Reprinted from
Environmental Forensics
Vol. 3, Issue 2, pp. 91-113
Guest Editorial
Guidelines and resources for conducting an environmental
crime investigation in the United States
Jennifer A. Suggs, Earl W. Beam, Dorothy E. Biggs, Willis Collins Jr, Margo R. Dusenbury,
Phoebe P. MacLeish, K. Eric Nottingham and Don J. Smith
US Environmental Protection Agency, National Enforcement Investigations Center, Denver Federal Center, Building 53,
P.O. Box 25227, Denver, CO 80225-0227, USA
ELSEVIER
2002
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Environmental Families (2002) 3, 91-113
doi:l0.1006/enfo.2002.0084, available online at http:/7www.idealibrary.com on
Guest Editorial
Guidelines and Resources for Conducting an Environmental
Crime Investigation in the United States1
Jennifer A. Suggs*, Earl W. Beam, Dorothy E. Biggs, Willis Collins Jr, Margo R. Dusenbury,
Phoebe P. MacLeish, K. Eric Nottingham and Don J. Smith
US Environmental Protection Agency, National Enforcement Investigations Center, Denver Federal Center, Building
53, P.O. Box 25227, Denver, CO 80225-0227, USA
(Received 21 November 2001, Revised manuscript accepted JO April 2002)
Common environmental crimes in the United States include the illegal disposal of hazardous waste, unpermitted
discharges to sewer systems or surface water, discharge of oil by vessels to waters within United States jurisdiction, the
misapplication of pesticides, the illegal importation of ozone-depleting substances, data falsification, and laboratory
fraud. Federal, state, and sometimes local statutes and regulations are in place to protect the water, air, land, and human
health. From a federal perspective, these include the Resource Conservation and Recovery Act (RCRA) for hazardous
wastes, the Toxic Substances Control Act (TSCA) for toxic substances, the Clean Air Act (CAA), the Clean Water Act
(CWA), the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) for abandoned
waste sites, and the Federal Insecticide, Fungicide and Rodenticide Act (FIFRA) for pesticides. Each of these laws
contains some standard methods for sampling and analyses to prove environmental crimes. The Code of Federal
Regulations (CFR) contains the specific requirements of the laws. Within the United States Environmental Protection
Agency (USEPA), the Criminal Investigation Division (CID) of the Office of Criminal Enforcement, Forensics and
Training (OCEFT) has the responsibility to investigate criminal offenses.
Criminal offenses are more serious in nature than civil violations in the United States. To successfully prosecute an
environmental criminal case, the government has to prove, beyond a reasonable doubt, that a corporation or person
knowingly violated an environmental statute containing criminal sanctions. The same environmental forensic
techniques used to provide scientifically defensible data prevail in both civil and criminal cases; the only distinction
between the two types of cases is legal. © Published by Elsevier Science Ltd on behalf of AEHS.
Keywords: Computer forensics; environmental crimes; case studies; Dauberf, chemical fingerprinting; link analysis.
Introduction
The criminal prosecution of environmental crimes in
the United States is in its infancy. While a few scattered
efforts at environmental crime prosecution occurred
during the 1970s, the United States federal government
prosecution of environmental crimes substantially
increased in the 1980s as environmental laws were pro-
mulgated and enhanced from misdemeanor criminal
penalties (any crime punishable by less than one year
in jail) to felony provisions (any crime punishable by
more than one year in jail). Given the seriousness of
these crimes, an investigative team must focus on
several issues when developing an environmental case
that may come before a federal court of law.
Investigative procedures
The first step in an investigation is to understand the
alleged crime and the participants. Often multiple
government agencies are involved and communication
'Author for correspondence. E-mail: suggs.jennifer(oiepa.gov. Tel:
(303) 236-6058.
'The information contained in this article solely represents the
opinion of the authors and does not, nor is it intended to, represent
or imply the opinion or position of the United States Environmental
Protection Agency or any other government organization.
between agencies can be a challenge. In the United
States, a leading criminal investigator is commonly
referred to as the case agent. The case agent develops an
understanding of allegations of criminal activities,
consults with various witnesses, peers, and experts to
decide what evidence can prove the case, and directs the
investigative team. Documents prepared for use in
environmental investigations include "Environmental
Investigations: Standard Operating Procedures and
Quality Assurance Manual" and "Conducting Environ-
mental Compliance Inspections". The first manual
contains information about different types of investi-
gations, forms and recordkeeping, sampling design,
quality assurance (QA), and an extensive listing of field
procedures (USEPA R4, 2001). The second manual
includes information on site inspection, safety issues,
legal considerations, and evidence topics (USEPA R10,
1997).
During the investigative process, a decision is often
required about conducting one or more searches for
evidence. In the United States, evidence must be
gathered in accordance with the Federal Rules of
Criminal Procedure and other federal guidelines
designed to protect the individual's constitutional rights
(KU School of Law, 2002). Methods used to obtain
evidence of a crime include the use of consent searches,
1527-5922/02/030091+23 $35.00/00
91
© Published by Elsevier Science Ltd on behalf of AEHS
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92 J. A. Suggs et al.
search warrants, and grand jury subpoenas. See
Environmental Crime: Evidence Gathering and Investi-
gative Techniques for additional details regarding on-
site investigations (Drielak, 1998). Sampling conducted
on a consensual basis is not recommended because
consent can be revoked. If a search warrant is necessary,
a description of the probable cause and alleged crime is
needed in addition to naming the location requested for
the search. The case agent may articulate probable cause
through evidence gathered from a variety of sources
including witness interviews, surveillance of suspects,
use of informants, and sampling of suspected discharges
from the targeted facility.
The execution of a search warrant can require
extensive planning. Ongoing communication, including
face-to-face meetings to discuss goals, problems, and
objectives, can enable the team to plan the field
objectives and make the best use of the limited time
on-site. Generally, warrants are required to be executed
during the hours of 6 a.m. to 10 p.m., unless a special
situation is involved, such as a chemical release that
can only be sampled as the release is occurring. Prior to
implementing a search warrant, any manufacturing
processes should be evaluated to understand how
chemicals are produced and what wastes are generated.
Industrial waste treatment and management systems
often need detailed examination. For example, waste
tanks and all associated piping may require identifi-
cation to see if there is a connection to a sewer where
an alleged release occurred.
The investigator should maintain contact with
laboratory personnel to discuss sampling activities,
to determine if appropriate analytical techniques are
available for use, and to ensure that resources are
available to complete the analyses within applicable
holding times (established time limitations for sample
analysis). Multiple laboratories may be needed. Labo-
ratory personnel should be involved as early as possible
in the planning process. The analytical chemist(s)
should be familiar with the types of samples being
collected, the purpose of each sample in proving the
case, and the appropriate analytical methods that
could prove the allegations.
Analytical documentation includes laboratory note-
books, bench sheets, instrument printouts, instrument
calibration, and confirmatory analysis by alternate
methods Expert opinions may be required regarding
chemical compounds and the fate and transport of
contaminants.
Evidence preservation is a critical step in prosecuting
any case and environmental cases are no exception. As
part of the Federal Rules of Evidence, the government
has the burden of proof that any evidence presented in
court is authentic. Challenges may be made to every
step of the investigative process including sampling,
transportation, physical and chemical analysis, and
sample storage. If care is not taken to properly preserve
evidence and maintain chain of custody in every step
of the investigative process, then the evidence may be
inadmissible at trial.
The investigative file should contain records of inter-
views, photographs, video recordings, sketches, field
project plans, laboratory quality assurance project
plans, correspondence, field notes, chain-of-custody
records, calibration records, laboratory bench sheets,
analytical reports, and any other pertinent records.
Sources of investigative information
Information that may be needed for an environmental
crime investigation is available from many sources,
several of which are electronically accessible. An
example is "Using On-line Searches in Investigations",
an article that explores the online research tools
available for fact-finding and discusses the merits of
commercial database research versus Internet resources
(Schmidt et al., 1998), Another publication outlining
research resources is The Investigator's Little Black
Book 2. The book contains information on experts,
organizations, and publications with topics ranging
from "Accident Reconstruction" to "Zip Code Infor-
mation" (Scott, 1998). Sources of Information for
Criminal Investigators, prepared by Anacapa Sciences,
Table I. Information sources- on corporations and individuals
Source
Description
Dun and Bradstreet Services
EDGAR
Directory of Corporate Affiliations
Autotrack and CDB lnfotek
M/oUSA
GIS
Provides business histories, operations, public filings and credit ratings with an international scope. The
service also provides access to information on more than 58 million global companies (D&B, 2002).
The Electronic Data Gathering, Analysis, and Retrieval system performs automated collection, validation,
indexing, acceptance, and forwarding of submissions by companies and others who are required by law to
file forms with the US Securities and Exchange Commission (SEC) (US SEC, 1999, 2002; EDGAR
Online, Inc., 2002).
Business information source offering corporate linkage coverage - a trusted guide to corporate families in
the United States and worldwide (Corporate Affiliations, 2002).
Database services available from ChoiccPoint Company. This is a nationwide provider of organized online
public record data and other information services that are used to detect fraudulent activity, locate people
and assets, and verify information and identities (ChoicePoint, 2002).
Regarded as a comprehensive and accurate source of business and residential information about nearly
12 million businesses in the United States, 1.1 million Canadian businesses, 125 million US households,
and 12 million Canadian households. The company provides information in a variety of formats ranging
from CD-ROM and Internet access to printed materials (infoUSAGov, 2001).
Additional information about the crime scene can be obtained using Geographic Information Systems
(GIS) maintained by a local or state agency (US Census Bureau, 2002; USEPA, 2001d; USEPA R2, 2001;
USEPA R7, 2001).
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Guidelines and Resources for Conducting an Environmental Crime Investigation in the United States 93
Tah/c 2. Manufacturing processes, raw materials, and waste streams
Source
Description
Kirk-Othmcr Encyclopedia of
Chemical Technology
Ullnuinn's Encyclopedia of
Industrial Chemistry
Development documents for effluent
limitations guidelines and standards
Sector notebooks
The latest version of this 27-volume set encyclopedia is now complete and includes Chemical Abstract
Service registry numbers and in-depth information on regulations, patents, and licensing. Articles
primarily focus on chemical substances and industrial processes (John Wiley & Sons, 1999a).
This encyclopedia has a 40-volume print set covering the basics of theoretical principles and
fundamentals of chemical engineering. The encyclopedia presents practical knowledge of unit
operations and plant construction with specific company examples. A newer electronic edition is also
available (John Wiley & Sons, 1999b).
In this series, the USEPA Office of Water has published details about many industries. The Landfills
Point Source category, the Alkaline Coal Mining subcategory, the Metal Products and the Machinery
Point Source category are included in this scries. Diagrams and descriptions of industrial processes are
provided in the series. These documents are distributed through the National Technical Information
Service (NT1S) (USEPA NTIS, 2000a,b,c).
The USEPA Office of Compliance has developed a series of profiles containing information on selected
major industries. Each notebook includes a comprehensive environmental profile, industrial process
information, pollution prevention techniques, contaminant release data, regulatory requirements, contact
names, compliance and enforcement history, and bibliographic references (USEPA, 2001c).
describes methods of investigation and criminal
analysis (Anacapa Sciences, Inc., 2001a).
Information on many relevant topics used in
criminal investigations is available. Investigators can
access information about alleged polluters (Table 1),
manufacturing processes, raw materials, and waste
streams (Table 2), and the toxicology (Wright, 2001;
Keita-Ouane ct al., 2001; Miller Poore el al., 2001;
Brinkhause, 2001), chemistry, and transport model of a
contaminant of interest (Table 3). The financial and
compliance history of a facility is often available by
accessing the sources listed in Table 4. Sources for
environmental terms and publications (Table 5) and
for international environmental information (Table 6)
are available as well.
Field techniques and equipment
A thorough knowledge of the field equipment and its
proper use is necessary in a criminal investigation as it
is anticipated that any deviation from a standard
operating procedure is vulnerable to scientific and legal
challenges. General sources of information on com-
monly used equipment are summarized in Table 7.
A recently published handbook details field analy-
tical tests and includes step-by-step instructions,
Tublc S. Chemistry, toxicology, and transport models of contaminants
Source
Description
Global Information Network
on Chemicals (GINC)
MSDS-SEARCH
Chemical Abstracts Service
(CAS)
Integrated Model Evaluation
System (IMES)
Environmental Fate Data
Base (EFDB)
HazDat Database
A global information network for the safe use of chemicals. This site lists useful information sources provided
by both international organizations and national institutions collaborating for safe control of chemicals
(GINC, 2002).
This Internet site is a good starting point for locating manufacturers' material safety data sheets (MSDS).
These sheets provide detailed information including references about the hazards of a particular chemical.
Links to translation services that provide MSDS in many languages are included on the internet site (MSDS-
SEARCH, 2002).
CAS is the world's largest and most comprehensive databases of chemical information. The principal
databases, Chemical Abstracts (CA) and REGISTRY, include about 16 million document records and more
than 30 million substance records, respectively. CAS also produces databases of chemical reactions,
commercially available chemicals, listed regulated chemicals, and compounds claimed in patents (CAS, 2002).
IMES is an interactive system for selecting fate models (air, surface water, groundwater and multimedia) most
appropriate to the needs of an exposure assessor. It includes information on over 100 models that address items
such as the input requirements, level of detail, required user expertise, applications, and validation. IMES is
distributed on a CD-ROM that includes many of the fate models and manuals (USEPA NCEA, 2001, 2002;
USEPA OWOW, 1997).
The EFDB was developed under the sponsorship of the USEPA to allow rapid access to all available fate data
on a chemical and to provide a data source for constructing structure-activity correlations for degradability and
transport of chemicals in the environment. The EFDB is a tremendous aid in identifying persistent chemical
classes as well as the physical or chemical properties that may correlate to particular behavior in the
environment. The EFDB is composed of several interrelated ftles-DATALOG, CHEMFATE, BIOLOG, and
BIODEG. These databases share a CAS number file containing over 20,000 chemicals with preferred name and
formula and a bibliographic file containing full references for over 35,000 cited articles (SRC, 2001).
HazDat, the Hazardous Substance Release/Health Effects Database, is the scientific and administrative database
developed by the Agency forToxic Substances and Disease Registry (ATSDR) to provide access to information on
the release of hazardous subtances from Superfund sites or from emergency events. The database also contains
information on the effects of hazardous substances on the health of human populations (ATSDR, 2002).
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94 J. A. Suggs et at.
Table 4. Facility faumcia! anil compliance history
Source
Description
Financial Crimes Enforcement
Network (FinCEN)
Envirofacts Warehouse
LexisNcxis and Westlaw
DIALOG
FinCEN of the United States Department of Treasury supports law enforcement investigative clforts and
fosters interagency and global cooperation against domestic and international financial crimes. FinCEN is a
network linked between law enforcement, financial, and regulatory communities. FinCEN strives to work with
its domestic and international partners to maximize the information sharing network and lind new ways to
prevent and detect financial crime (FinCEN. 2002).
The USEPA created the Envirofacts Warehouse to provide the public with direct access to information
contained in the Envirofacts databases. The Envirofacts Warehouse enables searches on a company or facility
name to retrieve environmental information from across USEPA databases (such as the Toxic Release
Inventory, RCRAInfo, and CERCLfS). The USEPA-internal version of Envirofacts allows retrieval of
compliance data as well (USEPA, 20011").
Two commercial, computerized legal research systems provide access to case decisions and other public records
including legal histories of companies and individuals as well as the statutory and regulatory issues. Easily
accessed online, these systems also produce traditional print products. Ncxis provides many full-text newspapers,
journals, financial reports, and news wires from around the world (LexisNcxis, 2002; Westlaw, 2002).
A potent information retrieval service providing access to more than 600 databases spanning business, science,
and technology. Many of these databases provide the full-text online (Dialog Corporation. 2002).
diagrams, and question-and-answer sections for each
analyte (Drum et ai, 2000). Another source of
information on this subject is the periodical Field
Analytical Chemistry and Technology (Wiley Inter-
science, 2002). Recent papers discussing developments
or trends in fieldwork are summarized in Table 8.
In the execution of a search warrant, the evidence
collected must be authorized by that warrant
(Littlefield, 2001). Each person collecting evidence is
a potential fact or percipient witness. When established
procedures are used to collect evidence, it is easier to
defend the scientific reliability and legal acceptability of
the procedures. If field conditions necessitate deviation
from standard procedures, the rationale must be
documented.
Field monitoring and measurement equipment
should be maintained, calibrated, and periodically
checked to ensure that the equipment is working
properly. These actions should be documented. In the
United States, a chain of custody is required for any
item introduced in legal proceedings. Interviews are
recorded along with other field activities such as
sampling and environmental measurements. Marking,
labeling, preservation (if appropriate) of environmental
and waste samples, shipping, and observance of any
applicable quarantines (for example, certain soils or
vegetation shipped across geographical boundaries)
should all be included in the permanent record as
documentation of the site visit.
Sampling
Details regarding types of sample containers, preser-
vation techniques, and holding times suggested by the
United States Environmental Protection Agency
(USEPA) are found with the analytical test methods.
Chapters 2-4 within the "Test Methods for Evaluating
Solid Waste" (otherwise known as SW-846) contain
useful tables with sampling information (USEPA
OSW, 2001a).
Environment Canada has two guides for field
personnel when site investigation or sampling is
Table 5, Terminology ami publication sources
Source
Description
Environmental Forensics: A Glossary of Terms Morrison's book has a very long list of acronyms and abbreviations as a chapter before the
book starts environmental forensics terms (Morrison. 1999).
USEPA Terminology Reference System (TRS) The Terminology Reference System is a collection of environmental terms used by the USEPA.
Terms and the definitions can be found by browsing or by performing a keyword search
(USEPA, 2001 g).
USEPA National Service Center for
Environmental Publications (NSCEP)
US Department of Commerce National
Technical Information Service (NTIS)
US Government Printing Office (GPO)
USEPA Publications
Understanding "EPA Speak" has a section on "Terms of the Environment". This has a browse
option for terms, abbreviations, and acronyms (USEPA NSCEP, 2002a).
The codes used to refer to USEPA reports and publications arc deciphered at NSCEP with the
USEPA Publication Numbering System. A table to convert code numbers and alpha
descriptors is provided (USEPA NSCEP. 2002b).
NTIS is a centralized source for scientific, technical, and business related government
publications (NTIS, 2002).
The US GPO is another publications source for the United States federal community (US
GPO. 2002).
A list of sources for USEPA publications can be found at the USEPA Publications Internet site
(USEPA, 2001 h).
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Guidelines and Resources for Conducting an Environmental Crime Investigation in the United States 95
Tabic 6. ItifL'tnalitmal triviiotiincntal resources
Source
Description
UNEP-lnfotcrra
Interpol
European Union Policies Environment
Environmental Agencies of the World
NIPR: New Ideas in Pollution Regulation
Regional Environmental Center (REC) for
Central and Eastern Europe
Environment Canada CEPA
Environmental Registry
Joint Research Centre (JRC)
The Air Pollution News Exchange
This is an international environmental referral and research network made up of 177 countries
coordinated by the United Nations Environment Programme (UNEP) in Nairobi, Kenya. The
US National Focal Point for UNEP-Inloterra is located at the USEPA Headquarters Library
and is managed by the Office of Environmental Information. The services offered by UNEP-
Infoterra/USA include document delivery, database searching, bibliographic products,
purchasing information, and referrals to experts (UNEP-Infotcrra, 2001).
Interpol, the International Criminal Police Organization, has an Environmental Crimes
Committee to combat environmental crime. Member nations fill out "Eco Messages" on
international environmental crimes for Interpol, These messages are compiled in a database,
analyzed, and circulated to other member nations for the purpose of coordinating
international law enforcement in the fight against environmental crime (Interpol. 2002).
This Internet site contains an index to information from the European Union on
environmental issues (Furopa. 2001).
Lists of the agencies primarily responsible for environmental issues at the national level arc
available here (World Bank Group NIPR, 2000).
Information for researchers, government officials, and citizens interested in understanding and
improving control of industrial pollution, especially in developing countries. This site focuses
on materials produced by the World Bank's Economics of Industrial Pollution Control
Research Project (World Bank Group NIPR, 2001).
This is a non-advocacy, non-profit organization that assists in solving environmental problems
in Central and Eastern Europe (RFC, 2002).
The CEPA Environmental Registry is a comprehensive source of public information relating to
activities under the Canadian Environmental Protection Act. 1999 (Environment Canada,
2002a).
Created by the European Commission, all eight institutes of the Joint Research Centre are
listed on this site. The Environment Institute (EI) conducts research in support of European
Union policies for the protection of the environment and the citizen (JRC. 2002).
"News Directions" appears in Atmospheric Environment, an international journal, as an
invited or contributed column reporting on all aspects of the atmospheric sciences. The articles
are written in a popular style by experts in their field. A panel of members from the journal's
editorial board reviews the articles. The columns are also featured in Atmospheric
Environment journal (UEA Norwich, 2001).
necessary. The Inspector 's Safety Guide provides details
on protective equipment, hazardous substances, and
potential hazards when inspecting industrial sites
(Environment Canada, 1995a). The industrial hazards
section includes chemical hazards, safety precautions,
emergency response actions, and other extremely
valuable information specifically targeted to each
industry type listed. The Inspector's Field Sampling
Manual offers a full guide for sampling from the early
planning stages (data quality objectives, equipment
and sampling plan checklists, quality assurance and
quality control) to on-site actions (sampling protocol
for specific media and laboratory tests) to the shipment
of samples (Environment Canada, 1995b),
The CLU-IN Internet site, listed in Table 7, also
includes a few documents on sampling (USEPA TIO,
2002b). An American Chemical Society (ACS) book on
environmental sampling contains chapters on sample
design, quality assurance and quality control, and
sampling for specific media. The methods mentioned in
the book primarily refer to USEPA methods (Keith,
1996a).
Many USEPA publications and Internet sites
provide guidance for planning environmental sam-
pling work. Chapters 9 and 10 within SW-846 cover
sampling plans and sampling methods (USEPA OSW,
2001a). A USEPA guidance document on "Choosing a
Sampling Design for Environmental Data Collection"
has been prepared and is available to the public, but it
is undergoing peer review (USEPA, 2001k).
A useful reference for soil sampling is the USEPA
field pocket guide Description and Sampling of Con-
taminated Soils (USEPA, 2001k). The American
Society for Testing Materials (ASTM) has an extensive
book of standards on environmental sampling for a
variety of media (soil, water, waste, air, and biological)
(ASTM, 1997). Standards include terminology, dia-
grams, material and apparatus lists, calculations, pro-
cedures, and numerous references. Also included is a
standard on quality assurance and quality control (QA/
QC) for sampling activities, Many of these standards
are referenced in USEPA regulations.
The purpose of each sample should be considered
carefully. Some regulations in the United States require
that samples be representative of the waste. The
meaning of representative is sometimes defined in the
regulation. These definitions vary between the different
regulations. A sufficient number of samples should be
collected from the appropriate areas to ensure that
meaningful scientific statements can be made about the
sampling target. Statistical calculations may be used to
determine sample size and sample quantity needed.
Many statistical references and guides for environ-
mental sampling exist. These cover the QA/QC aspects
of sampling, sampling theories, and examples of
statistics used in environmental pollution studies (Gy,
1998; Quevauviller, 1995; Gilbert, 1987; Ott, 1995;
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96 J. A. Suggs el at.
Table 7. Field technology and equipment somees
Source
Description
Technology Innovation Office (TIO)
Hazardous Waste Clean-Up
Information (CI.U-IN)
USHPA REACH IT
USEPA Environmental Technology
Verification (ETV) Program
Federal Remediation Technologies
Roundtablc (FRTR)
The USEPA TIO homepage contains links to publications that can be viewed, downloaded, or
ordered. There is a section for site characterization that includes information on technology, tools,
and educational materials. Also available are links to international updates, conferences, newsletters,
Internet sites, and to another TIO site that is abbreviated as CLU-IN (USEPA TIO, 2002a).
The Hazardous Waste Clean-Up Information site, also known as CLU-IN, has documents, reports,
videos, and software on various topics related to methods, techniques, and developing technologies.
Options of interest to site assessment and site remediation professionals include the opportunity to
sign up for e-mail newsletters that highlight new publications and events. Users can also register for
live Internet events (online seminars with a web-based slide presentation and options for accessing the
audio portion of the presentation). A useful section is the Field Analytic Technologies Encyclopedia
(FATE). The training modules in FATE cover geophysical, organic chemical, and inorganic chemical
characterization techniques and data interpretation. The modules include information about work
plans and data quality objectives. Most modules arc presented on-scrccn as slide-show presentations.
Supplemental information and additional sources for information are spread generously throughout
the training program. The analytics listing in the technologies section has links to the description,
theory of operation, target analytes, performance specifications, limitations, cost data, and vendors of
particular technologies. A free seminar on systematic planning and innovative field measurement
technologies is available on the CLU-IN site. Users can download the seminar (including the
speaker's notes) in one of three different formats (USEPA CLU-IN. 2()01a,b, 2002a,b).
REACH IT (abbreviation for REmediation And CHaractcrization Innovative Technologies) has an
online searchable database of innovative and conventional technologies for characterizing or treating
hazardous waste sites. The search function guides the user through questions regarding the
contaminant group of interest, the type of media involved, and the technological scale desired. Details
provided on the technology include a description, verification information, uses by media type,
technical support needed, and a cost analysis, A vendor database allows the user to search for
companies that provide specific technologies and gives links to Internet sites (IJSEPA, 2001i).
The ETV was established to verify the performance and help accelerate the use of new environmental
technologies. On this site, verified technologies are listed by media and by specific pilot programs.
Each technology item includes a verification statement and report. Links to the Internet sites of
project partners, USEPA sites, associations, and international sites are also included (USEPA. 2001 j).
The FRTR Internet site includes two informative field sampling and analytical guides. One guide
addresses field sampling and collection techniques with information on tools and extraction methods
cross-referenced with analytes, type of sample media, and technology details. The tools and extraction
methods have links to basic descriptions, limitations, and any applicable ASTM standards or USEPA
methods. The other guide is a matrix that cross-references sample analysis tools (techniques or
instrumentation) to analytes, sample media, detection limits, and more. Just like the other matrix, the
analysis tools have links to additional information such as the descriptions of techniques or
instruments, the applicable uses, the turnaround times, the analysis costs, limitations, and any
applicable ASTM standards or USEPA methods (FRTR, 1998a,b, 2001).
Piegorsch et at., 1998; Gemperline, 1999). A current
USEPA guidance document on data quality assessment
provides an overview of statistical tests (USEPA R3,
2000).
A simple and efficient generic guide to sampling
survey designs has been provided by the Energy and
Environmental Division of the American Society for
Quality. In it, a logical order of steps in a sampling
plan is presented along with explanations of key terms,
issues, and a summary of responsibilities for each
scientific discipline involved. The guide includes infor-
mation on quality control (QC) measures such as field
blanks and equipment blanks and the logic behind
taking blanks (Koepp and Luedtke, 2002).
Samples should be locked in a secured, initialed
container under the control of the sampler. Each
sample container should be marked with a discrete
identification number for tracking purposes. This can
be done using numbered tags or bar codes. The lid of
the container, as well as the container itself, should be
marked with the sample location. Preservative should
be added to the samples, if appropriate (many waste
samples do not require preservation). Samples should
be maintained at temperatures appropriate for the type
of samples taken and for the analytical techniques that
will be used for testing. Wastes generated during the
sampling should be properly disposed according to
applicable regulations. Decontamination procedures
are often performed on sampling equipment to avoid
spreading contamination and to allow the equipment
to be reused. Split samples are often collected to
allow the defense to conduct independent laboratory
analyses.
Samples should be shipped as soon as possible
within any analytical holding times (CFR, 2000), The
samples are required to be packaged for shipment
according to applicable regulations and in a manner
that protects the containers from breaking or leaking.
Samples of waste and contaminated environmental
samples should be stored and shipped in separate
containers from background samples to avoid cross-
contamination. Incompatibility of chemicals in waste
samples must also be considered to avoid chemical
reactions.
The International Air Transport Association, in the
Dangerous Goods Regulations Manual, has established
restrictions regarding the shipment of dangerous
goods (LATA, 2002). Restrictions may differ between
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Guidelines and Resources for Conducting an Environmental Crime Investigation in the United States 97
Table X. Recent papers discussing developments or trends in field work
Category
Description
Field analytical chemistry
Aerosol measurement
Volatile organic compounds (VOCs)
Petroleum hydrocarbons in soils
Atomic spectroscopy
Biosensors
Field portable X-ray fluorescence (FPXRF)
spectrometry
Gas chromatography mass spectrometry
(GC MS)
Infrared (IR) analysis
Ion chromatography (1C)
Ion mobility spectrometry (IMS)
Mass spectrometry (MS)
Ultramicroelcctrodc arrays (UMEAs)
Substantial review paper from 1997; topics covered include portable instrumentation, sensors,
mass spectrometry, gas chromatography. Held methods and applications, and
immunochemical techniques (Lopez-Avila and Hill, 1997).
Outfield report on work plans and field analysis for hazardous waste site investigations;
cost comparisons of traditional and dynamic field investigations; site application
examples (Robbat, Jr. et til., 1998).
Technology review of trends and advances in field-portable analytical instrumentation;
outlines operational characteristics that make a "ficldablc analytical instrument"; list of past,
present, and future Held analytical technologies (Overton et a/.. 1996).
Review of literature on laser-induced plasma spectroscopy with emphasis on analysis in
gaseous and aerosol phases; technique presented as potential next-generation field portable
instrument lor characterizing metal species (Martin ei al., 1999).
Review of specific recent developments for the analysis of VOCs in ambient air and natural
waters; includes applications in the field (DeWulf and Vail Langenhove, 1999).
Technology review on direct-push fluorcscencc-bascd sensors for determining subsurface
chemical contaminants; different systems and configurations presented (Liebernian, 1998).
Review with emphasis on field-portable atomic spectrometry; includes a table of selected
applications of laser-induced breakdown spectroscopy (LIBS) with elements, matrices, and
limits of detection (Hou and Jones, 2000).
Technology review of biosensors and the potential for use in screening and monitoring; list of
analytes and biosensors provided (Rogers and Mascini, 1998).
Technology review of FPXRF; evolution and characteristic features of the field-portable XRF
analyzer (Piorek. 1997).
FPXRF analysis of environmental samples; tables with list of available instrumentation and
vendors and a comparison of calibration methods arc included (Kalnicky and Singhvi, 2001).
Application of FPXRF from soil and sediment metals analysis to filters used in air monitoring
(Bernick and Campagna. 1995).
Technology review of advances in field-portable GC-MS; discussion and pictures of vehicle-
portable and man-portable systems (Mcuzelaar et at., 2000).
Outfield report on fast on-site analysis of hazardous emissions from fires and chemical
accidents; details on equipment, sampling and sample preparation, and applications; many
figures of procedures and techniques are included (Matz et til.. 1997).
Mini-review on fast field screening of contaminated areas; overview of analytical methods for
mobile GC-MS systems (Matz and Schroder, 1996).
Outfield report overviewing GC-MS uses; includes sections on environmental analyses by type
of sample media (Eckenrode, 1998).
Outfield report on a modular laboratory designed for travel; list and diagram of system
components (Hcyl, 1996).
Portable IR analyzer lor low-level hydrocarbon vapors; near real-time distribution data
included (Goldthorp and Lambert, 2001).
Schematic layout and detailed discussion on a field-portable capillary ion chromatograph
(Boring et al.. 1998).
Technology review on capabilities and limitations of IMS for field screening uses; includes
details on different spectrometers, detection limits for some pollutants, and future
developments (Hill and Simpson, 1997).
Technology review of direct sampling mass spectrometry (DSMS) in analysis of environmental
samples; discussion of instrumentation, portability, analytical methods, and environmental
applications (Wise et al.. 1997).
Review on UMEAs with emphasis on the determination of heavy metals in environmental
samples; a table of analytes and media is provided (Feeney and Kounaves, 2000).
airlines and countries for some hazardous items.
Additionally, the US Department of Transportation
has Hazardous Materials Regulations (49 CFR 100-
185) covering all modes of shipping hazardous
materials (ground, sea, rail, and air) (US NARA,
2001b).
Chain-of-custody records include a standard form
documenting the delivery and the receipt of each
sample. Personnel handling the samples are recorded
from the initial contact at the crime scene through each
sample transfer until the samples are received in the
laboratory (ASTM, 2000). Under chain-of-custody
procedures, samples are to be under the control of
the investigative team at all times. The location of each
sample, from the time of sample collection through the
time of laboratory analysis, is documented.
Laboratory methods and selection
Methods for testing different sample matrices
(air, water, or waste) have been promulgated within
the Environmental Protection Agency and are codified
in publications such as the Test Methods for Solid
Waste (SW-846), Title 40 of the Code of Federal
-------
98 J. A. Suggs et at.
Regulations (often abbreviated as 40 CFR), and
the American Water Works Association (AWWA)
Standard Methods for the Examination of Water and
Wastewater. Method validation is an important focus
of these methods. Wood (1999) discusses the need for
laboratories to use fully validated analytical methods.
Subnunanian (1995) provided a compilation on quality
assurance in environmental monitoring and instru-
mental methods and techniques (for example, solid
phase extraction, ICP-OES techniques, and capillary
electrophoresis are included). Details about the QA/
QC needed for the analysis of airborne particles are
presented by Hopke (1999a) and Biegalski (1999).
Berger et at. (1996) compiled an impressive reference
guide titled Environmental Laboratory Data Evaluation.
This publication addresses issues regarding scientifi-
cally valid data. Eurachem, a network of organizations
in Europe, has also published guidelines on laboratory
QA/QC procedures that arc available in several
languages (Eurachem, 2001).
Hazardous and solid wastes
The Test Methods for Solid Waste, or SW-846, is used
for environmental crimes involving the illegal disposal
of hazardous waste. SW-846 is entirely accessible on
the Internet (IJSEPA OSW, 2001a). The table of
contents and chapter titles are provided for easy
reference. Copies of SW-846 in print and on CD-
ROM are also available (USEPA OSW, 2001b). The
CD-ROM version has a helpful analytes-to-method
cross-reference table.
Within SW-846 is guidance for using analytical
methods. Quality control criteria are provided through-
out the methods in SW-846. Many methods in a
numerical series (for example, the 3000, 3500, or 7000
series) refer to one primary location for the QC
information on that series. Chapter One also provides
a quality control overview for both laboratory and field
activities. Method-defined QC criteria may be found in
the specific methods. If inconsistencies are found
between the general QC guidance and method-specific
or technique-specific QC, then the latter takes pre-
cedence (USEPA OSW, 2001a).
A cautionary note within SW-846 concerns compar-
ing test results from different methods. Even if methods
are designed for the same analyte, different methods
may produce different results. Analyte recoveries vary
between extraction techniques and digestion methods
used in metals analysis.
Water and wastewater
Violations of the Clean Water Act (CWA) often involve
the illegal discharge of a contaminant to surface water
without a permit or in violation of an existing permit.
Methods for water and wastewater used by the USEPA
in environmental crime investigations include those
available for purchase through NTIS and those on the
Internet (USEPA OGWDW, 2001, 2002). A collection
of analytical methods, including drinking water
methods published by the USEPA titled "Methods
and Guidance for Analysis of Water", is available on
CD-ROM (USEPA OGWDW, 2000a).
Two non-USEPA sources providing analytical
procedures for surface water are the American Water
Works Association (AWWA) and the American
Society for Testing and Materials (ASTM). The
AWWA provides water methods in Standard Methods
for the Examination of Water and Wastewater which is
available from the American Public Health Association
(APHA) (APHA, 2001). ASTM water methods are
described in the Annual Book of ASTM Standards
(ASTM International, 2002). An online list of non-
USEPA analytical methods includes the source of each
method (IJSEPA OGWDW. 2000b,c).
Air
Environmental crimes involving Clean Air Act (CAA)
violations are primarily related to the illegal removal
and disposal of asbestos and the illegal importation of
chlorofluorocarbons (CFCs). Asbestos is regulated
under the Toxic Substances Control Act and the
Clean Air Act (USEPA OPPT, 2001).
CFCs and other ozone-depleting chemicals are a
serious concern since the adoption of the Montreal
Protocol on Substances that Deplete the Ozone Layer
of 1987. As part of the United States' commitment to
implementing the Montreal Protocol, the Clean Air Act
was amended by the US Congress to add provisions for
the protection of the ozone layer by restricting the
domestic production and importation of these chemi-
cals in the United States (USEPA, 2002a). Methods for
detection and determination of air pollutants are listed
at the Technology Transfer Network (TTN) Internet
site through the Emissions Measurement Center (EMC)
and the Ambient Monitoring Technology Information
Center (AMTIC) (USEPA OAQPS TTN, 2000, 2001).
A publicly available compendium that lists and
summarizes methods for the determination of toxic
organic compounds in air is available online (USEPA
AMTIC, 1999, 2002).
Sources of national and international
analytical procedures
Pesticides are regulated under two federal statutes: the
Federal, Insecticide, Fungicide and Rodenticide Act
(FIFRA), and the Federal Food, Drug, and Cosmetic
Act (FFDCA). The Food Quality Protection Act of
1996 (FQPA) amended FIFRA and FFDCA to set
tougher safety standards for pesticides and uniform
requirements regarding foods (USEPA OPP, 2001a).
The Office of Pesticide Programs has two indexes
of analytical methods for pesticides (USEPA OPP,
200lb,c). The Code of Federal Regulations also
contains methods for analysis and can be accessed
at two different Internet sites (USEPA, 2001m; US
NARA, 2002a).
A nearly all-inclusive list of the USEPA methods,
revised December 2001, contains the chemical name or
method name cross-referenced with USEPA report
numbers, the location of the method in the Code of
Federal Regulations (40 CFR), and the publication
media used for the method (if an electronic version is
available) (USEPA Rl, 2001a). Several sites with links
to USEPA methods and guidelines are also online
-------
Guidelines and Resources for Conducting an Environmental Crime Investigation in the United States 99
1'ilhlc 9. Downloadable USEPA methods online
Topic
Methods/information
Environmental analysis
Choosing the correct procedure: Ch. 2*
Sample preparation
Inorganic analytes: Ch. 3.2*
Organic analytes: Ch. 4.2*
Atomic absorption (AA)
Method 7000A, Table 1 lists detection elements:
7000 Series Methods'"
Gas chromatography (GC)
Methods, analytes listed in Ch. 2, Tables 4 19*
515.3. 515.4, 556, and 556.1'
601 to 604. 606 to 6121
GC-FTIR
8410 and 8430*
Gas chromatography mass spectrometry (GC MS)
Methods and analytes listed in Ch. 2, Tables 20 23;*
Method 526;f 613, 624, 625, 1624, and 1625^
High performance liquid chromatography (HPLC)
Methods and analytes listed in Ch. 2, Tables 24-31;*
Method 532;+ 605 and 610'
Infrared (IR) spectrometer
8440*
Ion chromatography (IC)
9056 and 9057,* 300.0, 300.1, 314.0 and 317.0+
ICP-AES
6010B. detection elements in Table 1*
ICP-MS
6020, detection elements in Table 1*
Polarized light microscopy (PLM)
EPA/600/M4-82-020§
X-ray fluorescence (XRF)
9075*
* US EPA OSW. 2001a,
tUSEF'A OGWDW, 2001.
~USEPA OHice of Water, 2001.
§ US NARA. 2002b.
(USEPA, 200In,o; USEPA Rl, 2001b) including those
that may be downloaded (Table 9).
A book by Keith (1996b) provides a short descrip-
tion of USEPA methods listed by analytes. It includes
information regarding the analytical methods but
only brief details on the sampling method for each.
Comparisons between different analytical methods and
analyte cross-reference tables are provided in a handy
book titled Guide to Environmental Analytical Methods
(Northeast Analytical, Inc., 1998).
Analytical methods used in countries other than the
United States can sometimes be accessed through a
nation's environmental protection or analytical stan-
dards Internet sites. The Environment Canada Internet
site provides a search engine to locate selected
environmental protection publications including refer-
ence methods and guidance documents. The number
and title of the document, the description of the
document, and the purchase price are given in the
search results (Environment Canada, 2002b). A search
by keyword or document number at the Dutch
National Institute of Public Health and the Environ-
ment (RIVM) Internet site will yield detailed abstracts
of available reports and order information for full
reports (RIVM, 2000).
Standards Australia has a flexible power search
allowing the user to find documents by title, keyword,
or standard number. The document number, title, and
order information are provided in the search results
(Standards Australia, 2002). The Environmental Pro-
tection Authority for the state of New South Wales,
Australia, has two Internet sites that list approved
methods for the sampling and analysis of water and air
pollutants (NSW EPA, 1998, 2002). Tables of methods
are organized by the analytes of interest.
British Standards Online requires that users register
first and then login before beginning any document
search. The expanded search feature is impressive and
allows wide-ranging search options in order to track
down documents. Search results include the document
number, title, and purchase price (British Standards
Online, 2002).
Analytical instrumentation
A variety of instrumentation is often required for
the analysis of environmental samples. Analytical
Chemistry, a journal published by the American
Chemical Society, is a valuable source of information
for trends and current developments about instrumen-
tation and analytical techniques. This journal has
yearly review issues that alternate between Fundamen-
tal Reviews (1996, 1998, and 2000) and Application
Reviews (1997, 1999, and 2001). In Fundamental
Reviews, techniques such as infrared spectroscopy or
gas chromatography are critically evaluated. Updates
to the techniques, current research, and applications
are included in these reviews. Application Reviews
cover areas of chemistry such as environmental
analysis, field analytical chemistry, and forensic
science. These reviews are often subcategorized by
instruments, techniques, or types of samples. Searches
of the table of contents for several years of Analytical
Chemistry issues can be made at the journal's web site
(ACS Publications, 2002). The results from a literature
search of recent papers and reviews on topics,
-------
100 J. A. Suggs et al.
Table 10. Instrumentation ami techniques
Topic Description
Environmental analysis Biennial review; developments in applied environmental analytical chemistry from November 1998 to
October 2000; subcategories include SPME applications, air, water, and soil sample analyses (Clement
et ul., 2001).
Biennial review; developments from November 1996 to October 1998; categorized by matrix (air, water,
soil, and biological); includes technology cross-reference table (Clement et al.. 1999).
Biennial review; developments from November 1994 to October 1996; matrix subcategories for analysis
applications; quality control and reference materials section (Clement et al.. 1997).
Trends in environmental analysis; developments in extraction methods, MS, and field-portable
instrumentation (Lopez-Avila. 1999a).
Sample preparation Review; extensive tables on techniques for preparation of solid and liquid samples (Lopez-Avila, 1999b).
Proper subsampling from field sample to the laboratory analysis sample; reducing mass and segregation
errors (Ramsey and Suggs, 2001).
Selection of extraction technique for organic pollutants in environmental matrices; table summaries of
analytcs extracted by MAE, SFE, and PFE (Dean and Xiong, 2000).
Review; solventless sample preparation techniques; covers extraction with a gas stream, membrane
extraction, SPE, and SFE (Namiesnik and Wardencki. 2000).
Comparison of extraction techniques for environmental solids (Hawthorne et a/., 2000).
Evaluation of extraction recoveries for certain organometallic compounds in sediment and other matrices
(Quevauviller and Morabito, 2000).
Air analysis Review of research published from 1995 to 1998; air analysis by GC; table of sampling and injection
techniques; table of stationary phases and analytes (Helmig. 1999).
Biennial review; methods for air pollutant analysis covering literature from January 1997 to December
1998; contents divided as gases and aerosols; applications to a variety of instrumentation (Fox. 1999).
Review; analysis of organic compounds in air; tables of analytical methods for volatile organic compounds,
aldehydes and ketones, semivolatile organic pollutants, polycyclic aromatic hydrocarbons, halocarbons,
and isocyanates and amines (Aragon et al., 2000).
Review; sorbents used to trap volatile organic compounds from air (Harper, 2000).
Analysis of process gases; overview of instrumentation and techniques, sampling systems, calibration and
traccability, and data collection and processing (Cleaver. 2001).
Water analysis Review covering developments in water analysis from 1999 to 2000 with a few significant 2001 references;
contents categorized by pollutants (Richardson, 2001).
Review; methods for preconcentrating organic and inorganic compounds (Bruzzoniti et al., 2000).
Atomic spectrometry Annual review; atomic spectrometry update on analysis of environmental samples; categorized by media
(air, water, soils, and geological) (Cave et al., 2001).
Annual review; combined atomic absorption and fluorescence with atomic emission spectrometry; covers
literature from 1998 and 1999; topics include sample introduction, instrumentation, and coupled techniques
(Hill el al., 2000).
Annual review; atomic spectrometry analysis for elements in air, water, soil, and geologic materials;
includes MS, XRF, AA, ICP-MS. AES, and other instrumentation (Cave et al., 2000).
Trace element analysis of airborne particles; overview of methods with comparison between GFAAS, flame
AAS, ICP-AES, and ICP-MS (Grohse. 1999).
Biennial review; cited papers from 1998 and 1999; developments with instrumentation and operation
(Jackson, 2000).
Annual review; atomic spectrometry update on environmental analysis; topics categorized by sample media
(Dean et al.. 1998).
Annual review; developments in atomic absorption and fluorescence spectrometry in 1997 and 1998 (Hill
et al., 1998).
Invited lecture on the future of atomic spectrometry in environmental analysis; discussed sample
preparation, instrumentation, detection power, speciation, and field portability; includes nearly 200
references (Sturgeon, 1998).
Biennial review; publications from 1996 and 1997 on techniques of analytical atomic absorption;
electrothermal atomization, flame atomic absorption and emission, laser techniques, and vapor-phase
sample introduction are covered (Jackson and Lu, 1998).
Capillary electrophoresis (CE) Review; analysis of environmental samples; charts of fresh and salt water, wastewater, and industrial
process water matrices; chart for soil, sediment, and biological samples (Valsecchi and Polesello, 1999).
Review; status of CE for organic environmental pollutant determination based on papers published from
1997 to early 1999; excludes pesticides and inorganic pollutants from the review (Sovocool el a!., 1999).
Review; analysis of inorganic pollutants; environmental applications divided by sample media; analyte
tables for atmospheric, aquatic, and soil samples (Timcrbaev et al., 1999).
Review of references published mainly from 1995 to 1997; analysis of environmental samples; tables of
sample matrices and ions (Fukushi et at., 1999).
Review; separation and analysis of environmental pollutants (Song et al., 1997).
Biennial review; covers the period of October 1995 to October 1997; focus on significant developments in
theory and practice of CE; advances in performance optimization, instrumental configuration, and
detection strategies (Beale, 1998).
Review; focused on methods developed since 1994 for the determination of pollutants; divided according to
pollutant type; large table of environmental applications and corresponding references (Dabek-
Zlotorzynska, 1997).
Review; analysis of inorganic pollutants (Timerbaev, 1997).
Review; extensive table of anions, sample matrices, and electrolyte system (Kaniansky et a!.. 1999).
Gas chromatography (GC) Biennial review; covers fundamental developments in gas chromatography published from 1998 and 1999;
topics include adsorbents, phases, theory, and new technology (Eiceman et al., 2000).
-------
Guidelines and Resources for Conducting an Environmental Crime Investigation in the United States 101
Table Hi. vomimieil
Topic
Description
Gas chromatography atomic
emission detection (GC AED)
Gas chromatography mass
spectrometry (GC MS)
High performance liquid
chromatography (HPLC)
Biennial review; GC developments published in articles from 1996 and 1997 (Eiceman el al., 1998).
Review; sample introduction techniques; GC-MS and GC-FTIR applications (Ragunathan el al., 1999).
Review; trace analysis of pesticides by GC; discusses differences between detectors and extraction
techniques (van der HolT and van Zoonen, 1999).
Overview of sample introduction and sample preparation of volatile organic compounds for GC analysis
(Majors, 1999).
Automated GC system used by the Taiwan EPA for measuring ambient VOCs (Wang el al.. 2000).
Empirical formula study of chlorofluorocarbons using GC coupled to atomic emission detection (Hardas
and Udcn, 1999).
Analysis of petroleum products within forensic science review (Brcttell and Saferstein, 1997).
Biennial review; fundamental developments in column liquid chromatography equipment and
instrumentation from October 1997 to October 1999; instrumentation, columns, and a variety of
detectors arc covered (LaCourse, 2000).
Biennial review; developments in equipment and instrumentation from October 1995 through October 1997
(LaCourse and Dasenbrock, 1998).
Biennial review; theory and methods in liquid chromatography from October 1995 through October 1997;
topics include data analysis, biopolymer separations, affinity chromatography, ion chromatography, and
preparative LC (Dorsey el ill., 1998).
Review of literature methods published from 1989 to 1996; chart of anions, stationary and mobile phases,
methods (Gennaro and Angelino, 1997).
Review; determination of nitrite and nitrate in environmental samples (Matteo and Esposito, 1997).
Review; determination of hazardous compounds (PCBs, dioxins, etc.) using reversed-phasc HPLC;
stationary phases discussed (Buszewski el al, 1999).
Review of articles published from 1997 to 1999 with some classic references; detailed chart of inorganic
anions, matrices, columns, detectors; environmental applications (Lopez-Ruiz, 2000).
Review; sample preparation and separation techniques for 1C and CE; comparison of advantages and
disadvantages of 1C and CE (Haddad et at., 1999).
Elemental analysis of airborne particles; included are tables on separation methods and filter media (Chow
and Watson, 1999).
Inductively coupled plasma (1CP) Review; book selection on advances in ICP-Atomic Emission Spectrometry (ICP-AES) and ICP-Mass
Spectrometry (ICP-MS); analytical capabilities and interferences of the two spectrometers; practical
applications highlighting soil samples (Soltanpour el ul., 1998).
USF.PA methods and elements list; ICP-Optical Emission Spectrometry (ICP-OES) and ICP-MS technique
comparison (Thomas, 1997).
Elemental speciation using ICP-MS interfaced to a liquid chromutograph (Donais, 1998).
Ion chromatography (IC)
Infrared (1R) spectrometry
Liquid chromatography-mass
spectrometry (LC-MS)
Microwave assisted extraction
(MAE)
Mass spectrometry (MS)
Pressurized fluid extraction (PFE),
pressurized liquid extraction
(PLE), or accelerated solvent
extraction (ASE)
Supercritical fluid extraction
(SFE)
Solid phase extraction (SPE)
Biennial review; articles published during 1998 and 1999; focus on 2D IR, combinatorial chemistry, and
human health (Gillie el al.. 2000).
Biennial review; covers published literature from November 1995 to October 1997 on aspects of 1R
spectroscopy relevant to chemical analysis; includes a section on environmental analysis (McKelvy et aI.,
1998).
Review; general overview of instrumentation; environmental applications (Nicssen, 1999).
Review; current and future developments in pesticide trace analysis (Hogendoorn and van Zoonen, 2000).
Determination of herbicides in water; techniques and applications to herbicide analysis (D'Ascenzo
el al., 2000).
Analysis of surface and wastewater with atmospheric pressure chemical ionization (Kicnhuis and
Geerdink, 2000).
Review; extraction of environmental samples; tables for extraction of PCBs, pesticides, phenols, and
organometallics in environmental matrices (Camel, 2000).
Review; table comparing extraction techniques; tables for extraction of persistent organic pollutants and
pesticides (Eskilsson and Bjorklund, 2000).
Review; extraction of petroleum hydrocarbons from contaminated soils (Punt et al., 1999).
Annual review; update on developments in instrumentation and methodology with atomic mass
spectrometry (Bacon et at., 2000).
Annual review; advances in instrumentation, methodology, and in understanding the fundamental
phenomena of atomic mass spectrometry (Bacon et al., 1999).
Annual review; developments from 1997 and 1998; trends identified in each section (Bacon et al., 1998).
Review; extraction of persistent organic pollutants; tables of conditions found in the literature with matrices
of soil, sediment, sewage sludge, dust, clay, fly ash, and biological tissue (Bjorklund et al., 2000).
Extraction of polycyclic aromatic hydrocarbons from soils (Lundstcdt el al., 2000).
Extraction of PCBs from environmental samples as compared to SFE (Bjorklund et al., 1999).
Extraction of hydrocarbons from soils (Richter, 2000).
Recovery of PCBs from organic matrix; comparison to Soxhlet extraction (Abrha and Raghavan, 2000)
Review; methods, instrumentation, and applications including environmental (Smith, 1999).
Discussion of advantages and limitations of SFE (Luque de Castro and Jimenez-Carmona, 2000).
Review; environmental applications, coupling with capillary electrophoresis; table of analytes for SPE-CE
(Martinez et al, 2000).
Review; includes method development, sorbents, and coupling with liquid chromatography
(Hennion, 1999).
-------
102 J. A. Suggs et al.
Tahle 10. continued
Topic
Description
Review; multi-residue analysis of organic contaminants in water (Pichon. 2000).
Review: historical to present day technical developments for SPE of organic pollutants in water
(Liska. 2000).
Review; functionalized cellulose sorbents for prcconccntration of trace metals in environmental analysis
(Pyrzynska and Trojanowicz, 1999).
Review; recent developments in SPE based on polymer sorbents (Huck and Bonn. 2000),
Developments in SPF disks for use in environmental chemistry for analysis of trace organic compounds
(Thurman and Snavcly, 2000).
Review; extraction modes, fibers, and instrumentation interlaces (Lord and Pawliszyn, 2000).
Review; determination of organie pollutants in environmental matrices; tables of published applications in
air and liquid samples (Zygmunt et «/., 2001).
Review; trace element speciation; table of species, sample type, and SPME method (Mester et a/., 2001).
Biennial review; developments in ultraviolet and visible absorption spectrometry from January 1996
through October 1997; subject matter covered in categories of chemistry, physics, and applications (Howell
and Sutton, 1998).
Solid phase microcxtraction
(SPME)
Ultra-violet (UV) spectrometry
X-ray spectrometry (XRS)
Annual review of X-ray fluorescence spectrometry; developments over the period of 1999 to 2000; details on
instrumentation and applications, including environmental (Potts et til., 2000).
Analysis of ambient air samples; topics include method comparison, sampling, interferences, and
calibration (Watson et a/.. 1999).
Annual review of X-ray fluorescence; covering papers published from 1998 to 1999 (Potts et at.. 1999).
Biennial review of X-ray spectrometry; literature from late 199S to October 1999 (Szaloki et til., 2000).
Annual review of X-ray fluorescence spectrometry; covers work published from 1997 to 1998; topics include
instrumentation and applications (Ellis et a!.. 1998).
Biennial review; covering advances in X-ray spectrometry from November 1995 to the autumn of 1997;
contents include categories on excitation, detection, and quantitation (Torok et «/., 1998).
techniques, and instrumentation are summarized in
Table 10.
Dean (1998) presents various extraction methods for
environmental analysis in a recent book. Theoretical
considerations and methods of analysis are discussed
for the extraction techniques and a comparison chart
for the techniques is included. Barcelo (2000) has
compiled a significant hook in the "Techniques and
Instrumentation in Analytical Chemistry" series. Chap-
ters submitted by various authors fall into these key
sections: "Field Sampling Techniques and Sample
Preparation", "Quality Assurance, Reference
Materials, and Chemometrics", "Application Areas",
and "Emerging Techniques".
Laboratory fraud
Laboratory fraud is defined as the deliberate falsifica-
tion of analytical or quality assurance results, where
failed method and contractual requirements are made
to appear acceptable during reporting (CMECC CDQ/
CR PAT, 1997). Laboratory fraud has also been
defined as a deliberate mechanism, concealment, or
falsification producing detrimental reliance on analyti-
cal results (USEPA OCEFT, 2001). Laboratory fraud
has historically been detected either by reports from
disgruntled employees or electronic data audits. In
both circumstances, the laboratory has already per-
formed fraudulent work and the damage resulting from
the fraud has occurred (CMECC CDQ/CR PAT, 1997;
Worthington and Brilis, 1999).
Lab fraud cases generally are brought forward by
informants, disgruntled employees, or outside audits
(CMECC CDQ/CR PAT, 1997). In 1999, the Center
for Strategic Environmental Enforcement (CSEE),
Criminal Investigation Division (CID), Office of
Criminal Enforcement, Forensics and Training per-
formed an extensive review of all USEPA CID lab
fraud cases that were investigated from 1983 to 1998.
The review identified 63 cases involving data falsifica-
tion committed by a third party laboratory (USEPA
OCEFT, 2001). Third party laboratories are outside
labs hired by companies for analytical testing instead
of using an in-house company lab for analyses.
The extent of lab fraud cases has grown exponen-
tially recently with 11 new lab fraud cases opened in
the United States during the past two years (USEPA
OCEFT, 2001). A literature review was conducted to
examine the scope of the laboratory fraud problem. In
a lab fraud case from 1995, Eureka Laboratories, Inc.
was fined $1.8 million and two chemists were convicted
of federal fraud charges related to the manipulation of
lab results for federal contracts. The convictions came
after the federal government suspended Eureka from
government contracts because of allegations of frau-
dulent practices (Simmons, 1997).
In another case, Donald Budd, the former owner of
Texas Environmental Services of Beaumont, Texas,
was sentenced to six years in federal prison after
misrepresenting laboratory methods. The laboratory
tested water for cities, refineries, and other companies
(Lubbock Online Headlines, 1997).
A slightly different type of laboratory fraud case
involved a consulting company located in Portland,
Oregon. On December 14, 1996, the USEPA published
an account of the fraudulent reporting of data by
Robert Cyphers (USEPA, 1996a). According to the
USEPA statement, Cyphers, the former president and
owner of UST Environmental Services, pled guilty to
four felony counts involving the submission of written
-------
Guidelines and Resources for Conducting an Environmental Crime Investigation in the United States 103
false statements to the government. As part of the plea
agreement, he agreed to serve a recommended 30-
month term of incarceration.
Cyphers operated a company with the primary
business of removing leaking underground storage
tanks and performing subsequent cleanup of contami-
nated soil and groundwater. He submitted more than
1000 fictitious laboratory analysis reports regarding the
extent of soil and groundwater contamination to the
Oregon Department of Environmental Quality. These
reports were used by regulatory agencies to determine
the degree of environmental contamination and
cleanup necessary to protect human health and the
environment. A few sites affected by Cyphers' lab fraud
case have been re-sampled. Analyses have determined
that petroleum contamination still exists.
On January 7, 1998, Intertek Testing Services
Environmental Services laboratory (ITS) voluntarily
disclosed that fraudulent practices were being con-
ducted in their laboratory located in Richardson, Texas
(Waldman, 2000). ITS disclosed that employees were
improperly manipulating QC data during a time period
that was later determined to be 1991-1997. The
manipulations included actions of shaving, juicing,
and time traveling to make data appear to meet QC
requirements. These practices affected hundreds of
projects, thousands of clients, and hundreds of
thousands of samples.
In another case, the USEPA Central Regional
Laboratory was investigated for allegations of altering
test results. A criminal investigation regarding these
allegations was conducted by the United States
Department of Justice. The USEPA alerted federal
prosecutors handling pollution cases, as well as
informing suspected polluters, that some data used in
pollution cases might be tainted. An unpublicized,
28-month investigation of the laboratory organic
section found that USEPA supervisors and private
contractors had mishandled some time-sensitive test
samples by not initiating analyses within required
holding times (Nicodemus, 2000a,b; Keoun, 2000).
An internal USEPA memorandum discusses con-
tributing factors for laboratory fraud, including inef-
fective oversight of laboratory data, shrinking market
resulting in focus on production over quality, and a
standardized approach to analytical requirements.
USEPA officials, prime contractors, and laboratory
owners may rationalize or even foster laboratory fraud
when these factors exist. Lack of oversight was
identified as a problem in prior Office of Inspector
General (OIG) and USEPA investigations. The second
factor, a shrinking market, cannot be influenced by the
USEPA. The final condition, a "one-size-fits-all"
approach, can occur in contracts that define specific
QA/'QC requirements. Although laboratories bidding
on contracts are aware of requirements, in specific cases
managers or staff may view the requirements as too
stringent and may cut corners to save money (USEPA,
2002b).
In addition to reports by a disgruntled current or
former employee, investigators may receive reports of
lab fraud from data reviewers and data users, auditors
and inspectors, and regulators (USEPA OCEFT,
2001). Another indicator of potentially fraudulent
data reporting is an anomalously low bid on a contract.
Bids 50% lower than every other bid indicate the
possibility of lab fraud according to Stephen Remaley,
an investigator for the USEPA. Remaley describes the
types of laboratory fraud as well as methods for
detecting fraudulent practices (Martin, 2000).
Simmons (1997) presented guidelines being devel-
oped by the California Military Environmental Co-
ordination Committee for the prevention of laboratory
fraud. The techniques being considered to discourage
fraud include double-blind proficiency test samples,
audits, data validation, and electronic record audits.
According to Worthington, an important step in
processing non-authentic data is making and docu-
menting decisions when the problem is first discovered.
The timely reporting of potential fraud and the
establishment of a reconciliation process is emphasized
(Worthington and Brilis, 1999). Resources assisting in
the detection of laboratory fraud and the subsequent
reconciliation of data include laboratory employees,
data users, and inspectors (CMECC CDQ/CR PAT,
1997; USEPA OCEFT. 2001).
Accreditation of environmental forensics
laboratories
In the United States, forensic laboratories have received
greater scrutiny for analyses and operations (Nicode-
mus, 2000a,b; Keoun, 2000; LVRJ, 1997; US House of
Representatives, Subcommittee on Crime, Committee
on the Judiciary, 2002; US DOJ, 1998; Kerr, 1998; CBS
News, 2001). "Trustworthiness" and "responsibility"
are repeating themes as questions about the quality
supporting the scientific data are discussed in the
media. Assuring the public that a forensic lab is capable
of providing legally defensible analyses has made
accreditation the goal of many forensic laboratories at
federal and state levels (US DOJ FBI Press Room,
2001; ELWR, 2001; California State Auditor/Bureau of
State Audits, 1999; Office.com, 2001).
In the case of the USEPA National Enforcement
Investigations Center (NEIC), this facility obtained
accredited status for the laboratory asbestos analysis
program under the National Voluntary Laboratory
Accreditation Program (NVLAP, 2002a,b). Since
asbestos analysis accounts for only a portion of the
total analyses conducted in the laboratory operations,
accreditation in other laboratory functions was desir-
able.
NEIC investigated accreditation requirements with
the National Environmental Laboratory Accreditation
Program (NELAP), the American Association for
Laboratory Accreditation (A2LA), and the American
Society of Crime Laboratory Directors/Laboratory
Accreditation Board (ASCLD/LAB) before reaching
a viable accreditation standard agreement for center
activities (laboratory, field, and courtroom) with the
National Forensic Science Technology Center
(NFSTC) (ELWR, 2001; NVLAP, 2002a; NELAP,
2001; A2LA, 2002; ASCLD, 2001; NFSTC, 2001). The
NEIC accreditation standard used elements of the
ASCLD/LAB manual and met the requirements for
ISO/IEC Guide 25 and ANSI/ASQC E4.
Writing an accreditation standard for a forensic
laboratory and establishing a quality system to main-
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104 J. A. Suggs et al.
tain the standard is not enough to ensure that quality
scientific data is being produced. Members of the
facility assume responsibility for their part in the
system. Rosecrancc (1999) suggests the implementation
of an ethics program in the laboratory. In this article,
the author covers the kinds of policies and actions that
can inform employees about unacceptable and frau-
dulent behavior. A valuable tool for managers and
scientists is the detailed table of unacceptable labora-
tory practices and the corresponding actions to take to
avoid the problems listed in the article.
Articles describing the implementation of quality
systems are found in the technical program of the 19th
Annual National Conference on Managing Environ-
mental Quality Systems. In one article, McMillan
(2000) tells the success story of quality system imple-
mentation for a small environmental testing labora-
tory. Of special note was the decision to hire a
dedicated quality staff to document and formalize
components of the program.
The USEPA Quality System has guidance docu-
ments that take into consideration recent legal devel-
opments regarding the admissibility of scientific
evidence. A table of these documents and correspond-
ing Internet site locations are provided by Brilis et al.
(2000). Additionally, the authors have provided a
detailed list of criteria to consider in every stage of an
environmental investigation to ensure that quality is
maintained and is consistent.
Gunzler (1996) provides details on different inter-
national accreditation systems. Several authors con-
tributed brief descriptions of accreditation systems
in different nations. The book contains chapters on
quality assurance, traceability, and reference materials.
Several sources for reference materials can be found on
the Internet (N1ST, 2001; NRC, 2001; Particle &
Surface Science Pty. Limited, 2001).
The United States environmental testing industry
has joined with state regulators to form the National
Environmental Laboratory Accrediting Conference
(NELAC). NELAC has published a series of standards
and has accredited the first group of private labora-
tories (USEPA NELAC, 2001).
An outstanding "one-stop" Internet site for quality
assurance is the ISO 17025 (Guide 25) home page
(FASOR Technical Service, Inc., 2002). This site links
to hundreds of other sites on quality assurance
including accrediting bodies, calibration and testing
labs, and measurement testing web sites.
Chemical fingerprinting
A useful forensic technique used in environmental
investigations is chemical fingerprinting. Chemical
fingerprinting is used to identify an unknown chemical
or compound or to trace contaminants back to a
particular origin. For example, petroleum contami-
nation can often be traced back to a particular refinery
based on additives that are unique to that refinery. A
study of metals in areas surrounding a smelter can
point back to the smelter effluent as the cause of
pollution.
Morrison reviews the use of chemical fingerprinting
for petroleum hydrocarbons in recent articles (Morri-
son, 1997; 2000a). Some items discussed include
proprietary additives, alkyl leads, oxygenates, dyes,
isotopic analysis, and transport models (Morrison,
2000a). Morrison (2000b) also discusses the chemistry
and transport of petroleum hydrocarbons and con-
taminant transport modeling in a recent book. A
similar overview of chlorinated solvents is also
included.
Chemical fingerprinting as it relates to oils, gasoline,
and diesel fuel is addressed by Bruya (2001). Test
methods and analyses used in identifying and matching
samples are evaluated. Tables of production specifica-
tions with test methods and tables of petroleum
compositions with references are provided. Metals
analysis is mentioned briefly.
Lead isotope analysis for source identification and
age dating is frequently used in studies on the effects of
lead-based gasoline on the environment. Residual
traces of lead can be found in the environment even
after the use of lead-based gasoline has been discon-
tinued (Hurst et al.. 1996).
Determining the sources of lead in the environment
is of international interest. Lead isotope ratios have
been studied in sediments in Scotland by Farmer et al.
(1996) to determine geochemical origins of lead and
relative contributions from industrial and vehicle-
exhaust emissions. Gulson et at. (1981) detail a study
on lead contamination that was centered in the
intersection between a rural and an urban area in
South Australia. Natural soil lead was considered
along with orchard sprays, power stations, smelters,
and gasoline additives. Isotopic ratios indicated that
while the natural soil lead was the major component
for soil below 30 cm, contamination from the tetra-
ethyllead additive in gasoline was determined as the
major component in surface samples. Dunlap et at.
(2000) conducted a study of river waters flowing into
San Francisco Bay, California, and traced the lead
deposited in the drainage basin. They saw a trend from
leaded gasoline to isotopic concentrations similar
to inputs that occurred during hydraulic gold mining
in 1853.
Elemental ratios can also be used as a means of
source identification. Monna et al. (1999) used lead
isotope data and elemental ratios to study the lead
isotope composition in lichens and aerosols. Elemental
associations were also used by Rauch et al. (2000).
Lead and platinum group metals in road sediments
were studied using laser ablation-inductively coupled
plasma-mass spectrometry.
Particle analysis is also used for contaminant source
identification. An article by Linton et al. (1980)
examines the use of the scanning electron microscope
with energy dispersive X-ray analysis, multi-element
analysis, and X-ray powder diffraction to identify the
sources of lead-containing particles in urban dusts. The
techniques used in the lead tracing study are described
and the strengths and limitations of the techniques are
summarized.
Hopke (1999b) discusses particle source identifi-
cation for air quality management. A section covering
basic principles and natural physical constraints leads
into other sections on source composition for airborne
particles, chemical mass balance, multivariate cali-
bration methods, and factor analysis methods used for
these studies.
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Guidelines and Resources for Conducting an Environmental Crime Investigation in the United States 105
Electronic evidence
Computer forensics is an integral component in
environmental crime investigations (Devaney et al.,
1998). A significant portion of compliance monitoring
is being generated by and stored on computers in either
a laboratory environment or by computerized environ-
mental monitoring equipment. For example, continu-
ous emissions monitoring (CEM) systems collect
measurements of gases or particulate matter. After
the computer converts these measurements to the units
of the emissions standard, the information is for-
warded to the responsible regulatory agency. A similar
computerized database and reporting system is encoun-
tered in leak detection and repair (LDAR) investi-
gations at refineries. These systems monitor fugitive
emissions from the various valves, flanges, and pumps
at the plant. While LDAR is primarily evaluated
during civil environmental investigations, the job of the
computer forensic analyst is the same. The analyst
obtains the database or data that is generated during
monitoring, analyzes the data, and compares the
results to the reports submitted to the regulatory
agency.
A developing area of environmental crime investi-
gations is laboratory fraud. Laboratory fraud is the
deliberate misrepresentation of analytical results. This
misrepresented data is often submitted to government
agencies for regulatory determinations. In any labora-
tory setting, there can be a considerable variety of
computers and computerized systems connected to
laboratory instrumentation. These systems are capable
of producing data ranging from raw data directly from
the instrument to reduced data in the form of a report
for a specific analysis. For this type of investigation,
specialized knowledge of the operating systems and
programs can be an invaluable aid in determining if
fraud occurred.
The means of acquiring, securing, and analyzing
computer evidence varies (Casey, 2000). Guidance for
handling electronic evidence is available from the
United States Department of Justice (2001, 2002), the
literature (Stephenson, 1999; Wilding, 1997; Sammes
and Jenkinson, 2000), and the Internet (US DOD,
2002; NIST, 2002; AOL, 1999; RCMP, 2002; ASIS,
2002). Additional problem areas, such as reverse
engineering and internal data security issues, should
be addressed by computer forensic analysts prior to
pursuing an environmental crime investigation (Deva-
ney et al., 1998). Reverse engineering involves under-
standing the code for a computer program and using
that knowledge to determine if the computer system
can perform properly for its designed function. This
examination can ascertain if reported results are
reliable or if the code contains an error that may lead
to false results.
An examination of data security issues within a
company can be an integral component of the
computer forensic investigation, especially in determin-
ing if a suspected chemical release was accidental, the
deliberate action of a disgruntled employee, or the
result of a computer hacker tampering with an auto-
mated system. These security questions also apply to
automated reporting systems that transfer data directly
to a regulatory authority.
Presentation of scientific evidence
Link analysis
Link analysis is a widely accepted tool in traditional
criminal investigations and is used to support criminal
and civil environmental investigations. Charting
techniques include many types of analysis such as
Traditional Link Analysis, Association Analysis, Tele-
phone Record Analysis, Event and Activity Flow
Analysis, Commodity Flow, Financial Analysis, and
Time/Event Analysis (Anacapa Sciences, Inc.. 2001b;
i2inc, 2002). These chart types and more are available
to illustrate how an environmental crime was com-
mitted.
Link analysis charts are an effective and successful
tool in trial presentations when used to depict a set of
events and specific information related to a crime.
These charts assist a trier of fact to understand the
complex relationships that exist in environmental
crime. Environmental crimes are often very difficult
to follow, especially if understanding the crime requires
keeping track of the activities of many people and the
timing of particular events (e.g. when various loads of
waste are transported).
Case studies
As a result of a United States Supreme Court case
referred to in short as Daubert, federal judges now have
the responsibility of being the "gatekeeper" of scientific
evidence in the courtroom (Findlaw, 2002). The benefit
of this ruling is that it prevents so-called "junk science"
from being presented and possibly misleading a jury.
(Juries composed of US citizens often serve as fact-
finders.) In many environmental cases, a federal judge
will hold some type of Daubert hearing before expert
testimony will be heard.
In a Daubert hearing, both sides must present their
best case regarding the scientific work and be prepared
to defend the work as having a sound scientific footing.
The opinions presented may be based on standard
methods or on a novel application to established
science. In addition to questioning by lawyers, judges
often delve into the basis for expert opinions in order to
find the answers to two key questions (Simmons, 2002).
• Is the opinion relevant?
Does the opinion presented deal with the issues in the
case? Do the scientific studies or research cited to
support the opinion have direct relationship to the
issues in the case?
• Is the science reliable?
Is the methodology that was used good science? (Was
the method validated?) How were all aspects of the
measuring process performed (from sampling to the
laboratory analysis)? Were all the necessary QC actions
taken to ensure the reliability of the data? Were
established procedures for each action followed in the
field, in the laboratory, and in all the steps in between?
(Defensibility of field methods is no different from that
of laboratory methods.) (Simmons, 2002).
Two environmental crime cases involving NEIC
demonstrate the issues that can occur in determining
the reliability of the science involved. One case
necessitated that USEPA guidance be challenged and
-------
106 J. A. Suggs et at.
shown to be faulty. In the other case, the prosecuted
company challenged their own data to show that it was
unreliable and could not be used against them.
In the first case, the owner and operator of a fertilizer
manufacturing company knowingly endangered his
workers by exposing them to cyanide waste. A criminal
investigation by USEPA examined the illegal hazar-
dous waste disposal activities that physically crippled
and caused permanent brain damage to an employee.
The employee was sent into a 25,000-gallon storage
tank to clean out the cyanide sludge inside without the
required protective equipment. The employee was not
told the tank contained cyanide waste. When rescue
workers and medical personnel arrived, they were not
told that the storage tank sludge contained cyanide,
even though the medical personnel asked direct
questions regarding cyanide exposure.
NEIC developed a storage tank model to demon-
strate that the waste material in the storage tank was
capable of generating toxic gases in harmful levels.
Because USEPA guidance on hazardous waste con-
tained a flawed analytical method for measuring
cyanide, other methods were employed to prove that
the waste was hazardous. The Dauber! challenge from
the defense attacked the tank model and the waste
sample collected from the storage tank on the premise
that neither was representative of the actual circum-
stances.
An NEIC expert testified during the Daubert hearing
and was able to satisfy the judge that his opinion was
based on reliable data and corroborating evidence. At
trial, he presented his opinion that the waste was
hazardous and explained how the evidence (witness
testimony, NEIC sample analyses, and medical
records) supported his opinion. The defendant was
sentenced to a 17-year prison term, the longest
sentence ever imposed for an environmental crime,
and was ordered to pay $6 million in restitution to the
injured employee (USEPA, 2000).
In the second case, the challenge raised by the
defendant during the Daubert hearing was directed
against the expert for the prosecution and the
defendant's own chemist and data. A meat processing
company and several company managers were charged
with felony counts of conspiracy, illegal dumping
of pollutants, and filing of false reports in violation
of the federal Clean Water Act (USEPA, 1996b,c). The
company's discharge monitoring reports were falsified
to indicate compliance with the discharge permit
provided to the wastewater treatment plant that treated
waste from the company's slaughterhouse operation.
Measurements taken to monitor discharges were
recorded by the company chemist in two sets of
books. One set contained the real numbers from testing
and the other set contained the numbers fabricated for
reporting to the USEPA.
The methodology used to obtain the test results was
not challenged in the Daubert hearing. The company
challenged how their own chemist conducted the
method and claimed that the numbers were unreliable.
The company also argued that the chemist used no
quality control and was incompetent and unreliable.
An NEIC expert examined the company's data and
offered the opinion that the data was of sufficient
quality to prove permit violations. The court accepted
the company data for use in the trial.
A guidebook for legal professionals and scientists
providing expert testimony is the Scientific Evidence
and Experts Handbook (Brown, 1999). It is a com-
pilation of eight chapters on topics such as "Pretrial
Preparation in Scientific Cases", "Finding, Hiring,
and Supporting Scientific Experts in Complex Scien-
tific Evidence Cases", and "Scientific Evidence in
Criminal Cases," and is written by litigators with
years of experience in the courtroom. A year 2000
update to this handbook is also available (Brown,
2000).
With the responsibility of being a gatekeeper for
scientific and technical testimony in the courtroom,
district court judges must perform inquiries into
technical matters and evaluate scientific evidence.
Several resources to assist judges will be tested for
usefulness and legal reliability in the coming years
(Stroup and Meiners, 2000). The Reference Manual on
Scientific Evidence produced by the Federal Judicial
Center is a readily available source for help in
evaluating scientific evidence. Both editions of the
manual are available from the Federal Judicial Center
Internet site in whole or in separate sections (Federal
Judicial Center, 2002).
Another aid to judges is the Court Appointed
Scientific Experts (CASE) project developed by the
American Association for the Advancement of Science
(AAAS, 2002). Many trial lawyers question the legal
viability of this project because of concerns that a
court-appointed expert might not be fully impartial or
that such expert testimony could tip the balances in the
legal system. The Federal Judicial Center has indicated
support for the CASE project and will evaluate the
usefulness of the project after five years (Kaiser, 1999).
An international perspective on environmental law and
regulatory issues is available from libraries on the
Internet (EHS Internet Library, 2001; Monash Uni-
versity Library, 2002).
Conclusions
Key points relevant to environmental forensics inves-
tigations are summarized.
• Information systems for the environmental forensic
investigator are booming. Databases are increasing
daily with information about chemicals, fate models,
and financial or corporate connections. Two ency-
clopedias provide details on industrial processes. The
Kirk-Othmer Encyclopedia of Chemical Technology
and the Ullmann's Encyclopedia of Industrial
Chemistry contain information on engineering fun-
damentals, plant processes, and industrial chemicals.
• Many Internet sites hosted by the USEPA provide
extensive details about environmental crime scene
investigations. Information available for investi-
gators in the field include references to standards
and methods, documentation and report examples,
sampling techniques, and guides on field measure-
ments. Several other Internet sites include details on
laboratory analysis and methods available for down-
load. The environmental protection agencies of
many countries provide Internet sites with search
-------
Guidelines and Resources for Conducting an Environmental Crime Investigation in the United States 107
engines useful for locating reference methods and
guidance documents.
• Case agents for environmental criminal investi-
gations face new challenges because of the increasing
expansion of computer systems and software.
Including computer forensic analysts as part of an
investigative team is one approach to using
electronic evidence in an investigation. An alternate
approach, training the case agent in computer
forensics, may be time-consuming and may not be
adequate for the agent to follow rapid changes in
computer technology.
• In the United States, laboratory fraud is an
increasing part of environmental crime investi-
gations. Conditions that may encourage laboratory
fraud to occur are the ineffective oversight of
laboratory data, a shrinking consumer market, and
inappropriate QA/QC actions. Fraud hotlines and
techniques such as double-blind proficiency testing,
data validation, and electronic record audits may be
useful in the prevention of laboratory fraud.
• Accreditation is a key focus of environmental
forensic laboratories. Important considerations for
achieving accredited status include sufficient funding
to support elements of accreditation (e.g. proficiency
testing, facility improvement, and management
information systems) and sufficient time resources
to develop documentation and support changes in
the organizational and functional structure.
• For environmental forensic organizations encom-
passing more than just a laboratory, elements of the
investigative process that are outside the lab should
be included in an accreditation standard. Elements
of field sampling, evidence custody and preservation,
and proper documentation can affect the prosecu-
tion of a criminal case and should be included in
the quality management provided by a properly
designed accreditation standard.
Acknowledgements
The authors wish to thank Gitanjali Passfield and
Nancy B. Greer, contractors for the USEPA through
Vistronix, for their unflagging assistance in the
preparation of this document. The authors also wish
to recognize and thank Ilia Schipporeit. a fellow NEIC
employee, for her editorial assistance in preparing this
document.
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