ASTM D4840-1999(2018)e1 Standard Guide for Sample Chain-of-Custody Procedures.pdf

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1、Designation: D4840 99 (Reapproved 2018)1Standard 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 nu

2、mber in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1NOTEThis standard was reapproved with editorial changes in August 2018.1. Scope1.1 This guide contains a comprehensive discussion ofpotential requir

3、ements, in the analysis of water, for a samplechain-of-custody program and describes the procedures in-volved in sample chain-of-custody. The purpose of theseprocedures is to provide accountability for and documentationof sample integrity from the time samples are collected untilsample disposal.1.2

4、These procedures are intended to document samplepossession during each stage of a samples life 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 s

5、ufficient chain-of-custody process, that is, one thatprovides sufficient evidence of sample integrity 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 givensit

6、uation, less stringent measures may be adequate. It is theresponsibility of the users of this guide to determine their exactneeds. Legal counsel may be needed to make this determina-tion.1.5 This standard does not purport to address all of thesafety concerns, if any, associated with its use. It is t

7、heresponsibility of the user of this standard to establish appro-priate safety, health, and environmental practices and deter-mine the applicability of regulatory limitations prior to use.1.6 This international standard was developed in accor-dance with internationally recognized principles on stand

8、ard-ization established in the Decision on Principles for theDevelopment of International Standards, Guides and Recom-mendations issued by the World Trade Organization TechnicalBarriers to Trade (TBT) Committee.2. Referenced Documents2.1 ASTM Standards:2D1129 Terminology Relating to WaterD3325 Pract

9、ice for Preservation of Waterborne Oil SamplesD3370 Practices for Sampling Water from Closed ConduitsD3694 Practices for Preparation of Sample Containers andfor Preservation of Organic ConstituentsD3856 Guide for Management Systems in LaboratoriesEngaged in Analysis of WaterD4210 Practice for Intral

10、aboratory Quality Control Proce-dures and a Discussion on Reporting Low-Level Data(Withdrawn 2002)3D4841 Practice for Estimation of Holding Time for WaterSamples Containing Organic and Inorganic Constituents2.2 U.S. EPA Standard:U.S. EPA Good Automated Laboratory Practices43. Terminology3.1 Definiti

11、ons:3.1.1 For definitions of terms used in this standard, refer toTerminology D1129.3.2 Definitions of Terms Specific to This Standard:3.2.1 custody, nphysical possession or control; a sample isunder custody if it is in possession or under control so as toprevent tampering or alteration of its chara

12、cteristics.3.2.2 data defensibility, na process that provides sufficientassurance, both legal and technical, that assertions made abouta sample and its measurable characteristics can be supported toan acceptable level of certainty. See Appendix X1 for adiscussion of the elements of a data defensibil

13、ity process.3.2.3 sample, na portion of an environmental or sourcematrix that is collected and used to determine the characteris-tics of that matrix.1This guide is under the jurisdiction of ASTM Committee D19 on Water and isthe direct responsibility of Subcommittee D19.02 on Quality Systems, Specifi

14、cation,and Statistics.Current edition approved Aug. 15, 2018. Published August 2018. Originallyapproved in 1988. Last previous edition approved in 2010 as D4840 99 (2010).DOI: 10.1520/D4840-99R18E01.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service

15、 at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.3The last approved version of this historical standard is referenced onwww.astm.org.4Available from U.S. Government Printing Office, Superintendent ofDocuments, 7

16、32 N. Capitol St., NW, Washington, DC 20401-0001, http:/www.access.gpo.gov.Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United StatesThis international standard was developed in accordance with internationally recognized principles on standardiz

17、ation established in the Decision on Principles for theDevelopment of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.13.2.4 sample chain-of-custody, na process whereby asample is maintained under physical possess

18、ion or controlduring its entire life cycle, that is, from collection to disposal.3.2.5 sample chain-of-custody record, ndocumentationproviding evidence that physical possession or control wasmaintained during sample chain-of-custody.4. Summary of Guide4.1 This guide addresses chain-of-custody proced

19、ures 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 ones ability to support data and conclu-sions adequately from the time samples are collected untilsample dis

20、posal. In a legal or regulatory situation custodydocumentation alone is not sufficient. A complete data defen-sibility scheme should be followed that fits the given situation.5.2 In applying the sample chain-of-custody procedures inthis guide, it is assumed that all of the other elements of datadefe

21、nsibility have been applied, if applicable.5.3 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 elements of a chain-of-custody program, allof which

22、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-custodyelements, this guide proscribes certain activities to assure thatif these options are chosen, they will be implemented properly.6. P

23、rocedure6.1 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 achievesample chain-of-custody. It should contain copies of all theforms u

24、sed 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:6.2.1 Custody AssignmentA single field sampling personshould be assign

25、ed 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 personallyresponsible for the care and custody of the samples collecteduntil they are pro

26、perly 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 should be designed and available forrecording custody information rela

27、ted 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 to sample collection and field measurements that arerecorded. This info

28、rmation 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 besimplified if separate forms are used.6.2.2.3 It may be useful to print fi

29、eld 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 information should be onthe form:(1) Sample identifying name.(2) Sampling l

30、ocation ID, sampling point ID, date, andsampling time interval.(3) Signatures of sampling personnel and signatures of allpersonnel handling and receiving the samples.(4) Project identification code (if applicable).(5) Preservation (to alert lab personnel): amount and type.(6) Number of containers (w

31、here field sub-sampling oc-curs). Indicate number of replicates if there are multiplecontainers of the same sample.(7) Field notes.(8) Analyses desired (may be required in some situations).(9) Sample type: grab, composite, etc.Example forms are shown in Appendix X2.6.2.2.5 Freight bills, post office

32、 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 removable tobecome part of the record keeping process, although theirin

33、advertent 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 onthe sample container, as long as the writing can be doneindelibly.

34、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 filled out just before orimmediately after sample collection. Labels should

35、 containspaces for the following information:(1) Project identification code (if applicable).(2) Sample identifying name (exactly as it appears on thechain-of-custody record).(3) Sampling location ID, sampling point ID, and sam-pling time interval.(4) Safety considerations (if applicable).(5) Analys

36、is schedule or schedule code (if applicable).(6) Company or agency name.An example label is shown in Appendix X2.D4840 99 (2018)126.2.4 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 s

37、eals 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 seals are applied.NOTE 1Electrical tape should not

38、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 to insuresample integrity, and transport them to the laboratory foranalysis. Special care should be taken w

39、hen packaging in glass.It is important that all laws and regulations related to thetransport of materials have been adequately addressed beforeshipping samples.6.2.5.2 When employing a common carrier, the use ofpadlocks or custody seals on shipping containers should beconsidered. If padlocks are emp

40、loyed, 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. Enter the method ofshipment, courier name(s),

41、 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 receiving thesamples should sign, date, and

42、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 documents,with noted time of receipt and receipt b

43、y 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 defensibility needs of the organization,

44、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 theresponsibility of each organization to assure that

45、 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 should be understood to refer to either paper

46、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 splits.Transfer sample identification inf

47、ormation 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. Example forms areshown in Appendix X2.6.3.2 Lab

48、oratory 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 should serve only asan alternate.6.3.2.2

49、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 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 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.