UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF ENFORCEMENT AND COMPLIANCE MONITORING
EPA-330/9-87-002
NEIC EVIDENCE AUDIT SUPPORT FOR
THE OFFICE OF CRIMINAL INVESTIGATIONS
Denver, Colorado
October 1987
Robert Laidlaw
NATIONAL ENFORCEMENT INVESTIGATIONS CENTER
Denver, Colorado
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CONTENTS
NEIC EVIDENCE AUDIT SUPPORT FOR THE OFFICE ,1
INTRODUCTION 1
PROJECT INITIATION 2
WORKPLAN 3
Contacts. 6
Background 6
Tasks 6
Quality Assurance 6
FILES MANAGEMENT SERVICES 7
SAMPLE PROFILES 13
APPENDIX
A SAMPLE WORKPLAN
FIGURES
1 Project Planning/Development CheckList 4 4
2 Data Extraction Sheet 10
3 Example Document Inventory Printout 14
4 Document Inventory 15
5 Documents Concerning Ground-Water Monitoring 16
6 Summary of the Sample History 17
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NEIC EVIDENCE AUDIT SUPPORT FOR THE OFFICE
OF CRIMINAL INVESTIGATIONS
intbdOUCTION
The National Enforcement Investigations Center (NEIC) has, for many
years, imposed internal evidence auditing procedures on case files developed
during investigations conducted by the Center staff. These audits assist case
attorneys and the litigation team in preparations of Agency litigation efforts. The
evidence audit procedures are designed to: (1) establish an overall case
document control system. (2) provide rapid and complete access to records and
(3) assist in verifying evidence integrity.
These procedures have been used extensively to prepare civil
enforcement cases. NEIC has also procured extensive contractor services to
carry out these information management tasks for the hazardous waste
program. Document management issues and creation of computerized
databases for information summary and retrieval are applicable to criminal
investigations as well. Evidence audit and information management services
are available to the Office of Criminal Investigations.
Technical data, operating and process information, production data and
related information produced or obtained during enforcement investigations is
potential evidence. Because of this, these data must be (a) reliable, (b)
gathered with constitutional safeguards and (c) maintained to assure integrity.
The potential evidence may take several forms including notebooks, film,
computer tapes, sample tags, a degradable sample, etc. Typically, a case
preparation investigation may generate large volumes of file material, samples,
data tabulations and reports. Security and accountability (i.e., chain-of-
custody) must be maintained at all times.
Document handling practices are not standardized and the types and
volume of documents relating to a case can be overwhelming. It is increasingly
seen that a single case can involve 50,000 or more documents. Agents and
attorneys are confronted with the difficult and time consuming tasks of
assembling and organizing all documents, preparing witness lists, and
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extracting the information necessary to prepare the case. Documents delivered
to or obtained onsite by the agents are often poorly organized, not inventoried
and may come from a variety of sources. Records may be so voluminous or
disorganized that it is difficult for the agent to effectively review them.
Organization and assembly of this material is essential to effective preparation
of the case.
PROJECT INITIATION
The evidence audit function is carried out by the Information
Management Branch of the Office of Planning and Management, NEIC. The
service supports Special Agents managing large volumes of documents
generated in-house or obtained from State, local and/or industrial sources.
The audit effort involves sorting, organizing, numbering, inventorying and
reviewing these records. Usually, computerized databases are developed for
information storage and retrieval.
Each project must begin with a request for assistance directed to the
NEIC Deputy Director. A verbal request must be followed in writing. A written
response will be prepared for each request and will identify NEIC contacts.
Requests should be initiated by the Special Agent-m-Charge. Some work
may be initiated on the basis of a verbal request in some emergency situations.
An NEIC Criminal Investigation project number shall be assigned for the
case and a file will be opened. All documents will be numbered and NEIC
procedures for chain-of-custody and document control will be followed
throughout. Additional document processing and transmittal procedures will be
followed to control and protect information for criminal cases. These
procedures are discussed later in the manual.
The request should identify the type of support needed and be detailed
enough for NEIC to determine the approximate level-of-effort required. Prior to
commencing the project, the Team Leader will have extensive discussions with
the agent(s) to ensure that the information management needs of the case are
met.
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3
yynflKPLAN
A workplan will be prepared by the evidence audit team leader. The
workplan serves to define the assistance needed, scheduling and the reporting
requirements. Each workplan is case specific and is tailored to meet the needs
of the individual project. The plan is usually prepared after extensive
conversations with the agent(s) and/or case attorney(s). It will be developed
and distributed in accordance with NEIC policies and procedures for document
control. The plan will be stamped "DO NOT DUPLICATE" and numbered.
Distribution of copies will be tracked. The plan will be transmitted in special
attention envelopes which are sealed, signed and dated.
Agents and attorneys will need to provide information for the plan. Types
of information needed include:
Project title and location
Environmertal regulations involved in the case
Names and phone numbers of contacts
Nature of work and specific objectives
Time constraints and deadlines
Justification for priority treatment
Location of all document sources
Volume of records to be managed
Physical condition of records (hard to read, contaminated, etc.)
Location(s) where work will be performed
Need for computer services
Amount of participation by agents or attorneys
Confidentiality requirements
Work products needed
A project planning checklist [Figure 1] can be used by Special Agents or
attorneys to provide the information needed.
The workplan will be prepared in draft form and submitted to the agents
and attorneys for review. After concurrence, the workplan will serve to guide the
work effort. A sample work plan is shown in Appendix 1.
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Figure 1
PROJECT PLANNING/DEVELOPMENT CHECKLIST
Project Title:
Project Location:
Enforcement objectives and regulations involved:
Contact Name:
Telephone:
Address:
Nature of work and specific obiectives required:
Time constraints and legal deadlines to be met:
Justification for priority treatment:
Location of all document sources and contacts:
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5
Figure 1 (cont.)
8. Volume of records to be managed:
9. Assessment of physical conditions of records and degree of organization
already accomplished:
10. Location of work to be performed:
11. Requirement for computer services:
12. Amount of participation by requester:
13. Confidentiality requirements:
14. End product desirea:
15. Minimum schedule for communication of project status:
16.
Description of documents:
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6
The workplan format consists of (a) names of contacts, (b) background,
(c) tasks and delivery schedule and (d) quality assurance procedures.
Hantacts
NEIC staff, the agents and the attorneys' names and phone numbers will
be listed. Lead investigators and attorneys will be identified.
Background
The case name, site, environmental regulations involved and
background on the assistance requested will be discussed.
lasKa
Tasks to be conducted by the evidence audit team will be listed
individually. The tasks may involve case file organization, document numbering
and inventory, or development of sample profiles. The delivery schedules,
reporting requirements and use of computerized systems will be discussed.
Quality Assurance
Quality assurance procedures are used to verify that all data developed
by the evidence audit team is accurate, consistent and complete. If
computerized systems are used, the team must verify printed reports and ensure
that data in the computer is accurate and consistent with the original documents.
These procedures may require 25% to 35% of the total project time. Quality
assurance must be completed prior to delivery of the work product. Special
Agents and attorneys may impact the amount and type of quality assurance
performed. Some cases may require a higher percentage verification than
others; however, a 10% verification rate is considered minimal.
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pi| F5 MANAGEMENT SERVICES
Investigators and attorneys may be confronted with managing numerous
documents which may be poorly organized or difficult to read. Organizing the
material, numbering it for control and preparing abstracts or summaries of the
documents are essential to case preparation. The goal of the evidence audit
process is to identify information on the documents and to design systems to
efficiently retrieve that information.
One tool which can provide an effective, organized format of information is
a document inventory. Computerized systems are used to store the information
and to facilitate retrieval. Typical objectives for developing a computerized
inventory include:
Providing an efficient way to locate and retrieve documents by key
words, subject, author, date or other topic
Providing a document control system to assure that valuable
documents are not lost or misplaced
Providing a means for assuring timely production and exchange of
documents
Providing a means for conveniently adding new records to the
system
There are different organizational formats to consider for document
organization. Records can be grouped by source (corporate or individual),
chronologically, by event (spill, violation, etc.). or by regulation (air, water,
hazardous waste, etc.). A preliminary sort is usually done to group or organize
the records. The next step is to assign each document a number. Assumptions
may be necessary to decide what constitutes a single document (i.e., many times
a record may have numerous attachments stapled together). Special Agents or
attorneys may need to assist in determining a consistent approach.
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Different numbering schemes can be used. For example, documents can
be numbered or individual pages can be numbered. Sequences of numbers
may be used to represent sources. This approach enables new documents to
be added to the system conveniently. For example:
Document numbers . 0001 to 10,000 » State of Colorado
Document numbers 10,001 to 20,000 « EPA, Region VIII
Document numbers 20,001 to 30,000 =» XY2 Distributing
Document numbers 30.001 to 40,000 « ABC Receiving, Inc.
Another approach is to sequentially number each document as it appears in the
file and add new ones at the end. Both systems work well. The latter method is
more dependent upon the computer system to locate records. Additional
schemes are also possible. The agents and evidence audit team will work
together to derive the best approach for each case.
Two approaches to identifying individual documents while maintaining
integrity of a document package are discussed below:
Use an alphanumeric numbering scheme such that a 6-digit
number indicates a single document and a number followed by a
letter indicates attachments. For example:
00123 Single document
00124 Parent document
00124A Attachment 1
00124B Attachment 2
Develop a database that cross-references the numbers of all
documents attached to one another.
Issues regarding duplicates and partial documents must also be
addressed prior to document numbering.
Once a numbering system has been set and the documents have been
grouped, the next step is to extract information. Information may be recorded on
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an extraction sheet [Figure 2] or in most cases it is entered directly from the
document into the computer. Information to be extracted is defined in the
workplan and is dependent on the needs of the agents and attorneys. Typical
categories include:
Document type
Document number
Date
Number of pages
~ Title/subject
Originator
Recipient
Miscellaneous
These categories can be broken down further
Document type
Memo
Correspondence
Reports/studies
Legal records
Sampling/analysis data
Resumes
Handwritten notes
Publications
Contracts or orders
Photographs
Invoices/checks
Phone conversation records
Operating logs
Other
Document Number
The number stamped on by the evidence audit team or
agent
A file or document number from a corporation
A State or local government number
A justice department number
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Figure 2
(Project Name) - DATA EXTRACTION SHEET
Document #
suffix
Date:
Pages:
Document Tvoe:
1. Memo
2. Correspondence
3. Reportsystudies
4. Legal documents
5. Letters
6. Sampling/analysis data
7. Resume
8. Handwritten notes
9. Publications
10. Contract/order
11. Photo
12. Billing packet
13. Phone conversation
14. Waste Disposal Record
15. Regulations
Title/Subject:
(Circle)
To From
To From
To From
Org.
Org.
Org.
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Document date
Usually the date originated
• Number of pages
May be pages of each document
May include total of attachments
Title/subject
May be exact title of record
May be two or three lines of a narrative abstract
Originator
Individual
Corporate
State/local/Federal government
Individual affiliation may be listed
Indicated as a signed original
Recipient
Addressee
Received a copy
Someone who wrote a note on the document
Miscellaneous
Attorney work product
Privileged
Grand Jury
Original
Duplicate
Confidential
Marginalia
When seized or obtained
Whose file
Keywords can also be used to locate pertinent records. For example, a
computer search can be conducted that will list ail documents that have
keywords mentioned or documents that deal in general with a keyword topic.
Examples of keywords may include:
Name of a person
An organization
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A location
Records relating to costs
Owners
Operators
Generators
Transporters
Payments
Regulations
Complaints
Safety
Other
Keywords are a useful tool for identifying and locating pertinent documents;
however, the time required to read and extract the information and to conduct a
computer search significantly lengthens the time to complete the document
inventory. The minimum number of keywords necessary to accomplish the
goals of the Special Agent or attorney should be established early in the
project.
Quality assurance reviews are a part of each document inventory project.
The level or percentage verification required will be specified in the workplan.
Once the information and data extraction steps are complete, a draft quality
assurance printout is generated. The printed information is then compared to
the original documents and any corrections are written directly on the printout.
A final editing follows and a completed printout is prepared.
Once the database is completed and its accuracy is verified, sorts,
searches and reports can be requested. The computerized document inventory
enables agents and attorneys to search and retrieve records that would be
difficult and time consuming to perform manually. The database listing can also
serve as a concise summary of what may seem to be an unmanageable amount
of documentation. Commonly requested printouts of inventories have included:
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A complete chronological listing of all documents
Listings of documents pertaining to specific subjects or key words
in chronological order
Listing of documents received from various sources
• Listing of documents from a particular author
Listing of documents on a particular subject (i.e., groundwater)
Examples of document printouts are shown in Figures 3, 4 and 5.
Successful retrieval and sorting are dependent upon initial project
design and communication throughout.
SAMPLE PROFILES
Sample profiles are used to track sample history from time of collection
until its ultimate use or disposal. The profile is a one-page graphic summary of
the sample history [Figure 6]. It may represent one sample or a group of
samples that were treated identically. The profile lists the following items.
Name and affiliation of sampler
Date and time of each sample transfer
Name of each person receiving the sample
Method of shipment to a laboratory
Person receiving for the laboratory
Date and time of receipt
Storage time m lab
Date/time sample was taken from storage
Purpose for removal (sample preparation, analysis, etc.)
Person removing sample
Date of disposal or shipment
Person involved
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Piguro 3
example OOCunmt inventory printout
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16
Figure 5
DOCUMENTS CONCERNING GROUND-WATER MONITORING
Document
Number
Date
Title
1001
01/02/79
GW monitoring plan for hazard waste facility
1002
01/05/79
Well test report - monitor wells 1 and 2
1010
02/25/79
Phone call concerning ground-water data
1011
03/28/79
Organics analysis results of well 1
1012
03/30/79
Water analysis of farm hand monitor well
1017
05/14/79
Inorganics analysis results for well 2
1018
05/21/79
Organics analysis results for well 2
1019
05/21/79
Split sample analysis report for well 1
1021
06/06/79
Split sample analysis report for well 2
1022
06/11/79
Inorganics analysis results for well 1
1025
07/04/79
Well test data results * wells 1 and 2
1037
10/01/79
Well data-ESD sampling wells 1 and 2, 9/79
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18
Supporting documents can be attached to the sample profile to enhance
the profile. For example, chain-of-custody records, sample tags, laboratory
logs and bench records may be attached. The purpose is to provide the sample
history with all the necessary supporting information to verify the sample has
been properly handled and controlled.
Gaps or discrepancies identified during sample profile development are
brought to the attention of the agent or attorney. Searches for additional
records can be conducted to fill gaps. Interviews with the samplers or
laboratory personnel could also be conducted to attempt to rehabilitate the
evidence. The goal of this process is to identify and resolve potential
evidentiary problems before trial.
One of the most difficult phases of developing sample profiles is
gathering all of the pertinent records. It cannot be assumed that field and
laboratory reports contain all the required information.
Description of document catagories relating to sample profile projects
follow:
(1) Chain-of-custody records: Contains the signatures, dates
and times of custody transfers
from sample collection to receipt
of the sample by the laboratory
(2) Sample tag or label:
Includes the sample identi-
fication information such as
sampler's name{s), date col-
lected, station number or sample
description and the type of
analyses to be performed
(3) Sample Management Office
Includes the sample description,
matrix description, method of
shipment, dates of sampling,
sampler(s), SMO sample number
and station or sample description
(SMO) Traffic Report form
(Contract Laboratory analyses
only):
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19
(4) Field Logbooks, Field Sheets,
Project Plans, Field Data
Records, tn-Situ Testing Records,
Drilling Logs, Sampling Records
and Field Notes:
(5) Shipping airbills, manifests and/
or bills of lading:
(6) Laboratory sample receipt log:
(7) Sample storage/control record:
(8) Extraction and preparation
records (SMO laboratory
chronicles-extractions for con-
tract laboratories only:
(9) Analysts and instrument log-
books, bench records, data
summary sheets, results tables,
QA/QC documentation and
instrument printouts (SMO
laboratory chronicles (analysis)
for contract laboratories only]:
Includes number of samples to
be collected, sampling points,
document control numbers!
sample destinations, methods of
shipment and custody infor-
mation concerning sample
handling before shipment to the
laboratory for analysis
Includes name of shipper,
shipping company, destination,
dates of shipment and receipt
and document control number
Typically includes date(s)
samples received, name of
person receiving samples,
sample numbers, sample types
received, sample descriptions
and laboratory sample numbers
Includes date(s) samples moved
in and out of storage and the
storage duration times
Contains names of technicians/
analysts who did extractions or
sample preparation and the
dates and times extractions/
preparations were performed
Includes name of technicians/
analysts who did analyses, dates
and times of analyses, sample
fractions and types analyzed and
types of analyses performed on
each sample
Documents used to prepare the profile should be entered into a
document control system. Each document should be labelled with a document
control number. All sample profiles will be marked "CONFIDENTIAL" and will
be transmitted and handled, as described earlier for the workplans.
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20
Sample profiles will also be subjected to quality assurance procedures.
Data on the supporting documents will be verified with the profile. This will be
done by a different person to avoid duplicating errors or bias.
profiles can be generated using computer systems, word processing
equipment or graphics equipment.
Development of sample profiles have been used extensively on civil
hazardous waste cases and have been successful in demonstrating integrity of
sample data.
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A-1
Appendix 1
SAMPLE WORKPLAN
September 19, 1986
PROJECT - 00X
Investigation of International Chemical Corp.
Denver, Colorado
CONTRACTS - Don Roche, NEIC, FTS 776-5122
Gerri Hilden, NEIC FTS 776-5122
Sam Sly, OCI. Region VIII, FTS 111 -1111
Jan Jones, DOJ, Denver, FTS 222-2222
BACKGROUND
NEIC received a request for assistance on September 18, 1986,
regarding the International Chemical Corporation investigation. The case
involves illegal treatment, storage and disposal practices regulated under the
Resource Conservation and Recovery Act. EPA agents have seized 10 file
drawers of records from potential defendants. The documents were obtained
via a search warrant.
The agents need assistance in organizing and listing the contents of
those files. It is anticipated that there is a significant amount of valuable
records. Key information includes documents pertaining to John Jones and
Sarah Peabody. In addition, records covering disposal of hazardous materials
from June 1979 to August 1983 are pertinent.
Development of the case is on a fast track and the work should be
initiated within the next month. The documents are active corporate working
files and must be inventoried and sent back to International Chemical
Corporation. Copies of the inventory will be provided to the Department of
Justice attorneys.
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A-2
Selected documents will be used as trial exhibits and, therefore, quality
assurance of the inventory is necessary. Numbering and control of all records
is also required.
TASKS
Task 1 is to organize the case lile. The documents have been copied
and the NEIC evidence audit team is authorized by the agents to group the
documents in the following manner.
Separate files into:
Operating Logs
Correspondence
Corporate legal documents
Financial records
Reports and studies
Sampling and analysis data
Miscellaneous
The documents will be organized chronologically within each
group.
Task 1 should be completed by November 10, 1986.
Task 2 is to stamp a document control number on each record. Individual
documents will receive a number and attachments wilt be listed on the
inventory. The sequence numbers will be as follows:
Operating logs - Start with 0001
Correspondence - Start with 1000
Legal - Start with 2000
Financial - Start with 3000
Reports - Start with 4000
Sampling Data - Start with 5000
Miscellaneous - Start with 6000
Additional documents may be obtained and new ones should be added
at the end of each category. It is anticipated that there will be 3,000 to 4,000
documents in the inventory.
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A-3
The target date for completion of task 2 is November 15, 1986.
Task 3 is to extract information from the records and enter it into a
computerized database. The information to be extracted is listed below.
Document type
Document date
Document number
Author
Addressee
• Affiliation
Title
Number of pages
Abstract
Documents dealing with specific subjects shall be identified and flagged.
Key subjects are;
Leroy Johnson
* Alvin Smith
Waste shioments
Safety reports
ABC Trucking Co.
Cyanide
Hazardous materials
The rate of extraction is expected to be 100 documents per day per
person working on the project, or 30 to 40 workdays total. With two people
working, the target date for completion of task 3 is December 8, 1986.
Task 4 is quality assurance. Draft printouts from the database will be
generated to verify computerized data back to the original records. The
verification percentage will be 50%. The verification rate is expected to be 100
documents per day per person. Individuals doing the extracting will verify the
work of someone else. This step will require 15 to 20 workdays. The target
date for completion is December 19, 1986.
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Task 5 is preparing reports and conducting searches or sorts for the
agents or attorneys. The planned delivery for reports requested to date are as
follows:
Chronological listing of all document categories - 2 days
Listing of correspondence authored by Smith - 2 days
Listing of sampling data • 2 days
Additional sorts and reports can be produced upon request of the agents
or attorneys. Time depends on the complexity of the search, but generally can
be completed in a few days.
All documents remaining in possession of the Evidence Audit team will
be returned to the Office of Criminal Investigations in Region VIII at the
completion of the project. All documents generated by the NEIC audit team will
be marked "CONFIDENTIAL" and will be handled and transmitted in
accordance with NEIC policies and procedures for document control and
chain-of-custody.
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