Contents

3. Receiving and Handling Samples

Effective Date: 11/01
Point of Contact: Quality Engineer for Regulatory Programs

This section provides the necessary requirements for sample receipt, handling, and storage in order to demonstrate that the sample was maintained in a controlled manner and unaltered state.

Sample Receiving

Step 1 Upon receipt, the sample custodian checks the sample shipment documentation for completeness. All samples received must have accompanying documentation that clearly identifies

Note: Generally, the samples should be accompanied by a properly completed field chain-of-custody (COC) form, or other authorizing document providing the necessary information. See the recommended Chain of Custody Form.

Step 2 If the information is incomplete, the sample custodian makes note of this on the shipment documentation, transmits a copy to project manager for communication to the client, and documents this in the analytical data report. Note: If there is no documentation identification of the project manager or knowledge of the samples the custodian has the right to refuse receipt of the shipment.

Step 3 The sample custodian retains the original or copy of the shipping documentation as part of the project records.

Step 4 For radioactive shipments, the sample custodian receives the shipment according to established radiological procedures.

Sample Inspection

When the sample arrives, the sample custodian completes the following:

Step 1 Inspect the transport container (e.g., cooler) for damage.

Step 2 Move the transport container to an appropriate, safe location for either storage or opening and inspection of contents. If sample inspection is not performed at receipt, the field COC form, is signed if present only for the inspected shipping container. Inspection is documented on the Sample Inspection Form.

Step 3 As soon as possible following receipt, open the transport container and check samples for evidence of leakage or breakage. Check for evidence of adequate temperature control, if required. Inspection is documented on the Sample Inspection Form.

Note: Refer to the field COC or work authorizing document for preservation requirements (e.g., samples may need to be received at a specified temperature to be considered valid).

Step 4 Compare client sample identifiers against COC form and/or other work-authorizing documents to confirm agreement. Verify that all information listed on the sample container is consistent with accompanying documentation. Sign, date, and indicate the time on the COC form, if present.

Step 5 Document any discrepancies between the samples and accompanying documentation, including discrepancies in temperature, holding time (if required), and/or preservation on the Sample Inspection Form, and notify the project manager immediately. The project manager will notify the client of the discrepancy and request direction from the client. A copy of the notification is included in the project record. In the event that prompt client response (within 2 business days) is not received to the notification, the project may proceed at its discretion to analyze the samples. All actions and decisions must be documented in the project file, and include a summary of the discrepancies and resolutions related to sample integrity in the narrative accompanying the final report.

Step 6 Notify affected project staff when samples with short holding times are received.

Holding Time

The sample custodian evaluates the work authorizing agreement and ensures staff are notified of samples with short holding times in order to facilitate meeting the agreed upon holding times.

Project staff are responsible for meeting all agreed-upon holding times for all samples received within a negotiated delivery schedule.

Note: Project staff will not be responsible for missed holding times on samples received later than the negotiated delivery date.

If unable, for any reason, to meet prescribed holding times, the project staff notify the project manager who notifies the client. The client agrees this action is satisfactory before analytical work begins or continues to allow sample analysis to begin as soon as possible. Note: this agreement may be verbal, however it must be documented as soon as possible.

Sample Log-In

The sample custodian logs each sample received and ensures each sample is uniquely labeled. The unique identifier may be the client sample identifier or a laboratory assigned number. If laboratory numbers are assigned they must be appropriately cross-referenced to the client identifier. Note: Log-in can be accomplished by COC, logbook entries, electronic tracking system, etc.

Every sample, sample replicate, subsample (e.g., spikes, splits, duplicates), and sample extract shall be labeled in a manner that allows traceability to the parent sample number.

Additional markings shall be applied as required by the Sample Handling, Archival, and Disposal subject area.

Sample Storage

The project staff stores and handles samples in a manner that maintains the integrity of the sample as received (e.g., prevent contamination by impurities or change in concentration and/or activity by evaporation or dilution).

Note: additional methods for ensuring sample security may include:

If additional controls are required, it should be documented in an agreement (see Planning).

Sample Transfer

The sample custodian ensures that the following information is provided to the appropriate project staff member for each sample transferred:

Note: A COC, ASR and/or SAP may be used to provide this information.

The sample custodian documents sample transfers when primary samples are transferred outside the laboratory where the primary samples are stored. The use of the COC form is not mandatory; however, the documentation used to indicate transfer must include the above information as a minimum, and signatures and dates of persons relinquishing and receiving samples.

If a COC failure is detected, (i.e., sample transferred without documentation) the project staff who detected the failure notifies the project manager. The project manager contacts the client for resolution and such resolution is documented in the project record.

Sample Disposition

The sample custodian retains the unused portion of the sample until all required analyses are completed and the report has been transmitted to the client. The laboratory is not obligated to retain excess intact samples and associated extracts longer than 60 days after transmittal of the data report to the client unless previously documented in the work-authorizing document.

Project staff disposition the samples as specified in the work-authorizing document. Project staff dispose of samples and sample extracts as required by the applicable subject areas. See the Waste Managing subject area

Project staff document the sample disposition, including method (disposal, return, consumed, etc.) and date, for original sample material only. A COC form can be used for this purpose.

Archived samples are stored and handled in accordance with the Sample Handling, Archival, and Disposal subject area.

References

40 CFR 136, EPA Test Methods for Evaluating Solid Waste (SW-846)

Waste Managing subject area

Sample Handling, Archival, and Disposal subject area