Objectives 

• 

Evidence 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

EIAO Training

1

1

2

o Identify the three types of evidence

o Describe the procedures for collecting, safeguarding, and disposal of

evidence, including photographs and videos

o Identify the proper procedures for using government-issued

smartphones for evidence collection

o Explain the term “chain of custody” and the importance of

establishing and maintaining correct chain of custody

o Identify the proper procedures for maintaining chain of custody

o Complete the forms associated with evidence collection and

safeguarding

2

2

o Agency personnel who collect and review

investigative information must understand

how to properly collect, safeguard, and

dispose of evidence.

3 3

3

1
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

OFO Guidance 

• 

Evidence - Key Principles 

• 

Evidence - Key Principles 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

oOFO employees may collect evidence while

performing their official duties.

o Follow the methods to collect, safeguard,

and maintain evidence as set out FSIS

Directive 8010.3.

4 4

4

5

o OFO personnel are to recognize key principles

pertaining to evidence associated with

administrative cases.

o Methods to collect, safeguard, maintain, and

disposal of evidence including photographs and

videos

o Procedures for using government issued

smartphones for evidence collection

o Procedures for transferring and receiving evidence

o Procedures for retention and disposal of evidence

5 5

o Evidence should be maintained properly at

all levels in FSIS.

o Evidence should be collected,

safeguarded, and disposed of in a

consistent manner and in accordance with

FSIS Directive 8010.3 established

procedures.

o Follow retention schedules (Chapter III,

Section III).

6 6

6

2
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Evidence - Key Principles 

• 

Evidence - Key Principles 

• 

Evidence - Key Principles 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

oWhen collecting or receiving documents from a

plant, FSIS must account for:

o Date received

o Who received it

o Who provided it

o How it is maintained

oWhen transferring evidence, you must:

o Preserve the “chain of custody”, so that possession

can be traced from the initial collector to the final

custodian

7 7

7

8

o Collect evidence by the directive

o Initial/date back of evidence documents, records

as defined in directive

o Prepare Evidence Receipt and Chain of Custody

Forms in ANet

o Prepare Personal Property Receipt, when

necessary

o Maintain Evidence Receipt and Chain of Custody

form with evidence

o Document transfers of evidence on Evidence

Receipt and Chain of Custody form

8 8

o Proper treatment and preservation in the

condition which it was originally collected

requires that all authorized persons handle

evidentiary items with care.

o Accountability must be established at

each stage of evidence collection and

disposal.

9 9

9

3
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Evidence - Key Principles 

• 

Evidence - Key Principles 

• 

Evidence - Disposal 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

o Care should be exercised to limit the number of

people involved in handling evidence to a

minimum. 

o Information pertaining to the case should not

be provided to persons who are not directly

involved.

o Evidence should be handled in a manner to

avoid later allegations of tampering or

mishandling.

10 10

10

o Evidence should be maintained in a secure

area and accessible only to designated

personnel. This includes:

o Documents received from a plant

o Copies of plant records

o Any original documents received from the plant

o Photographs taken by FSIS during the course of a

review

11 11

11

o Destroy copies by shredding or incineration

o Return personal property evidence to owner

o Document disposal of all evidence on

Evidence Receipt and Chain of Custody form

o Provide to supervisory official for verification of

disposal

o Update ANet record with actual evidence

destruction date

o ANet records, including evidence, are handled

separately 12 12

12

4
 

 

 

 

 

 

Evidence Types 

• 

Documentary Evidence 

• □ 

Documentary Evidence 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

13 13

o Documentary

o Photographic

o Investigative samples

13

o Develop and compile supporting

documents for decisions reached

o Examples of evidence in physical form

o Noncompliance Records

o Food Safety Assessment reports

o Plant Records

o Lab Reports

o Photographs

o Letters/MOIs

14 14

14

15 15

o Support investigative findings, Agency

decisions, enforcement, legal actions

o Federal Rules of Evidence

o “Best evidence” rule

15

5
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Federal Rules of Evidence 

• 

Federal Rules of Evidence 

• 

Chain of Custody 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

o Duplicate

o Rule 1001(4) - a duplicate is a counterpart

produced by the same impression as the

original (mechanical or electronic re-recording)

or by other equivalent techniques which

accurately reproduces the original

16 16

16

o Admissibility of Duplicates

o Rule 1003 - a duplicate is admissible to the

same extent as an original, unless a genuine

question is raised as to the authenticity of the

original

17 17

17

o Methodology used to maintain, track, and

document control of evidentiary items

o In OFO, the process begins as soon as the EIAO

collects copies of the original plant records or

photographs, for use as evidence to support

various administrative cases.

o Also takes place when the DCS receives

additional evidence (such as receiving a copy

of an original plant response sent to the DM). 

18 18

18

6
 

 

 

 

OFO Evidence Procedures 

• 

Plant Records 

• 

Plant Records 

• 

19

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

19

o To account for plant

records received

o To provide Chain of

Custody and

authentication of

records received

19

20 20

o Oral request to responsible management official

o Examine records

o Determine what is needed

o Obtain copies

o Photograph, if necessary

20

o Title 21 U.S.C.

o § 460

o § 642

o § 1034 and 1040

o 9 CFR 

o Parts 310.22, 310.25, 320.1, 381.94, 416, 417, 

and 430

21 21

21

7
 

 

 

 

 

 

 

 

 

 

 

 

 

 

Plant Records 

• 

Reviewing Plant Records 

• 

Property Receipt for Plant Records 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

o Entrance meeting with the plant

o Advise plant officials that EIAO will be

accessing, examining, taking photographs and

copying records

o If EIAO is denied access:

o Explain statutory and regulatory basis for

record access

o Contact the DO for further guidance if plant still

refuses

22 22

22

o Plant records should be reviewed onsite. 

o Preferably in location provided by the plant

such as a conference room

o Plant records should not be taken outside

the plant.

23 23

23

oIf records are taken to government

office or out of the plant:

oFSIS Form 8200-1, Property Receipt, is to

be completed and the owner or

custodian should initial Block 5B.

24 24

24

8
 

 

 

 

 

 

 

 

 

 

 

• 

Property Receipt for Plant Records 

Property Receipt 

' 

~~~ 

P,operty Receipt 

'"'''"" 

~t:rf'~ G<,11, 

-----------+---

• 

Plant Records 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

25

oProperty Receipt form should also be

completed when the original records

are returned to the plant.

oOwner or custodian initials Block 6B of

the form.

25

25

26 26

26

o Make copies of only those plant records

necessary to support enforcement actions

o Example: If only one page of a hazard analysis

is noncompliant, copy only that page.

o Example: When multiple issues of a similar

nature are involved, you may only need

representative sample.

o Consult the DCS when in doubt

27 27

27

9
 

 

 

 

 

 

 

 

 

 

 

 

Plant Records 

• 

Plant Records 

• 

Evidence Receipt and Chain of Custody 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

o After reviewing and/or copying, the EIAO is to

return all originally obtained records to the

owner or custodian in the same condition as

received.

o Back side of the first and last page of any copied

records should be initialed and dated

o Not necessary to initial and date the back of all

pages

o Neverinitial, write on, staple, or in any way alter

original records that are plant/personal property

o Initiate the Chain of Custody form (FSIS Form 8000- 17)

28 28

28

oExit meeting with the plant

oReturn all records received from the

plant

oAdvise the plant of records copied to

support non-compliance finding(s)

29 29

29

o Evidence Receipt and Chain of Custody,

FSIS Form 8000-17

o Initiate separate receipt by:

o Type of record/document

oDate collected

o Location collected

30 30

30

10
 

 

 

 

 

 

Evidence Receipt & Chain of Custody 

·------,--...:.1·'"-·--· _·~--~- 1· -= 

,----· .. -

• 

Evidence Receipt & Chain of Custody 

-

Transfer of Evidence - DCS 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

31 31

31

32 32

32

oAll collected evidence, with

completed FSIS Form 8000-17, is sent

to the District Case Specialist via

approved Agency carrier.

oDo not use regular mail.

33 33

33

11
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Chain of Custody 

• 

Chain of Custody 

• 

Forms 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

oOriginal evidence associated with the case

will remain in the District Office once it is

received by the DCS.

o If original evidence associated with a case

needs to be sent to other persons, such as OGC,

the DCS should seek further guidance about

the process for transmitting the evidence

utilizing the change of custody process as

described in Section II, of FSIS Form 8000-17.

34 34

34

oAccount for all evidence received from

the plant or other industry officials

oEnsure that the one “hard” copy of

the case is maintained in the District

Office

oContains the original copies of records

received

35 35

35

36 36

o Copies of the forms associated with these

procedures are available on the FSIS

Intranet. 

o http://inside.fsis.usda.gov

36

12
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Photographic/Digital Evidence 

• 

Photographic/Digital Evidence 

• 

FSIS Statutes 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

37 37

o Examples

oDigital photos of images/conditions, products,

practices

o Photos of documents (in place of collecting

copies)

37

oQuestion – You observe evidence of rodent

infestation during performance of an FSA.

You pull out your work camera/ 

smartphone to take pictures of your

observations. The plant manager stops

you and explains that the establishment is

not comfortable with you taking photos.

What do you do?

38 38

38

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.

39 39

39

13
 

 

 

 

 

 

 

 

 

 

 

 

 

FSIS Directive 8010.3 

• 

FSIS Directive 8010.3 

• 

Photographic/Digital Evidence 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

Program employees are to use photography,

under these authorities, as a technique, where

necessary, to inspect and examine premises,

facilities, inventory, records, equipment, 

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.

40 40

40

o 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, and that the camera is a tool used in the examination of facilities and

inventories and for copying business records.

o Refusal to allow program employees to take

photographic evidence under these authorities may

constitute interference and may be addressed, as

appropriate, through enforcement measures.

o In an official establishment, refusal may be considered

interference with inspection, subject to withholding action or suspension without prior notification (9 CFR 500.3(a)(6)).

41 41

41

oQuestion continued – You explain the statutory

authority and the plant manager indicated that

they understand and you can take pictures. 

However, they request that you provide them

copies of the pictures you have taken. What

should you do?

42 42

42

14
 

 

 

 

 

 

 

 

 

 

 

 

 

 

FSIS Directive 8010.3 

• 

Photographic/Digital Evidence 

• 

FSIS Directive 8010.3 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

Program employees are not to surrender

cameras, film, digital images, or

photographs to facility personnel or

officials. Program employees are to advise

the establishment that it can seek to obtain

copies of photographs under the Freedom of

Information Act (FOIA).

43 43

43

oQuestion – The plant manager indicates that he

wants to take companion photographs and or

video for their records. What should you do?

44 44

44

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.

45 45

45

15
 

 

 

 

 

 

 

 

 

 

Photographic/Digital Evidence 

• 

Photographic/Digital Evidence 

• 

Using Photography 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

o Collecting photographic/digital evidence

o Use work cameras/smartphones

o Ensure external photo sharing options are turned off

o Capture comprehensive/logical sequence

o Avoid deleting images in the sequence

o Prevent disturbance of the scene until images are

collected

o Ensure conclusive identification of location in images

(landmark)

o Depict scale when necessary

o Transfer ASAP to CD-R or DVD-R and delete from

smartphone

46 46

46

o Collecting photographic/digital evidence

o Maintain photographic log

o ID subject being photographed

o Include description of each photograph

o CD-R or DVD-R

o Label with permanent marker – AER report number; firm

name; date; description of subject matter; photographers

initials

o Complete FSIS Form 8000-17 in ANet -> print/sign-> maintain

with CD/DVD

47 47

47

48 48

48

16
 

Logical Sequence 

• 

Logical Sequence 

• 

Logical Sequence 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

49 49

49

50 50

50

51 51

51

17
 

Logical Sequence 

• 

Logical Sequence 

• 

Logical Sequence 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

52 52

52

53 53

53

54 54

54

18
 

Logical Sequence 

. . 

~ . 11 I • ' ;; • 

• 

Logical Sequence 

• 

Logical Sequence 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

55 55

55

56 56

56

57 57

57

19
 

• 

• 

• 

Logical 

~ 

Sequence 

-~ 

~-­

~-.._._.._:....i--- _____.:_.-..----

~---­

--- - ~ 

Logical Sequence 

Logical Sequence 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

58 58

58

59 59

59

60 60

60

20
 

Logical Sequence 

• 

Photography Tips 

• 

Photography Tips 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

61 61

61

62 62

62

63 63

63

21
 

 

 

 

 

Photography Tips 

• 

Photography Tips 

• 

Summary 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

64 64

64

65 65

65

o Evidence must be properly collected and

safeguarded

o Complete FSIS Form 8200-1, Property

Receipt Form

o Complete FSIS Form 8000-17, Evidence

Collection and Chain of Custody

66 66

66

22
 

 

 

 

Summary 

• □ 

Questions 

• 

Enforcement Investigation and Analysis Officer Educational Program, April 16 - May 11, 2007

67 67

o EIAO will send all evidence to DCS via

approved Agency carrier upon completion

o Complete Section II of FSIS Form 8000-17

to show the change in custody

Evidence

67

68 68

68

23