1、Designation: D4840 99 (Reapproved 2010)Standard Guide forSample Chain-of-Custody Procedures1This standard is issued under the fixed designation D4840; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last revision. A num
2、ber in parentheses indicates the year of last reapproval. Asuperscript epsilon () 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 procedures
3、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 cyc
4、le, 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 integr
5、ity 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 guid
6、e 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 elemen
7、ts 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 ar
8、e 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 regulat
9、ory limitations prior to use.2. Referenced Documents2.1 ASTM Standards:2D1129 Terminology Relating to WaterD3325 Practice for Preservation of Waterborne Oil SamplesD3370 Practices for Sampling Water from Closed ConduitsD3694 Practices for Preparation of Sample Containers andfor Preservation of Organ
10、ic ConstituentsD3856 Guide for Good Laboratory Practices in Laborato-ries Engaged in Sampling and Analysis of WaterD4210 Practice for Intralaboratory Quality Control Proce-dures and a Discussion on Reporting Low-Level Data3D4841 Practice for Estimation of Holding Time for WaterSamples Containing Org
11、anic 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 D1129.3.2 Definitions of Terms Specific to This Standard:3.2.1 custodyphysical possession or control. A sa
12、mple 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 can be supp
13、orted toan acceptable level of certainty. See Appendix X1 for adiscussion of the elements of a data defensibility process.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 where
14、by asample is maintained under physical possession or controlduring its entire life cycle, that is, from collection to disposal.1This guide is under the jurisdiction of ASTM Committee D19 on Water and isthe direct responsibility of Subcommittee D19.02 on Quality Systems, Specification,and Statistics
15、.Current edition approved Feb. 1, 2010. Published March 2010. Originallyapproved in 1988. Last previous edition approved in 2004 as D4840 99 (2004).DOI: 10.1520/D4840-99R10.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For A
16、nnual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.3Withdrawn. The last approved version of this historical standard is referencedon www.astm.org.4Available from U.S. Government Printing Office Superintendent of Documents,732 N. Capitol St
17、., NW, Mail Stop: SDE, Washington, DC 20401, http:/www.access.gpo.gov.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.3.2.5 sample chain-of-custody record documentation pro-viding evidence that physical possession or control was main
18、-tained during sample chain-of-custody.4. Summary of Guide4.1 This guide addresses chain-of-custody procedures asthey relate to field practices, shipping methods, and laboratoryhandling of samples.5. Significance and Use5.1 Chain-of-custody procedures are a necessary element ina program to assure on
19、es ability to support data and conclu-sions adequately in a legal or regulatory situation, but custodydocumentation alone is not sufficient. A complete data 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 oth
20、er elements of datadefensibility have been applied, if applicable.6. Procedure6.1 Facility Chain-of-Custody Standard OperatingProcedureEach organization should have a chain-of-custodyprocedure document. This document should spell out in detailthe specific procedures utilized at this facility to achi
21、evesample chain-of-custody. It should contain copies of all theforms used in the chain-of-custody process and detailedinstructions for their use. It should be kept current andrevisions tracked. This guide may serve as a template for thechain-of-custody procedure document.6.2 Sample Collection Phase:
22、6.2.1 Custody AssignmentA single field sampling personshould be assigned responsibility for custody of samples. Analternate custodian should also be assigned to cover the primecustodians absence. As few people as possible should handlesamples. The assigned field sampler should be personallyresponsib
23、le for the care and custody of the samples collecteduntil they are properly transferred. While samples are in theircustody, field personnel should be able 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
24、should be designed and available forrecording custody information related to field sample handling.The forms may be designed to handle one sample or multiplesamples. A single sample form may allow room for laboratorychain-of-custody.6.2.2.2 In any sampling effort, there is field informationrelated t
25、o sample collection and field measurements that arerecorded. This information is not specifically part of chain-of-custody, but part of the larger aspect of data defensibility. Thisinformation may be recorded on chain-of-custody forms orother forms specific for the purpose. Record keeping may besimp
26、lified 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 affectedby 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 infor
27、mation should be onthe form:(a) Sample identifying name.(b) Sampling location ID, sampling point ID, date, andsampling time interval.(c) Signatures of sampling personnel and signatures of allpersonnel handling and receiving the samples.(d) Project identification code (if applicable).(e) Preservation
28、 (to alert lab personnel): amount and type.(f) Number of containers (where field sub-sampling oc-curs). Indicate number of replicates if there are multiplecontainers of the same sample.(g) Field notes.(h) Analyses desired (may be required in some situations).(i) Sample type: grab, composite, etc.Exa
29、mple 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 documen-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 r
30、emovable tobecome part of the record keeping process, although theirinadvertent loss or inappropriate removal may leave the samplewithout documentation. Labels should be made of waterproofpaper and indelible ink should be used to make entries.Alternatively, sample information may be written directly
31、 onthe sample container, as long as the writing can be doneindelibly. Containers should be free from other labels and otherwriting to prevent any confusion. 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 fille
32、d out just before orimmediately after sample collection. Labels should containspaces for the following information:(a) Project identification code (if applicable).(b) Sample identifying name (exactly as it appears on thechain-of-custody record).(c) Sampling location ID, sampling point ID, and sampli
33、ngtime interval.(d) Safety considerations (if applicable).(e) Analysis schedule or schedule code (if applicable).(f) Company or agency name.An example label 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 tamper
34、ing 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 container.6.2.4.2 Electrical (vinyl) tape may be used to prevent bottleclosures from loosening in transit. Tape should be appliedbefore any custody
35、seals are applied.NOTE 1Electrical tape should not be used to seal vials used forvolatile organic analyses due to the potential for sample 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. Spec
36、ial care should betaken when packaging in glass. It is important that all laws andD4840 99 (2010)2regulations related to the transport of materials have beenadequately addressed before shipping samples.6.2.5.2 When employing a common carrier, the use ofpadlocks or custody seals on shipping container
37、s should beconsidered. If padlocks are employed, the keys shall be shippedseparately from the samples. Alternatively, padlocks may besent unfastened to the field and the keys can be retained by thelaboratory sample custodian (see 6.3.2.1). A separate custodyrecord should accompany each shipment. Ent
38、er 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 the package with returnreceipt requested.6.2.5.4 When transferring the possession of samples, theindividuals relinquishing and the individuals re
39、ceiving thesamples should sign, date, and note the time on the custodyrecord. Document any opening and closing of the samplecontainers on the custody record. Provisions should be madefor receipt of samples at nonstandard hours, such as nights andweekends by nonlaboratory personnel. Shipping document
40、s,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 DocumentationLaboratory 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
41、 defensibility needs of the organization, it may be possibleto maintain the laboratory record in an electronic format.Various computer systems, such as a laboratory informationmanagement systems (LIMS) or other electronic data manage-ment systems, may meet the data integrity needs. It is theresponsi
42、bility of each organization to assure that an electronicrecord system meets these needs. Users of such systems areencouraged to assure compliance of their electronic datasystem with the U.S. EPA Good Automated Laboratory Prac-tices. All references to laboratory custody record forms in thisguide shou
43、ld 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 possession in the laboratory. Ifsamples are to be split and distributed to multiple analysts,multiple forms will be needed to accompany the sample
44、 splits.Transfer sample identification information to the forms accom-panying the splits exactly as it appears on the primary receiptlaboratory chain-of-custody form. If an LIMS label is used forthe sample splits, a duplicate should be placed on the chain-of-custody form that accompanies them. Examp
45、le 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 samples. It is preferable to assign one person theprimary responsibility to receive samples as the sample custo-dian for the laboratory. A second person
46、 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 used. If sample seals are used, record condition onchain-of-custody record. Reconcile the information on thesample label against that on the chai
47、n-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 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
48、 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 work, should decide whether theleaky sample is valid. If seals are used, the custodian shouldexamine whether the sample seal is intact or broken, sin
49、ce abroken seal may mean sample tampering and may makeanalytical results inadmissible as evidence in court. Anydiscrepancies between the information on the 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 ide
