doc
29、umen-tation.6.2.3 Sample Labeling:6.2.3.1 Sample labels may be in the form of adhesive labelsor tags, or both. Tags have the advantage of being removable tobecome part of the record keeping process, although theirinadvertent loss or inappropriate removal may leave the samplewithout documentation. La
30、bels should be made of waterproofpaper and indelible ink should be used to make entries.Alternatively, sample information may be written directly onthe sample container, as long as the writing can be doneindelibly. Containers should be free from other labels and otherwriting to prevent any confusion
31、. If both tags and labels areused, care should be taken to ensure that the information onboth is identical.6.2.3.2 Labels or tags should be filled out just before orimmediately after sample collection. Labels should containspaces for the following information:(a) Project identification code (if appl
32、icable).(b) Sample identifying name (exactly as it appears on thechain-of-custody record).(c) Sampling location ID, sampling point ID, and samplingtime interval.(d) Safety considerations (if applicable).(e) Analysis schedule or schedule code (if applicable).(f) Company or agency name.An example labe
33、l is shown in Appendix X2.6.2.4 Sample Sealing:6.2.4.1 Sample custody seals of waterproof adhesive papermay be used to detect unauthorized tampering with samplesprior to receipt by the lab. When seals are used, they shall beapplied so that it is necessary to break them in order to open thesample con
34、tainer.6.2.4.2 Electrical (vinyl) tape may be used to prevent bottleclosures from loosening in transit. Tape should be appliedbefore any custody seals are applied.D 4840 99 (2004)2NOTE 1Electrical tape should not be used to seal vials used forvolatile organic analyses due to the potential for sample
35、 contamination.6.2.5 Field Transfer of Custody and Shipment:6.2.5.1 Package samples properly for shipment and trans-port them to the laboratory for analysis. Special care should betaken when packaging in glass. It is important that all laws andregulations related to the transport of materials have b
36、eenadequately addressed before shipping samples.6.2.5.2 When employing a common carrier, the use ofpadlocks or custody seals on shipping containers should beconsidered. If padlocks are employed, the keys shall be shippedseparately from the samples. Alternatively, padlocks may besent unfastened to th
37、e field and the keys can be retained by thelaboratory sample custodian (see 6.3.2.1). A separate custodyrecord should accompany each shipment. Enter the method ofshipment, courier name(s), and other pertinent information inthe “remarks” section on the custody record.6.2.5.3 If sent by mail, register
38、 the package with returnreceipt requested.6.2.5.4 When transferring the possession of samples, theindividuals relinquishing and the individuals receiving thesamples should sign, date, and note the time on the custodyrecord. Document any opening and closing of the samplecontainers on the custody reco
39、rd. Provisions should be madefor receipt of samples at nonstandard hours, such as nights andweekends by nonlaboratory personnel. Shipping documents,with noted time of receipt and receipt by whom, should bemade part of the custody record.6.3 Laboratory Handling and Analysis Phase:6.3.1 DocumentationL
40、aboratory Custody Forms:6.3.1.1 The sample chain-of-custody record in the labora-tory is traditionally maintained on paper forms. Based on thedata defensibility needs of the organization, it may be possibleto maintain the laboratory record in an electronic format.Various computer systems, such as a
41、laboratory informationmanagement systems (LIMS) or other electronic data manage-ment systems, may meet the data integrity needs. It is theresponsibility of each organization to assure that an electronicrecord system meets these needs. Users of such systems areencouraged to assure compliance of their
42、 electronic datasystem with the U.S. EPA Good Automated Laboratory Prac-tices. All references to laboratory custody record forms in thisguide should be understood to refer to either paper or electronicdocuments.6.3.1.2 Design a form for the recording of chain-of-custodyinformation related to sample
43、possession in the laboratory. Ifsamples are to be split and distributed to multiple analysts,multiple forms will be needed to accompany the sample splits.Transfer sample identification information to the forms accom-panying the splits exactly as it appears on the primary receiptlaboratory chain-of-c
44、ustody form. If an LIMS label is used forthe sample splits, a duplicate should be placed on the chain-of-custody form that accompanies them. Example forms areshown in Appendix X2.6.3.2 Laboratory Sample Receipt and Handling:6.3.2.1 In the laboratory, assign a sample custodian(s) toreceive the sample
45、s. It is preferable to assign one person theprimary responsibility to receive samples as the sample custo-dian for the laboratory. A second person should serve only asan alternate.6.3.2.2 Upon receipt of a sample, the custodian shouldinspect the condition of the sample and the custody sampleseal, if
46、 used. If sample seals are used, record condition onchain-of-custody record. Reconcile the information on thesample label against that on the chain-of-custody record. Thetemperature of the samples should be recorded on the chain-of-custody record. If samples are not delivered in a cooler,indicate on
47、 record. If pH adjustment to preserve the samplewas done in the field, the pH of the samples should be checkedand recorded on the chain-of-custody record.6.3.2.3 If a sample container is leaking, note it on thecustody record. The custodian, along with the supervisorresponsible for the analytical wor
48、k, should decide whether theleaky sample is valid. If seals are used, the custodian shouldexamine whether the sample seal is intact or broken, since abroken seal may mean sample tampering and may makeanalytical results inadmissible as evidence in court. Anydiscrepancies between the information on th
49、e sample label andseal and the information on the chain-of-custody record shouldbe resolved before the sample is assigned for analysis. Thiseffort might require communication with the sample collector.Record the results of any such investigation.6.3.2.4 After processing the sample, (splitting, logging,preserving) record all sample splits on the laboratory chain-of-custody form. When the sample is logged, the sample identi-fying information should be transcribed exactly as it appears onthe field chain-of-custody form. If custody transfer to analyti-cal staff will not occur
