What is chain of custody Case involved in chain of custody Steps

1. Chain of Custody
Evidence Handling
documentation and
Court
Lance Gima
CWAG Alliance Partnership Forensic Science Project Director
Chief (retired) CA Dept. of Justice
Forensic Science Consultant to Proderecho
Founder and Co Chair man of Board of the Alliance of Forensic Scientists currently consulting on projects in
El Salvador, Guatemala, and South Korea
Advisory Board Member, University of California Berkeley Human Rights Center
Member of Chile’s International Committee of Experts

2. Simply defined,
Chain of Custody refers to the
documentation of who had
possession of the evidence, from
the time of collection to the time
of analysis and beyond.

3. WHEN DISCUSSING CHAIN OF
CUSTODY PROCEDURES,
EVIDENCE HANDLING,
EVIDENCE PRESERVATION,
AND EVIDENCE PACKAGING
AND SEALING MUST ALSO BE
INCLUDED IN THAT
DISCUSSION.

4. What we are trying to do, is to
maintain the integrity of the evidence.
This means, we can demonstrate to
the COURT that the evidence
collected, was the evidence tested
and reported. i.e no change, no
contamination, no replacement, etc.
occurred.

5. Saferstein
 Continuity of possession
 Every person who handled or examined
evidence must be accounted for
 Starting from the crime scene, it is critical
to mark evidence, package it correctly,
mark packages, ensure proper seals,
record the chain of possession, preserve
evidence , keep an internal chain.

6. Key Components of Evidence
control System (per ASCLD/LAB)
 Chain of custody record (minimum)
 Signature of person receiving evidence
 Date of receipt or transfer
 Description of evidence
 Proper marking of evidence
 Evidence seals
 Secure area for evidence storage.

7. ASCLD/LAB Accreditation
Standards – 5.8.1.1
 “Forensic science laboratories shall be able
to demonstrate that the evidence examined
and reported on was that submitted to the
laboratory. A “chain of custody” record
shall be maintained from the time of receipt
and reflect all internal transfers. The
record shall detail each person taking
possession of an item of evidence, or the
location of that item.”

8. ASCLD/LAB Accreditation
Standards – 5.8.1.1.1
 “When evidence is subdivided in the
laboratory , sub-items shall be tracked
through a documented chain of custody
record to the same extent that original
items of evidence are tracked.”

9. ASCLD/LAB Accreditation
Standards - 5.8.4.1
 “Any evidence not in the process of
examination that must be placed in a
container to protect it from loss, cross-
transfer or contamination shall be stored
under proper seal.”

10. ASCLD/LAB Accreditation
Standards – 5.8.4.2
 “All evidence not in the process of
examination shall be maintained in a
secured, limited-access storage area.”

11. FBI CODIS Standards
 Standard 7.1.1 Marking requirements
 Standard 7.1.2 Chain of Custody
requirements
 Standard 7.1.3 Procedures to “minimize
loss contamination and/or deleterious
change of evidence and work product in
progress.

12. FBI CODIS STANDARDS
 Standard 7.1.4 The laboratory shall have
secure, controlled access to areas for evidence
storage and work product in progress.
 Standard 7.2 “Where possible, the laboratory
shall retain a portion of the evidence sample or
extract.
 Standard 7.3 The laboratory shall have and
follow a documented policy for the disposition of
evidence that includes a policy on sample
consumption.

13. Evidence Control System
 Written Procedures
 Collection, handling, packaging, and
preservation
 Chain of custody documentation of evidence
collected at the crime scene, transported to the
laboratory, within the laboratory and transport
out of laboratory.
 Security of evidence at all times
 Training
 Roles and responsibilities
 Audits / Accreditation?

14. Note:
Additional information along with
the chain of custody may be
needed for Reference samples
 Signature of subject
 Formal identification papers of subject
 Thumbprint of donor
 Name and signature of witness

15.  To Prevent
 Contamination
 Loss
 Deterioration
 Appropriate To Object
 Labeled For Identification
Evidence Packaging

16.  Apply Tape Seal
across all
openings
 Initial and Date
Seal
EAM 02/19/03
Evidence Sealing

18. Preserving Original Seal
EAM 02/19/03 EAM 02/19/03
LG 2/29/9

19. IMPROPER SEAL!

23. Example of Chain of Custody Form

25. Documentation
 Sketches from Crime Scene
 Photos from Crime Scene
 Chain of Custody documents
 Notes from Laboratory Exams
 Quality Control information
 Communication records
 Report

26. 26
ACSLD/LAB standard 4.
Documentation to support conclusions shall
be such that in the absence of the analyst,
another competent analyst or supervisor
could evaluate what was done and interpret
the data.
LG; Documentation must be complete to the degree that you or
another perito could review the documentation 20 years later and able
to understand what was done and why.
For Post Conviction cases and COLD HITs

27. 27
Note. 1. Examples of ways to document the basis for conclusions
derived from evidence examination include but not limited to a
narrative description of the examination process and observations
made, photographs, diagrams, worksheets which provide spaces
or sections for the insertion of data or other observations made
during various steps of the examination process or a combination
of two or more of these approaches.
LG: What specific procedures used and were all instruments were
calibrated and reagents were working properly.
ASCLD/LAB Chapter 4.13.2.5

28. Are photographs evidence?

29. Shoeprints

31. Firearms Evidence- Distance
Determination
Contact
Contact with imprint
Near Contact
Mid-range shotgun blast

32. ASCLD/LAB Accreditation
Standards – 5.8.4.5
 “When evidence such as latent prints and
impressions, can only be recorded or
collected by photography, and the image
itself is not recoverable, the photograph or
negative of the image shall be treated as
evidence.”

33. Items (non evidence) where you
might follow Chain of Custody
Principles
 Case record --- File folder
 Personnel file

34. Your case record
 Is it important to maintain the integrity of
the contents of the file?
 How do you know you have a complete
file?

35. Personnel Files
 Is it important to maintain the integrity of a
personnel file?
 How might that be accomplished?
 Rules about access
 tracking
 How do you know the file hasn’t been
tampered with?

36. Chain of Custody and Court

37. HYPOTHETICAL
 Gang related stabbing at a bar.
 Several people stabbed, one died.
 Police arrive before suspects can escape.
 CSI’s confiscate six knives from six different
subjects.
 All the knives are similar.
 Knives packaged individually and transported to the
lab.
 Analysis of blood found on one knife has blood of
victim on it.
 The other knives did not have the blood of
deceased on it.

38. Role of Defense
 Determine if the item that was tested and
implicates the suspect, was in fact the item
“found in his/her possession”.
 Item mix-up
 Someone replaced the item
 Try to establish that the item might have been
contaminated between the time item
confiscated/collected to the time tested
 Try to establish that the evidence could have
changed in some way because of improper
storage

39. Role of Defense (con’t)
 Try to suggest that during testing, the
analyst mixed-up samples
 That the analyst took the reference sample and
analyzed it twice, marking one of them the
questioned item
 That the examiner mismarked evidence that
looked similar to other items.
 That the questioned item was contaminated
with the reference sample’s marker (as in DNA)

40. Role of the Defense
 Try to suggest that someone else had
access to the evidence while it was in the
process of being analyzed.
 Try to determine if another analyst actually
did part of the testing of the item.
 Show that sloppy record keeping means
sloppy work……..

41. Questions for the Crime Scene
investigator or evidence collector.
 Were precautions taken not to contaminate
the evidence?
 How do you know that item marked item 1,
is in fact item 1 as it has been identified in
court.
 Did you properly preserve the evidence…
 If yes, how?
 Do you know who took possession of the
evidence after you collected it?

42. Questions for Evidence
Technician
 Was the evidence received sealed?
 If it wasn’t, did you sealed it ?
 Did you document your actions?
 Did the evidence have the proper chain of
custody documentation?
 Is there any question that the evidence was not
preserved properly? (lengthy possession by
person transporting the evidence).
 If there is a question, did you document your
follow-up actions?

43. Questions in Court for the analyst
(you are handed a piece of
evidence).
 Is this the evidence you analyzed?
 How do you know that it is?
 While the evidence was in your custody, did you
preserve it properly?
 How can you be sure no one else tampered
with your evidence?
 If this item was reanalyzed today by another
laboratory, would they obtain the same result as
you?

44. Poor Chain of custody and poor
preservation procedures can
cause other problems
 Quality control retest of item results in
inconsistent results
 Defense testing shows NO RESULTS and
then argues that the analyst didn’t analyze
the same item.
 Post conviction testing results in different
results….subject released from jail.

45. Proper Chain of Custody System
must have:
 Written procedures
 Appropriate supplies
 Proper Training
 Appropriate facilities
 Feedback system
 Method to improve system

46. Proper Chain of Custory
Procedures must include:
 Proper collection procedures
 Marking of evidence or packaging
 SEAL package properly
 Record of everyone one who has
possession
 Preserve and secure evidence
 Internal Chain of Custody documentation
followed after testing and reports written.

47. Crime
scene
•Package
•Mark
•Seal
•Chain
transport
•Sealed
•Chain
•Preservat
ion
•Security
•Additional
notes
Laboratory
•Sealed?
•Chain
•Preservat
ion
•Security

48. Testing
Unit
•Sealed?
•Chain
•Preservat
ion
•Security
Analyst
•Chain
•Chain
•Preservat
ion
•Security
•Additional
notes
Analysis in
process
•Chain
•Security
•Preservat
ion
•Additional
notes

49. Testing
Unit
Evidence
room
•Chain
•Seal
•Preservat
ion
•Security
transport
•Chain
•Sealed?
•Preservat
ion
•Security
•Additional
notes
Court
•Chain
•Sealed
•Security
•Preservat
ion

50. How to Improve Evidence
Handling System
 More comprehensive written procedures to
include evidence handling, sealing, and
preservation procedures
 Training on proper evidence handling and
preservation procedures – to all personnel
involved in evidence handling
 Standardize evidence collection supplies
 Audits/accreditation