Why do I need a Chain of Custody (COC)? Presentation to: KWWOA Department for Environmental Protection Energy & Environment Cabinet To Protect and Enhance Kentucky’s Environment

2 Objectives Define the term chain of custody (COC). Explain why COC procedures are necessary. Discuss Legal Admissibility Describe what constitutes a sample being in your custody. What is needed for a proper COC.

3 What is a COC? A COC is an accurate written legal record to track the possession, handling, and location of samples and data from collection through reporting

4 Why Do We Need a COC? Many different people participate in the process of collecting, transporting, analyzing, and reporting on particular samples and data. As an environmental professional, you are aware that the test results from any samples you handle may be used as evidence in future court cases. Following chain-of-custody procedures when handling samples and data helps provide assurance of legal defensability.

Legal Admissibility For evidence to be admissible, it must be relevant, without being unfairly prejudicial, and it must have some indicia (indication) of reliability. 5

Determination of Admissibility Frye Rule –Frye v. United States Is it Science? 6

Determination of Admissibility Federal Rules of Evidence –104 a.. Questions of admissibility generally –Qualification of the witness –Existence of a privilege –Admissibility subject to b b. Relevance conditioned on fact –403 Although relevant, evidence must be fee of prejudice, confusion, or misleading –702 A witness is qualified as an expert by knowledge, skill, experience, training, or education –703 Provides for expert witnesses to formulate opinions or inferences based on the data 7

Determination of Admissibility Daubert Rule –Daubert v. Merrell-Dow Pharmaceuticals –To be considered valid data must meet 4 factors: Is the technique testable? Has the technique been subject to peer review & publication? Are there known or potential error rates and are the standards controlling the technique’s operation? Is the method or technique generally accepted in the scientific community? 8

Determination of Admissibility General Electric Company v. Joiner –Supreme Court strengthened the power of judges to keep “junk science” out of the courtroom. 9

Determination of Admissibility Sample authenticity criteria –Chain-of-custody was maintained –Sample identity was maintained –Sample integrity was not compromised –Sample records were consistent with good record keeping practices 10

11 What Constitutes Sample Custody? Samples and data are considered to be in your custody when: they are in your physical possession; they are in your view, after being in your physical possession; they are in your physical possession and then locked up so that tampering cannot occur; they are kept in a secured area, with access restricted to authorized personnel only.

Steps in COC Process Sampling Preparation Sampling Operations Sample Transport Receipt, Storage, and Transfer Sample Analysis Procedures for Data (Reporting/Storage/Management) 12

13 Sampling COCs A proper COC will answer the following 6 questions about the “life” of a sample. 1.what (the type of sample i.e. drinking water, soil, wastewater) 2.where (the location) 3.when (date and time) 4.how (grab/composite & deviations) 5.why (what analysis) 6.who (signatures)

EPA Quality Systems Requirements The QAPP should discuss the sample custody procedure at a level commensurate with the intended use of the data. This discussion should include the following: (1) List the names and responsibilities of all sample custodians in the field and laboratories. (2) Give a description and example of the sample numbering system. (3) Define acceptable conditions and plans for maintaining sample integrity in the field prior to and during shipment to the laboratory (e.g., proper temperature and preservatives). (4) Give examples of forms and labels used to maintain sample custody and document sample handling in the field and during shipping. 14

EPA Quality Systems Requirements (5) Describe the method of sealing shipping containers with chain-of- custody seals. (6) Describe procedures that will be used to maintain the chain of custody and document sample handling during transfer from the field to the laboratory, within the laboratory, and among contractors. (7) Provide for the archiving of all shipping documents and associated paperwork. (8) Discuss procedures that will ensure sample security at all times. (9) Describe procedures for within-laboratory chain-of-custody together with verification of the printed name, signature, and initials of the personnel responsible for custody of samples, extracts, or digests during analysis at the laboratory. Finally, document disposal or consumption of samples should also be described. 15

EPA Quality Systems Requirements Minor documentation of chain-of-custody procedures is generally applicable when: Samples are generated and immediately tested within a facility or site; and Continuous rather than discrete or integrated samples are subjected to real or near real time analysis (e.g., continuous monitoring). 16

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18 Questions? Franklin C. Hall, Jr., ESIII CTAB DOW (502) x 4959