Gathering Evidence and Collecting Samples: California Environmental Protection Agency

California Environmental Protection Agency
Gathering Evidence and Collecting Samples

Introduction
Evidence is anything that an inspector
may collect or testify to that supports or
refutes a matter of fact. Unified Program
Agencies should provide their inspectors
with a common method for gathering
evidence, including collecting samples.
All procedural aspects of gathering
evidence collecting samples,
preservation, storage, shipping, and chain
of custody are important. Properly done
the evidence can be of significant
assistance to successful enforcement.
Improperly done, it can lead to a dismissal
of an otherwise solid case.
Three Types of Evidence
Type 2: Testimonial
Testimonial evidence is a statement made
by a witness to support the facts. An
inspectors observations are considered
testimonial evidence.
Type 3: Physical
Physical evidence is concrete and
tangible (available to touch, feel, look at,
or smell.)
Examples include
Samples (not the analytical results)
Containers
Products / crops
Vehicles
1. Demonstrative
Rules to Remember
2. Testimonial
When gathering evidence remember the

following:
3. Physical
Have evidence for each violation.
Type 1: Demonstrative
Have evidence of how and when the

violation(s) occurred.
Talk to your Prosecuting Agency

early and often, especially on big
cases.
Dates of violation(s) to ensure it is

within the statute of limitations.
Additionally, the dates must account
for evidence that on each and every
day the violation occurred on multi
day violations and for violations that
have a time requirement (e.x.
generators storage of hazardous
waste for more than 90 days.)
Demonstrative evidence describes or

documents a condition or occurrence.
Examples include:
Photographs and video provide

valuable documentary evidence of
events and conditions. Photographs
and video provide a visual reference
Maps and diagrams
Documents, records, reports and

other correspondences can be
collected for use as evidence. An
original document is always
preferred to a copy. This is known
as best evidence. If photocopies of
records are collected in lieu of the
actual documents, have the business
sign a receipt of copies provided.
Sample analytical reports
Training
Training on gathering evidence and
collecting samples is offered by the
California CUPA Forum Board during the
Annual California Unified Program
Conference
http://www.calcupa.net/conference.html.
Sampling
Sampling is a process or method of
drawing a representative unit from a
particular medium or substance. It
represents the condition of the medium or
substance sampled.
Authoritative A judgment or target

sampling often used to support illegal
disposal and discharge cases.
Sampling Equipment
Random Is used to determine the

overall concentration of a contaminant in
a waste material, soil, water, or plant
material.
Sampling equipment will vary by program

and media. Inspectors should become
familiar with the types of sampling
equipment needed.
Sample Considerations
Know the objective and purpose of

taking a sample
Why Sample
A sample provides more compelling
evidence that a condition, spill, discharge,
or threshold has been broken or has
occurred.
Standard Operating Procedure for
Sampling
Standard operating procedures (SOP)
establish a documented procedure that is
generally accepted and appropriate for
the type of sampling. SOPs also provide
sampling consistency.
US EPAs SOP for soil sampling is
available at:
http://www.epa.gov/earth1r6/6pd/qa/qade
vtools/mod5_sops/soil_sampling/ertsop20
12-soil.pdf.
Sampling Goals
Ensure the samples represent the

condition or quality of the material
Ensure there is consistency in the

sampling technique
Sample Types
Grab A representative sample collected
at a discrete location and time.
Composite A series of grab samples
combined and analyzed as a single
sample. (Air monitoring samples are
composite samples.)
Publication #433-01-014
Medium, Media and Matrix
Physical State
Method
Sample Plans and Design

Sampling requires careful thought and
consideration. Developing a plan for
collecting samples will allow an inspector
to meet the sampling objectives. The plan
should describe the sampling to be done
and the justification for selecting the
sample sites, describe the quality
assurance and quality control methods, a
description of the stand operating
procedures utilized, and a description of
sample preservation and chain of custody
requirements.
Sample Collection
It is important to collect a sample of the
suspected pollutant from the source. If it
is a petroleum product then enough
product for chemical confirmation should
be collected. Petroleum products are
sampled from the source directly into a
small 60mL jar. Receiving water samples
are usually dispersed or diluted and
harder to collect. If a sheen is present, a
piece of fiberglass cloth can be used to
collect the petroleum from the waters
surface without collecting much water.
The fiberglass used for sampling is put
into a clean glass jar for storage and
shipping.
Revised March 2002
The California Integrated Waste Management Board (CIWMB) does not discriminate on the basis of disability in access to its
programs. CIWMB publications are available in accessible formats upon request by calling the Public Affairs Office at 1-800-CA
WASTE (in California) or (916) 341-6306. Persons with hearing impairments can reach the CIWMB through the California Relay
Service, 1-800-735-2929. 2001, 2002 by the California Integrated Waste Management Board. All rights reserved. This
publication,or parts thereof, may not be reproduced without permission.
Water Samples
Water samples should be taken at the
water surface.
When sampling streams or rivers, a
minimum of four samples should be
taken. The sampling pints should include:
the source (suspected point source
pollution), upstream (control sample),
point of entry to the stream or river, and
downstream (continue downstream until
no effect is apparent, if necessary).
Sampling locations for lakes and
reservoirs include: the source, other water
flow sources into the lake, the suspected
point of entry of the pollutant into the lake,
and as many samples as is necessary to
determine the extent of pollution.
If the identity of toxicity of a pollutant is
not know, an acute toxicity fish bioassay is
the most helpful. This test requires a
substantial volume of water sample.
Whenever possible collect 5 gallons of
sample material (receiving water). If the
suspected material is paint, detergent or
other household product collect at least
250 mL of pure product.
Soil Samples
Soil samples may be collected using a
variety of methods and equipment
depending upon on the type of sample
required (disturbed vs. undisturbed), and
the soil type.
Chain of Custody Procedure

A chain of custody procedure:
Governs the collection, handling,

storage, testing, and disposition of
evidence;
Safeguards against tampering with

or substitution of evidence; and
Documents that these steps have

been carried out.
Inspectors typically establish chain of

custody by using a chain of custody form.
The form should identify:
1. Sample collector
2. Sample description, type, and number
3. Sampling data and location
4. Any custodians of the sample
Sample chain of custody forms are
available at:
http://www.calepa.ca.gov/CUPA/Resource
s/. (under the inspection section)
Sample Logs / Notes
A notebook should be utilized to
document the conditions, techniques, and
procedures used during the sampling
event. A bound notebook is preferable
since it is easier to detect if pages have
been removed. Use photographic
documentation to show that proper
procedures were followed.
Analytical Laboratory
Consult with the analytical laboratory
doing the analysis prior to sampling to
ensure the proper amount of a sample is
collected and the sample is properly
preserved.
Quality Control Measures

Establishing quality control measures will
demonstrate proper methods and
techniques were followed. For example,
inspectors could collect blind replicates
and/or background samples.
Chain of Custody
Chain of custody is a term applied to the
preservation of evidence in its original
condition through its successive
custodians. A chain of custody is used to
ensure the integrity of the sample or
evidence. Chain of custody is a process
or procedure not a piece of paper.
Data Interpretation
Inspectors will need to interpret the
analytical results of the samples collected.
Understanding the analytical results,
units, detection limits, lab spokes /
controls / duplicates, and the regulatory
thresholds / permit conditions will help
inspectors interpret the data.
Publication #433-01-014
Revised March 2002
The California Integrated Waste Management Board (CIWMB) does not discriminate on the basis of disability in access to its
programs. CIWMB publications are available in accessible formats upon request by calling the Public Affairs Office at 1-800-CA
WASTE (in California) or (916) 341-6306. Persons with hearing impairments can reach the CIWMB through the California Relay
Service, 1-800-735-2929. 2001, 2002 by the California Integrated Waste Management Board. All rights reserved. This
publication,or parts thereof, may not be reproduced without permission.

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California Environmental Protection Agency

Gathering Evidence and Collecting Samples

When gathering evidence remember the

Have evidence for each violation.

Have evidence of how and when the

Talk to your Prosecuting Agency

Dates of violation(s) to ensure it is

Demonstrative evidence describes or

Photographs and video provide

Maps and diagrams

Documents, records, reports and

Sample analytical reports

Authoritative A judgment or target

Random Is used to determine the

Sampling equipment will vary by program

Know the objective and purpose of

Ensure the samples represent the

Ensure there is consistency in the

Medium, Media and Matrix

Sample Plans and Design

Chain of Custody Procedure

Governs the collection, handling,

Safeguards against tampering with

Documents that these steps have

Inspectors typically establish chain of

Quality Control Measures

Revised March 2002

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