CHAPTER I - GENERAL

1. PURPOSE
   This directive prescribes the methodologies that Food Safety and Inspection Service (FSIS) personnel in the Office of Investigation, Enforcement, and Audit (OIEA), Compliance and Investigations Division (CID); Office of Field Operations (OFO), District Offices; Office of Public Health Science (OPHS), Regulatory Field Service Laboratories; Internal Affairs (IA); and other authorized program employees (collectively referred to as “program employees”) are to apply when collecting, safeguarding, and disposing of evidence in the performance of surveillance, investigations, and other activities under the Federal Meat Inspection Act (FMIA), the Poultry Products Inspection Act (PPIA), the Egg Products Inspection Act (EPIA), the Humane Methods of Slaughter Act (HMSA), and related laws and regulations (collectively referred to as “the Acts”). FSIS is reissuing this directive to update procedures for the collection, storage and retention of evidence.
   
   KEY POINTS:
   • Procedures for collecting, safeguarding, and disposal of evidence, including photographs, videos, and other electronic/digital evidence
   • Procedures for collecting investigative samples using the Public Health Information System (PHIS)
   • Procedures for retention and disposal of evidence
2. CANCELLATION
   FSIS Directive 8010.3, Revision 6, Procedures for Evidence Collection, Safeguarding and Disposal, 9/8/21

3. FSIS FORMS ASSOCIATED WITH THIS DIRECTIVE
   Program employees are to complete the following FSIS forms in AssuranceNet (ANet) to the maximum extent practicable:

   FSIS Form 8000-7B, Photographic Report: provides a detailed description of the subject of the photograph, the location where the photograph was taken, the date the photograph was taken, and the name of the photographer.

   FSIS Form 8000-15, Photographic Log Sheet: Section I identifies the subject or location photographed; Section II identifies the type of media and a specific description of each photograph; and Section III provides for a reference sketch of the area/items photographed.

   FSIS Form 8050-2, Shipper’s or Receiver’s Certification: may be used when initial contact is made with the shipper or receiver of meat, poultry, egg products, or shell eggs that appear to be in violation of the Acts.

   FSIS Form 8200-1, Property Receipt: is completed when an original or source document is presented by the owner or custodian of records, documents, or other items of personal property when that property is collected as evidence. The original form is used to authenticate the documents and is signed by the program employee and owner or custodian of the source documents. The original form is maintained with the case file and a copy is provided to the owner or custodian.

   FSIS Form 8000-16, Evidence Log: provides a detailed accounting of all evidentiary items collected in an investigation and is used to monitor the control and accountability of these items.

   FSIS Form 8000-17, Evidence Receipt and Chain of Custody: Section I identifies the evidentiary items collected in an investigation and establishes the chain of custody for that evidence; Section II tracks the chain of custody to maintain control and accountability for the items; and Section III documents the final disposal action of the items.

4. BACKGROUND

   1. OIEA/CID Investigators, Senior Investigators (SrI), Supervisory Investigators (SI), Deputy Regional Directors (DRD), and Regional Directors (RD) conduct surveillance, investigations, and other activities; IA Personnel Misconduct Investigators (PMI) conduct misconduct investigations and other activities; OFO Enforcement, Investigations, and Analysis Officers (EIAO), Supervisory EIAOs (SEIAO), District Case Specialists (DCS), Deputy District Managers (DDM), and District Managers (DM) conduct regulatory investigations, Food Safety Assessments (FSA), and other activities; and OPHS Regulatory Field Service Laboratories conduct scientific testing to aid in the detection and prevention of foodborne illness outbreaks, support investigations, and other activities.

   2. The evidence collected and safeguarded during these activities is essential to the Agency mission and to support Agency decisions, regulatory actions, investigative findings, and enforcement or other legal actions. Evidence includes documents, photographs, investigative samples, items, and other facts or records collected during surveillance, investigations, FSAs, and other activities.

   3. The safeguarding of evidence includes the steps needed to establish legal integrity (i.e., identification, security, handling, and chain of custody) from the time of initial acquisition to final disposal. These steps prevent loss, unauthorized alteration, mishandling, or other actions that may affect the integrity of evidence. Failure to safeguard evidence may affect the use of that evidence to support enforcement or legal actions.

   4. Chain of custody is the methodology used to maintain, track, and document control of all evidentiary items. Chain of custody includes the order of places where, and the persons with whom, evidence collected by program employees was located from the time it was collected to its disposal. Evidence disposal addresses retention, disposal requirements, and procedures.

   5. Other authorized Agency personnel may sometimes collect evidence while performing official duties and are to follow the procedures set out in this directive to collect, safeguard, and maintain evidence.

CHAPTER II - EVIDENCE COLLECTION

1. GENERAL

   1. Evidence may be used to support Agency decisions, support that a violation of law has occurred, take enforcement actions, to help obtain a ruling in a court of law, or accomplish other purposes. It is critical that evidence be preserved in the condition in which it was collected; that the established protocol for collecting, transferring, storing, and disposing of evidence be followed; and that the chain of custody be documented and maintained throughout each stage of the process. When collecting evidence, program employees are to treat every item of evidence in the manner described in this directive.

   2. There are three general categories of evidence for which the procedures outlined in this directive apply. These categories are:

      1. Electronic/digital evidence: documents, records, photographs, videos, audio recordings, or other evidence collected or received in an electronic or digital format;
      2. Physical evidence: paper documents and records (including originals and copies), or other tangible objects received or collected as evidence; and
      3. Investigative samples: physical evidence (typically meat, poultry, or egg product samples) collected by a program employee for laboratory testing as part of an investigation.
         
         NOTE: FSIS sample results are typically received and handled as electronic/digital evidence.
   3. Program employees may, as necessary, develop demonstrative exhibits to illustrate, clarify, or summarize evidence (i.e., documents, records, items, photographs, or samples) collected during surveillance, investigations, FSAs, and other activities. Demonstrative exhibits need to represent the evidence fairly and accurately. Examples of demonstrative exhibits include diagrams, flowcharts, maps, drawings, or graphs. Program employees are to include any demonstrative exhibits in the list of exhibits. Because demonstrative exhibits are generated by the program employee, and not collected from a subject or witness of an investigation, it is not necessary to prepare FSIS Form 8000-17, Evidence Receipt and Chain of Custody.

2. ELECTRONIC/DIGITAL EVIDENCE

   1. The FMIA, PPIA, and EPIA provide FSIS personnel broad authority to conduct inspections and examinations of the premises, facilities, inventory, records, equipment, and operations of federally inspected establishments and warehouses, distribution centers, and other in-commerce facilities subject to the statutes (21 U.S.C. 455, 460, 604, 609, 642, 1034, and 1040). These statutory provisions also provide program employees authority to copy certain business records. Program employees are to use photography, under these authorities and using government-issued equipment only, as a technique, where necessary, to inspect and examine premises, facilities, inventory, records, equipment, and operations and to copy business records. Permission from company management at official establishments or in-commerce facilities to take photographic evidence during surveillance, investigations, or other activities is not necessary.

   2. Photographs are one of the most effective and useful forms of evidence. Photographs and video (when appropriate and in consultation with supervisors), can provide visual evidence to demonstrate violative conditions or products, insanitary conditions or practices that are likely to render products injurious to health, or other observations. Photography and digital scanning are used to capture business records and other documents and should be used in place of collecting or reproducing hard copies whenever possible.

   3. Examples of conditions or practices effectively documented by photography include:

      1. Evidence of rodents, insect infestation, other insanitary conditions, or facility construction or maintenance problems that contribute to insanitary conditions;
      2. Routes or pathways of contamination, as well as actual contamination of raw materials or finished products;
      3. Condition of raw materials or finished products;
      4. Insanitary conditions or equipment contributing to contamination or to violative condition of raw materials or finished products; or
      5. Employee practices contributing to contamination or to violative condition of raw materials or finished products.
   4. Examples of evidentiary documents that may be collected or received in electronic/digital format (e.g., scanning, photography, e-mail) include:
      1. Sales invoices (as a means of identifying the seller or buyer; the amount, type, price, or date of the sale; or purchase or receipt of the product);
      2. Receiving and storage records (as a means of identifying dates relevant to product storage, product condition or temperature, or storage temperature);
      3. Product labels and other labeling;
      4. Transportation records (as a means of identifying the transporter, the location the product was shipped from, or the location to which the product was shipped);
      5. Rodent and pest control service records;
      6. Contracts, agreements, or similar transactional documents;
      7. E-mails received from firm or individual (when proffered);
      8. In-commerce forms or official establishment records, including records showing errors, substitutions, penciled changes in procedure, or faulty practices;
      9. Sanitation Standard Operating Procedures (Sanitation SOPs) records and Hazard Analysis and Critical Control Point (HACCP) records;
      10. Production records (e.g., establishment production dates, lot numbers, pre-shipment review conducted);
      11. Laboratory analysis records of product (analysis requested by a manufacturer, custodian, or owner);
      12. Records or reports documented by Federal, State, or local authorities of noncompliance, violations, or other issues (e.g., FSIS Form 5400-5, Establishment/Shift Inspection Procedure Worksheet; FSIS Form 5400-4, Noncompliance Record);
      13. Statements (signed and unsigned) documenting an interview;
      14. Memoranda of Interview (MOI);
      15. Diagrams, maps, charts, or graphs collected from a subject or witness during an investigation;
      16. Photographs, videos, or other items collected from a subject or witness during an investigation; and
      17. Other relevant materials (e.g., information from a company website or social media page).
   5. When necessary, program employees are to contact the OIEA Enforcement Operations Staff (EOS), through supervisory channels, to obtain guidance or support to enforce the law, address violations, or to request an administrative subpoena for access to and examination, including the use of photography, of the facility, inventory, and records. These situations include:
      1. When official establishment or in-commerce facility personnel refuse to allow program employees to take photographic evidence, program employees are to explain the statutory authority cited above, and that the camera is a tool used in the examination of facilities and inventories and for copying business records. Refusal to allow program employees to take photographic evidence under these authorities may constitute interference in violation of the statutes and may be addressed, as appropriate, through enforcement measures.
         
         NOTE: In an official establishment, the refusal to allow program employees to take photographic evidence may provide the basis for a withholding action or suspension without prior notification in accordance with 9 CFR 500.3(a)(6).
      2. Official establishment or in-commerce facility personnel may take companion photographs or video for their records, provided it is not done in a manner that opposes, impedes, intimidates, or interferes with any program employees while engaged in or on account of the performance of his or her official duties under the Acts. Program employees who believe that establishment or facility personnel are photographing or videoing them in a manner that is intended to oppose, impede, intimidate, or interfere with the execution of his or her official duties are to notify their supervisors and follow the procedures in FSIS Directive 4735.4, Reporting Assault, Harassment, Interference, Intimidation or Threat.
         
         NOTE: Program employees are not to surrender any government-issued equipment (e.g., smartphones, tablets, cameras), or evidence collected using government-issued equipment, to official establishment or in-commerce facility personnel. Program employees are to advise the establishment or facility that it can seek to obtain copies of photographs or other digital images collected under the Freedom of Information Act (FOIA).
   6. To collect photographic evidence on a government-issued camera, smartphone, or tablet, program employees are to use the following procedures:
      1. Ensure all external photo-sharing options are turned off before using a government-issued smartphone, tablet, or computer for photographic evidence collection. On an iPhone, go to Settings, select Apple ID, select iCloud, and turn off the appropriate sharing options, including Photos (iCloud Photos), iCloud Backup, and any other auto-syncing applications;
      2. Prevent the disturbance of the scene until the necessary images are collected. Once the images have been taken, the investigation or other activity may continue;
      3. Capture the scene in a comprehensive logical sequence, whenever possible. The sequence should provide an overview of the entire area, a medium eye-view angle, close-up, and extreme close-up images of the subject. Avoid deleting any images in the sequence, even if poorly exposed;
      4. Ensure conclusive photographic or videographic identification of the location, as appropriate, in both the exterior and interior sections of the facility (e.g., include an identifiable landmark, such as a street sign, in a photograph of the exterior of the facility); and
      5. Depict scale of the subject of a photograph/video, when scale is important, using a ruler or similar item strategically placed in the close-up images of the subject.
         
         NOTE: Personal (non-government) equipment is not to be used to collect evidence. Program employees are not to download personal-use, social media, or networking applications to their government-issued equipment. Program employees are not to text, share, or modify photos on cameras, smartphones, or other devices (FSIS Directive 1306.18, Safeguarding Mobile or Portable Electronic Equipment and Data).
   7. ANet is the official repository for evidence collected by FSIS. If photographs, videos, or other electronic/digital evidence cannot be captured for direct entry into ANet using the Evidence Module of the In-Commerce System (ICS) App, program employees are to:
      1. Transfer the files (unaltered and in their original format at the time of collection) into ANet as soon as possible;
      2. Complete Section I of FSIS Form 8000-17, Evidence Receipt and Chain of Custody form in ANet by completing the appropriate data fields; and
      3. Promptly delete the photographs/videos/files from all devices after successful transfer is verified.
   8. To identify photographic evidence, program employees are to initiate and maintain FSIS Form 8000-15, Photographic Log Sheet to identify the subject or location being photographed and include a description of each photograph.
      1. A single entry on FSIS Form 8000-15, Photographic Log Sheet may be used to describe a series of photographs that depict a situation or conditions if the entry is sufficient to describe what is being depicted (e.g., “00011 – 00020 show insanitary conditions in cooler B at XYZ Company”); and
      2. When information relevant to photographs of a subject or location is initially captured in investigative notes, ensure that all pertinent information is transferred into Sections I and II of FSIS Form 8000-15, Photographic Log Sheet.
         
         NOTE: Under most circumstances, program employees are to complete FSIS Form 8000-15, Photographic Log Sheet. Program employees, in consultation with supervisors, may determine that it is not necessary to complete FSIS Form 8000-15, Photographic Log Sheet when, during surveillance, investigative, or other activities, a small number of photographs are taken, and all are included in the final investigative report on FSIS Form 8000-7B, Photographic Report. In these cases, the FSIS Form 8000-7B, Photographic Report and FSIS Form 8000-17, Evidence Receipt and Chain of Custody will serve to identify those photographs and the FSIS Form 8000-15, Photographic Log Sheet is not required.
3. PHYSICAL EVIDENCE
   1. To the maximum extent possible, program employees should collect evidentiary documents and records in an electronic/digital format. However, program employees may encounter rare situations in which there is no alternative to collecting or receiving evidentiary documents, records, or other items in the form of physical evidence.
   2. When collecting or receiving records, documents, and other items in the form of physical evidence, program employees are to use the following procedures:
      1. Collect appropriate records, documents, or items;
      2. Complete Section I of FSIS Form 8000-17, Evidence Receipt and Chain of Custody, in ANet by completing the appropriate data fields, print a hard copy and sign it, and maintain the hard copy with the original evidence in a secure location;
      3. Initial and date the back of each document or record that is obtained as a copy collected (e.g., initials mm/dd/yy). There are occasions when a single piece of documentary evidence may consist of hundreds of sheets of paper, which may or may not be bound or sequentially numbered (e.g., page 6 of 10). In these instances, program employees may use an abbreviated method to initial and date these documents. If the program employee ensures that all pages are accounted for, the program employee may initial and date the first and last page and identify the number of pages (e.g., page 1 of 500 on the first sheet and page 500 of 500 on the last sheet);
         
         NOTE: Official FSIS forms or Agency investigative or administrative reports (e.g., FSIS Form 8080-1, Notice of Detention; FSIS Form 8000-7, Exhibit Cover Sheet; FSA tools) are not to be initialed or dated.
      4. Issue FSIS Form 8200-1, Property Receipt to the owner or custodian when a source record, document, or item is obtained in lieu of a copy. Source documents are considered personal property. As such, the program employee is to maintain FSIS Form 8200-1, Property Receipt with the case file. Personal property is to be returned to the owner or custodian in the same condition as received; therefore, program employees are to ensure these records, documents, or items are not altered in any way. The FSIS Form 8200-1, Property Receipt is to be completed and a copy given to the owner or custodian to ensure that these records, documents, or items are identified and authenticated; and
      5. Sign and date written statements.
         
         NOTE: When a wet signature is obtained on printed documentary evidence (e.g., signed statements, shipper’s/receiver’s certifications, detention forms), program employees are to upload the signed document into the evidence collected tab within ANet. Once uploaded, program employees are to return the original signed document to the signee. Unsigned statements and shipper’s/receiver’s certifications are not to be provided to non-agency personnel. Program employees are to upload the unsigned statement or shipper’s/receiver’s certification into ANet and destroy the original hard copy.
4. INVESTIGATIVE SAMPLES

   1. Investigative samples are samples that are collected by CID investigators as evidence to support a violation, usually during a criminal investigation. Investigative sample collection is an important component of evidence collection. It includes the sampling of inventory from persons or firms engaged in preparation, distribution, or storage of meat, poultry, or egg products. It also includes collection and analysis of other materials, as necessary. The FMIA (21 U.S.C. 642) and PPIA (21 U.S.C. 460) provide authority that includes the sampling of inventory, upon payment of fair market value, from persons or firms engaged in the preparation, distribution, or storage of meat and poultry. The EPIA contains similar authority (21 U.S.C. 1034). When samples are collected, CID investigators need to collect and submit samples for laboratory analysis in a manner that safeguards the integrity of the evidentiary material, so that it is reliable as evidence.

   2. Investigative samples are a type of evidence that requires collection of products, substances, debris, trace matter, or unidentified material for scientific testing to determine characteristics of the collected item; these characteristics may include species identification, microbiological determinations, fecal identification, chemical analysis, residue testing, and many others.

      NOTE: Only CID personnel collect investigative samples as described in this directive. When OFO personnel believe a criminal investigation is needed, including the collection of investigative samples, they are to immediately refer the information to CID in accordance with FSIS Directive 8010.5, Case Referral and Disposition.

   3. When official establishment or in-commerce facility personnel refuse to allow CID Investigators to obtain samples of inventory, CID Investigators are to explain the statutory authority cited above, and that reasonable samples of the inventory can be taken upon payment of fair market value. If necessary, CID Investigators are to contact EOS through supervisory channels to request an administrative subpoena.

   4. During the development of an Investigative Plan (FSIS Directive 8010.2, Investigative Methodology) and before submitting investigative samples, CID Investigators are to contact OPHS Microbiological and Chemical Hazards Staff (MCHS), Applied Epidemiology Staff (AES), or laboratory director/designee; see paragraph P below) to discuss the specific sampling and testing requirements (e.g., number/type of samples to collect, appropriate analyses for the sample) and determine the appropriate laboratory to submit their investigative samples.

   5. OPHS has three Regulatory Field Service Laboratories – the Eastern, Midwestern, and Western Laboratories. Each FSIS laboratory has multiple disciplines, such as Chemistry, Microbiology, or Pathology. Therefore, it is essential that CID Investigators submit investigative samples to the appropriate laboratory for the requested analyses.

   6. To ensure the appropriate submission of investigative samples and the timely reporting of significant results relevant to public health, CID Investigators are to discuss submissions with laboratory personnel before submitting samples. The two primary factors in determining how quickly sample results are reported are asking the right questions before submitting the samples and submitting the samples correctly. Contacting the appropriate laboratory will help to ensure that:

      1. The laboratory can analyze the samples for the desired analyses; and
      2. The laboratory is prepared for the samples and a point of contact is made.

   7. CID Investigators are to discuss with MCHS, AES, or laboratory director/designee which analyses might be the most appropriate to request and how to best submit samples for those analyses. To get guidance on how best to submit each of the samples, the CID Investigator is to ask questions such as:

      1. Which laboratory is most appropriate? For example: analyses for cans go to the Western Laboratory; analyses for extraneous materials, rodent determinations, speciation, contaminants, or food chemistry go to the Eastern Laboratory; and all other chemistry and microbiological analysis go to the geographically closest laboratory.
      2. What type of sample should be submitted for a multiple analyses request and how much sample is required?
      3. How many samples should be submitted for a multiple analyses request?
      4. What is the best way to collect and submit each sample for a multiple analyses request?
      5. What is the best way to submit each sample to facilitate the quickest possible reporting (see paragraph L below) of high priority laboratory results?
      6. Which analyses may be incompatible with other analyses? and
      7. What is the best way to ensure that results involving food safety are available as soon as possible and reported independently of other results if a sample is undergoing several analyses?

   8. When CID Investigators request multiple analyses involving multiple laboratory disciplines, they are to submit a single sample per laboratory discipline or per analysis requested, as discussed with OPHS MCHS and laboratory director or their designee. This amount is necessary to ensure potential public health related results can be reported independently and before results of economic significance.

   9. Examples of items that may be collected for analysis are:

      1. Raw, in-process, or finished meat, poultry, egg products, or shell eggs;
      2. Ingredients used in raw, in-process, or finished meat, poultry, or egg products;
      3. Product packaging;
      4. Rodent excreta, insects, apparent nesting, or vermin-gnawed material; or
      5. Extraneous materials (e.g., metal, plastic).
         
         NOTE: When investigative sample collection is related to foodborne illness investigations, CID Investigators are to follow the product sampling guidance in FSIS Directive 8080.3, Foodborne Illness Investigations, Section VII, including inter-program area notifications and coordination.

   10. Sample Types

       1. Intact sampling: Obtain a sample of an unopened packaged product. Collecting intact samples, if possible, is preferred; however, if intact sampling is not possible, non-intact samples may be collected; and
       2. Non-intact sampling: At times, intact sampling may not be practical because of the volume of product involved or the product’s unpackaged state.

   11. Sample Selection

       1. CID Investigators are to submit one sample per each type of analysis requested.
          
          NOTE: CID Investigators are to work with OPHS personnel to determine what test and how many tests can be performed if they only have a single sample available for testing.
       2. Samples collected for laboratory analysis are to be collected from the location where the violative condition of the product is known or suspected to exist. Select the portions that will demonstrate the violative nature of the product.
       3. There may be times when additional sampling is necessary to gain information or otherwise protect public health. In these situations, obtain guidance from an appropriate source (e.g., OPHS and the Office of Policy and Program Development (OPPD)) regarding specific techniques, sampling plans, and policy.
       4. CID Investigators are to maintain the integrity of the sample and not cause contamination during sampling. If microbiological analyses will be requested, CID Investigators are to use aseptic techniques when collecting samples from non-intact samples (opened package), and to the extent necessary when collecting samples from intact (unopened package).

   12. To request laboratory analysis of investigative samples, CID Investigators, as applicable, are to:

       1. Complete FSIS Form 8010-1, Sample Analysis Request Form, in PHIS using the Project Code COMPLAIN, for each sample, digitally sign each page of the form, save the form as an electronic file (e.g., pdf), print the signed form, and affix one small-sized bar-coded label from FSIS Form 7355-2B, FSIS Laboratory Sample Identification Label, to the top of the form ensuring that the bar code does not obstruct any printed information (other than the title of the form);
       2. Provide the producer's name, address, and establishment number;
       3. Provide a sample description, list of ingredients, and product codes (e.g., “sell by dates”);
       4. Provide a name and address of the location where the sample was collected;
       5. Provide date, time, and quantity collected;
       6. Describe how the sample is identified and sealed (e.g., “sealed by_____, on____ (date, time), sealed with FSIS seal #__________________________________”);
       7. Provide the e-mail contact information of the appropriate RD or designee for transmission of sample results; and
       8. Describe the analysis requested.
          
          NOTE: If PHIS is not accessible at the time of sample collection, CID Investigators are to contact their supervisor for further instruction.

   13. To identify investigative samples, CID Investigators are to:

       1. Photograph the product or other evidentiary material before and after sample collection, including identifying coding or labeling on the sample package;
       2. Obtain identifying information (e.g., invoices, labels, or other product identification);
       3. As appropriate, document a signed statement, MOI, or Shipper’s or Receiver’s Certification from witnesses with direct knowledge of the sample identity;
       4. Complete Section I of FSIS Form 8000-17, Evidence Receipt and Chain of Custody, in ANet by completing the appropriate data fields. Include a description of the sample/evidence, the sample serial number, print a hard copy of the form, and affix one small-sized bar-coded label from FSIS Form 7355-2B, FSIS Laboratory Sample Identification Label, in the appropriate block; and
       5. Maintain all other identifying information (e.g., invoice, bill of lading) under a separate FSIS Form 8000-17, Evidence Receipt and Chain of Custody, with the associated case file.

   14. Before transferring investigative samples to the FSIS laboratory, CID Investigators are to:

       1. Complete the first entry in Section II of Form 8000-17, Evidence Receipt and Chain of Custody to initiate chain of custody;
       2. Maintain a copy of the signed Form 8000-17, Evidence Receipt and Chain of Custody and FSIS Form 8010-1, Sample Analysis Request Form with the associated case file and provide electronic copies to the OPHS point of contact, the Supervisory Investigator, and RD or designee;
       3. Ensure integrity of the sample in accordance with FSIS Directive 7355.1, Use of Sample Seals for Laboratory Samples, by:
          1. Placing the signed FSIS Form 8000-17, Evidence Receipt and Chain of Custody and FSIS Form 8010-1, Sample Analysis Request Form into the provided plastic sleeve to protect them during shipping and including the forms with the collected sample;
          2. Sealing the sample bag with the medium-sized bar-coded label (FSIS Form 7355-2B, FSIS Laboratory Sample Identification Label); and
          3. Packaging the sample in the shipping container with sufficient coolant and sealing the shipping container by placing the large-sized bar-coded label (FSIS Form 7355-2A, FSIS Laboratory Sample Container Seal) across the flap.
       4. Transfer the evidentiary investigative sample to the laboratory via overnight courier (e.g., FedEx).
       5. Upload all associated investigative sample documentation into ANet.

   15. Final disposition and disposal of samples:

       1. Because of the possibility of litigation, FSIS laboratories hold a portion of all investigative samples until notified by OIEA that the sample may be discarded.
       2. The RD or designee is to notify the appropriate laboratory when it is no longer necessary to hold a sample (based on consideration of the disposition of the investigation, enforcement case, or legal action and the applicable Agency records retention schedule). The notification to the laboratory needs to include the file number and associated sample serial numbers.
       3. The FSIS laboratory is to dispose of the samples and complete Section III of FSIS Form 8000-17, Evidence Receipt and Chain of Custody in accordance with this directive.
       4. The FSIS laboratory is to then forward the completed FSIS Form 8000-17, Evidence Receipt and Chain of Custody, to the RD or designee who requested the disposal.

   16. Laboratory contact information for inquiries, once criteria in Section IV.G.1 are considered, includes:

       1. OPHS Microbiological and Chemical Hazards Staff email: FSIS – OPHS Investigations (OPHSInvestigations@usda.gov)
          
          NOTE: Initial inquiry emails should start with “ATTENTION LABORATORY DIRECTOR” in subject line in addition to the request topic description.
           
       2. Eastern Laboratory Director:
          1. Inquiry email: FSIS - Laboratory Inquiry - Eastern Lab
             (LaboratoryInquiryEasternLab@usda.gov)
          2. Phone: 706-713-5899

          3. Supplies email: FSIS - Sampling Supplies - Eastern Lab
             (SamplingSupplies-EasternLab@usda.gov)

       3. Western Laboratory Director
          1. Inquiry email: FSIS - Laboratory Inquiry - Western Lab
             (LaboratoryInquiryWesternLab@usda.gov)
          2. Phone: 510-982-0355

          3. Supplies email: FSIS - Sampling Supplies - Western Lab
             (SamplingSupplies-WesternLab@usda.gov)

       4. Midwestern Laboratory Director

          1. Inquiry email: FSIS - Laboratory Inquiry - Midwestern Lab
             (LaboratoryInquiryMidwesternLab@usda.gov)

          2. Phone: 314-263-2680

          3. Supplies email: FSIS - Sampling Supplies - Midwestern Lab
             (SamplingSupplies-MidwesternLab@usda.gov)

CHAPTER III – SAFEGUARDING, TRANSFERRING, RETAINING, AND DISPOSING OF EVIDENCE

1. SAFEGUARDING EVIDENCE

   1. To the maximum extent possible, program employees are to use government issued equipment (e.g., smartphones, tablets, cameras, scanners) to collect evidence in a digital format and upload it in its original, unaltered form into ANet. In situations where it is necessary to collect physical evidence, program employees are to follow the instructions below to ensure its appropriate safeguarding, transfer, retention, and disposal.

   2. Physical evidence is to be maintained under security and have a documented and continuous chain of custody showing the order of the places where, and the persons with whom, evidence collected was located, from the time of collection until the time it is admitted into court, or the case is resolved, and the evidence is no longer needed.

   3. Security of physical evidence is to be initiated and maintained as follows:

      1. Review the pre-populated FSIS Form 8000-16, Evidence Log, in ANet for each case to maintain evidence inventories;
         
         NOTE: OFO program employees do not use the FSIS Form 8000-16, Evidence Log to maintain inventories or to monitor the control and accountability of evidence. All evidence collected by OFO program employees is included in the List of Exhibits in the Administrative Enforcement Report (AER) (FSIS Directive 5100.3, Administrative Enforcement Action Decision-Making and Methodology).
      2. Print a hard copy of FSIS Form 8000-16, Evidence Log, from ANet to file with the evidence when the case is complete, or otherwise as necessary, to monitor the control and accountability of evidence for each case;
      3. Keep the number of people involved in handling evidence to a minimum (e.g., persons associated with the investigation); and

      4. Secure and maintain evidence in a secure, controlled-access area (e.g., a locked room, a locked steel file cabinet, or other suitably locked enclosure), accessible only to designated personnel.

   4. Chain of custody is to be initiated and maintained as follows:

      1. Ensure that the transfer of evidence from one person to another is documented in Section II of FSIS Form 8000-17, Evidence Receipt and Chain of Custody;
      2. Ensure that evidence is always accompanied with a signed, hard copy FSIS Form 8000-17, Evidence Receipt and Chain of Custody to provide identification and the continuous chain of custody; and
      3. Ensure that FSIS Form 8000-17, Evidence Receipt and Chain of Custody is filled out in a legible manner and signed with permanent ink.
2. TRANSFERRING AND RECEIVING PHYSICAL EVIDENCE
   1. Transferring Evidence
      1. To preserve the chain of custody when evidence is transferred in person, program employees are to:
         1. Sign Section II of FSIS Form 8000-17, Evidence Receipt and Chain of Custody as the person releasing the evidence and identify the purpose of the change in custody; and
         2. Sign the evidence when received.
      2. To preserve the chain of custody when evidence is transferred using the Agency-approved service for express and ground delivery or using Registered Mail, program employees are to:
         1. Sign Section II of FSIS Form 8000-17, Evidence Receipt and Chain of Custody, as the person releasing the evidence and identify the purpose of the change in custody;
         2. Enclose the evidence and FSIS Form 8000-17, Evidence Receipt and Chain of Custody in a suitable envelope or container marked to show that the contents are evidence, and that it is to be opened only by the identified recipient;
         3. Seal the envelope or container, write the word “Sealed” on the outside of the envelope or container, and initial and date the envelope or container;
         4. Prepare a transmittal letter or memorandum to include date, file number, description of the evidence, method of transportation, and tracking number;
         5. E-mail or fax a copy of the transmittal letter or memorandum separately to the recipient to advise them of the transfer (except for investigative samples, as the sample analysis request PHIS form and the official sample seal serve this purpose);
         6. Place the sealed envelope or container and transmittal letter in a larger envelope or container addressed to the recipient;
         7. Use the Agency-approved service for express and ground delivery to transfer evidence when possible and always request tracking and signature confirmation;
         8. Print a tracking receipt from the Agency-approved service’s website and maintain with the evidence; and
         9. If Certified Mail is used, always request a Return Receipt for signature confirmation.
   2. Receiving Evidence
      1. To preserve the chain of custody when evidence is received in person program employees are to:
         1. Sign Section II of FSIS Form 8000-17, Evidence Receipt and Chain of Custody, as the person receiving the evidence; and
         2. Maintain the signed FSIS Form 8000-17, Evidence Receipt and Chain of Custody under security with the evidence.
      2. To preserve the chain of custody as the receiver when evidence is received using the Agency- approved service for express and ground delivery or using Certified Mail, program employees are to:
         1. Sign Section II of FSIS Form 8000-17, Evidence Receipt and Chain of Custody, as the person receiving the evidence;
         2. Write the word "Opened," the initials of the employee who opened the envelope or container, and the date the envelope or container is opened on the inner envelope or container; and
         3. Maintain the original initialed envelope or shipping package with the original evidence to provide proof of the chain of custody.
3. RETENTION AND DISPOSAL OF EVIDENCE
   1. FSIS has established records schedules, consistent with USDA rules (7 CFR Part 1, Subpart A, Official Records, and USDA DR 3080-001, Records Management) and Federal records laws (executed by the National Archives and Records Administration (NARA)), that govern the creation, maintenance, and disposition of FSIS records and documentary materials.
   2. These records schedules apply to official FSIS records, regardless of type or media (e.g., paper files, digital files), created and/or maintained in official electronic information systems (e.g., ANet, PHIS, USDA e-mail system) or created and/or maintained in formats other than official electronic information systems (e.g., evidence cabinets, paper file systems, electronic file folders).
   3. Surveillance records, inspection records, investigative plans, signed statements, MOI, business correspondence, Report of Investigation (ROI), AER, and other evidence (including documentary, photographic, physical, and digital evidence), created, collected, or maintained as part of investigations, enforcement cases, and other activities covered by this directive are official FSIS records and are to be retained and disposed of according to approved FSIS records schedules.
      
      NOTE: When evidence, including, but not limited to, e-mail messages, text messages, voicemail messages, inspection records, and sample forms, are created, collected, or maintained in an electronic or digital format, such as in PHIS, or on an approved government device (e.g., smartphone), program employees are to download or copy these records for inclusion in the investigative record or case file (i.e., in ANet). These records are then managed (i.e., retained, disposed of) under the applicable, approved FSIS records schedule.
   4. FSIS records schedules are available to FSIS employees for the ANet system and for any criminal, civil, and administrative cases, case evidence, and related records maintained outside of the system.
   5. Evidence Officers (EO), as defined in Chapter IV below, are to ensure that ROI, AER, other case files, evidence, and records are safeguarded until they are authorized for disposition, and that case files, evidence, and records are retained, disposed of, and destroyed only in accordance with approved records schedules.
   6. EO responsibilities do not extend to records in ANet or PHIS. The retention, disposition, and destruction of records in ANet and PHIS is managed by designated System Owner(s) in coordination with the Office of the Chief Information Officer (OCIO). Evidence Officers are not to dispose of or destroy case files or associated evidence or records, including documentary evidence, photographic evidence, investigative samples, or other evidence, created in, entered in, uploaded into, or maintained in ANet or PHIS.
   7. EO are to dispose of case files, associated evidence, and records, other than in ANet or PHIS, or arrange for the disposition or destruction of said materials, when appropriate and consistent with approved records schedules, in the following manner:
      1. Personal property for which FSIS Form 8200-1, Property Receipt was issued is to be returned to the property owner. Document the disposition in Section III of FSIS Form 8000-17, Evidence Receipt and Chain of Custody and in the associated investigative record in ANet.
      2. Physical evidence, other than personal property, is to be destroyed by shredding, incineration, or other appropriate means. Document the disposition (destruction) in Section III of FSIS Form 8000-17, Evidence Receipt and Chain of Custody and in the associated investigative record in ANet.
      3. Digital or electronic evidence (e.g., SharePoint files, common drive) is to be permanently destroyed. To be permanent, destruction most commonly requires the file(s) to be deleted (i.e., deleted, sent to Trash, sent to Recycling Bin) as well as deletion from the deleted folder (i.e., Empty Trash, Empty Recycling Bin). Direct system specific questions to your supervisor, or the OCIO System Security and Compliance Branch. Document the disposition in Section III of FSIS Form 8000-17, Evidence Receipt and Chain of Custody and in the associated investigative record in ANet.
   8. Retention and disposition of investigative samples, as set out in this directive, and related forms and records, is a shared responsibility of OIEA and OPHS.
      1. Field Laboratories are to hold investigative samples until notified otherwise by OIEA, following closure of the subject action and compliance with the applicable records schedule.
      2. RDs and Field Laboratories are to follow the procedures in Chapter II, Section IV, Part O to dispose of samples and complete FSIS Form 8000-17, Evidence Receipt and Chain of Custody.
         
         NOTE: These procedures do not impact the retention and disposition of sample forms, sample analysis reports, and other records created or maintained in ANet or PHIS, or OPHS records management procedures for laboratory samples and forms not associated with legal proceedings.
   9. EOs and other program employees may direct questions regarding records schedules, records disposition, and records management procedures through their supervisor to the designated Records Management Liaisons (RML) for each Program Area or to the Office of Public Affairs and Consumer Education (OPACE) Records Officer.

CHAPTER IV - RESPONSIBILITIES

1. The program employee who collects evidence is to:
   1. Ensure the proper application of methods and procedures for collection, safeguarding, and disposal of evidence in accordance with this directive during surveillance, investigative, or other activities to prevent evidence from loss, unauthorized alteration, mishandling, or other actions that may affect its integrity;
   2. Initial and date the back of all evidentiary documents, records, or items for physical evidence authentication, except original property, as previously defined in this directive;
   3. Establish and maintain identity of investigative samples from the time of collection until receipt at the laboratory in accordance with this directive;
   4. Upon collection of all evidentiary items, prepare FSIS Form 8000-17, Evidence Receipt and Chain of Custody in ANet to establish identification of the evidence, initiate the chain of custody, and provide for evidence authentication;
   5. When personal property is collected as evidence, complete FSIS Form 8200-1, Property Receipt and provide the owner or custodian of the property with a copy;
   6. When an evidentiary item is such that FSIS Form 8000-17, Evidence Receipt and Chain of Custody cannot easily accompany or be attached to the item, maintain FSIS Form 8000-17, Evidence Receipt and Chain of Custody with the case evidence;
   7. Document transfers of evidence in Section II of FSIS Form 8000-17, Evidence Receipt and Chain of Custody to maintain the chain of custody; and
   8. Ensure that the methods and procedures set forth in this directive are followed during liaison activities with other Federal, State, and local law enforcement agencies in the collection, safeguarding, and disposal of evidence, as applicable.

2. EVIDENCE OFFICER
   The Evidence Officer (EO) is responsible for maintaining control of, and accountability for, all evidentiary items for each assigned investigation. In OIEA/CID, the EO will usually be the lead CID Investigator (case agent) but may be another program employee as designated by the RD. In OFO, the EO will usually be the DCS but may be another program employee as designated by the DM. In IA, the EO is designated by the IA Director. The EO is to:

   1. Protect all incoming evidentiary items from loss, unauthorized alteration, mishandling, or other actions that may affect their integrity;
   2. Maintain all original physical evidence and chain of custody in a secure, controlled-access area;
   3. Generate in ANet, a hard copy of FSIS Form 8000-16, Evidence Log for each assigned investigation as necessary to audit any physical evidence for each investigation;
   4. Arrange for and document in Section II of FSIS Form 8000-17, Evidence Receipt and Chain of Custody, the receiving of each piece of evidence and subsequent transfer, release, or return of evidence for laboratory analysis, investigative use, use in court, or as otherwise necessary;
   5. Serve as a liaison with other FSIS program areas or other Federal, State, or local law enforcement agencies for transfers, releases, and returns of evidence for laboratory analysis, investigative use, or use in court;
   6. Conduct periodic inventory of physical evidence for each assigned investigation to monitor control of and ensure accountability for that evidence; and
   7. Arrange for the proper disposal of physical evidence in accordance with the schedules for evidence retention in this directive.

3. PROGRAM OFFICIALS
   The CID RD, OFO DM, IA Director, and EOS Director, or designees, are, as applicable, to:

   1. Establish security for physical evidence (e.g., evidence room, locked cabinet), including limited access to secure areas;
   2. Assign an EO for each investigation in their area (e.g., region, district) of responsibility;
   3. Receive and provide FSIS laboratory analysis results to the lead CID investigator, EO, or other program employee;
   4. Conduct periodic reviews of evidence, evidence logs, and evidence receipts to monitor control of and accountability for evidence; and
   5. Ensure the timely and proper disposal of evidence in accordance with schedules and procedures in this directive, including notifying the appropriate laboratory when it is no longer necessary to hold investigative samples.

4. LABORATORY PERSONNEL
   The FSIS laboratory personnel are to:

   1. Document receipt of investigative sample evidence in Section II of FSIS Form 8000-17, Evidence Receipt and Chain of Custody to maintain the chain of custody;
   2. Document any subsequent transfer, release, or return of evidence for investigative use, use in court, or as otherwise necessary;
   3. Hold investigative samples until notified otherwise by OIEA;
   4. Follow OPHS laboratory internal guidelines in the analysis, storage, and disposal of investigative sample evidence;
   5. Complete Section III of FSIS Form 8000-17, Evidence Receipt and Chain of Custody to document the final disposal action of investigative sample evidence; and
   6. Return the completed FSIS Form 8000-17, Evidence Receipt and Chain of Custody to the appropriate program area office.

5. QUESTIONS
   Refer questions regarding this directive through supervisory channels.