What is a Chain of Evidence Form?
Chain of Evidence forms are an essential part of any criminal or legal investigation. They are crucial for the protection of the evidence collected during the investigation and can make the difference between a successful conviction and a case dismissal. Regardless of whether the evidence is digital in nature or from other physical sources, the collection and organization into a chain of evidence is often vital to the outcome. Essentially, a chain of evidence form is a method in which evidence is tracked from the time of its collection until it is no longer required by the court. It features all relevant information about the evidence collected, including how it was obtained and even the condition in which it was found. However , the most important consideration in a chain of evidence form is that it not be altered in any way. This could easily remove the validity and applicability of the evidence in question. Typically, a chain of evidence is not created until the court has requested it. It is only then that the chain of evidence is created by the officer or investigator in question. These officers or investigators could be from any relevant area of concern, including law enforcement and security organizations. However, all individual chain of evidence forms share some common elements: The purpose of a chain of evidence form is to ensure the effective maintenance of the evidence collected throughout the investigation process. In many cases, the success or failure of the entire case will depend on the information provided on the chain of evidence form.
Why It Matters
A valid and properly constructed chain of evidence is critical to the admissibility of any physical evidence in a court of law. It is not enough, for example, to simply have an eyewitness account of a crime if no physical evidence is corroborated by a chain of evidence form. In cases of theft, for instance, if the chain of custody is broken, any evidence recovered from the scene or that may otherwise tie a suspect to the crime becomes inadmissible.
In some cases, such as those involving child pornography or sexual abuse, failure to comply with proper chain of evidence procedures can lead to criminal liability for other parents who report a crime or for members of witness protection programs. That is, they may find themselves prosecuted for their part in breaking the chain of evidence due to poor legal counsel or inadvertent behavior.
Elements of a Chain of Evidence Form
When correctly completed, a chain of evidence form provides a straightforward, easy to follow process for documenting the location of a sample or item. This log of information can be followed until it reaches its final destination. The process should begin when evidence is first taken from a crime scene, and the final entry is completed when the evidence is received in court. In between, the form offers a reliable method for tracking where the evidence has been, and who has handled it.
There are four basic components in creating a chain of evidence. They include the "marking," the "signed receipt," the "chain of evidence transfer," and the "secured transfer." Each of these parts plays a different role in the overall chain of evidence process.
Marking. This part includes the date, location, and any special features of the item in question. Marking also identifies the person who collected the item and identified the condition of the item before packaging and sealing it. Flats, photographs, and even videos can be included in this portion of the chain of evidence.
Signed receipt. This includes a numbered receipt with the date and location of the evidence, the case number, the type of offense that is involved, the reason for collecting the evidence, and a description of the evidence. This section of the form remains blank until the form is placed into the evidence bag or box.
Chain of evidence transfer. The chain of evidence transfer component of the process includes all of the information from the signed receipt, including the quantity of the items collected, the date, the case number, the reason for collecting the evidence, and a description of the evidence. If the evidence is split up for two or more locations, separate components will appear on the chain of evidence transfer. It will often be printed on pre-numbered paper.
Secured transfer. This component of the form requires the signature of everyone who handles the evidence. Each individual must sign the form, along with the date in which the evidence was placed into their possession. The secured transfer section may also contain information about the date in which the person transported the evidence.
Steps to Preserving a Chain of Evidence
- Ensure individuals come to the exhibit room with identification, title, and purpose, which can include making copies of documents. No individual should be allowed in the exhibit room without proper identification (this does not include guests or visitors).
- Prohibit the individual from bringing any briefcases and/or other items into the room.
- Upon leaving the room, the individual will be required to sign an In and Out Log Sheet. This log sheet must also contain the following information, the name and date of receipt of the item, the name(s) of the individual(s) who placed it into the storage space, and the date and name of individuals who placed it in their respective locations.
- The person who is signing out an item is required to return the item to the exhibit room in the same condition as received and evidence needs to be signed out by at least two people.
- Implement a sign-out log. Documents and pleads that have been provided by the presiding court shall be reviewed in the exhibit room and no person shall remove plead file files from the exhibit room. All plead files and documents shall remain in a secured and locked filing cabinet. Copies of plead files can be made but must be consistent with court rules and orders.
- Ensure all items leaving or entering the exhibit room are to be tagged in or out to maintain the chain of evidence.
- Conduct and document random audits of the exhibit room.
Common Pitfalls and How to Avoid Them
One of the most common mistakes with a chain of evidence form is to create it in PDF and try to sign it with a signature block at the bottom. The problem is, in the chain of evidence form, you have to have a lot of blank lines for the dates, times and signatures and you can’t change the size of the lines if you have an initial template. So as soon as someone tries to fill out a PDF chain of evidence form, it’s all out of whack and it doesn’t work. A much better idea is to use Microsoft Word or a similar word processing program.
Another mistake that people make is when they do the criminal apprehension, they wait until two or three days later to hunt down everyone who had something to do with the case. They then have everyone sign the chain of evidence form after the fact, and the problem with that is, potentially, someone could have tampered with something during those two or three days. So it really is vitally important to the integrity of your evidence to have a chain of evidence form filled out as quickly as possible when the crime actually takes place. Take time to sit down with the arresting officer and package all of the evidence at the search scene at the time of the arrest. Have everybody sign it right there and then if anything goes bad out in the field, you are not going to have a big problem.
If, however, you have to go out in the field and package it without the prosecutor sometimes having the ability to verify everything that you wrote down on the chain of evidence form, then you should assign the job to someone else. For example, if you go out on the arrest and you happen to take the evidence back to the headquarters and then go on to lunch, you have given an opportunity for a potential "slippery character" to come in and tamper with your evidence during that span of time. There shouldn’t be any evidence traveling anywhere without you, especially if you are a witness in the case .
Other mistakes would be, if you were just for some reason unable to fill out your chain of evidence form at the time that the crime took place or very shortly thereafter, do your very best to ensure that nobody has had the opportunity to tamper with your evidence before you actually go back and fill out the chain of evidence form. You never want to write on the form that you have not had the opportunity to verify the integrity of your evidence.
Another mistake you might make is if you don’t check to make sure that your evidence is admissible in court before you actually create the chain of evidence form. Sometimes you can get too eager and perhaps even get overzealous in your investigation and take evidence that is not admissible in court. For example, back in the day, it was pretty common to take blood samples from your suspects because back in the day, blood samples were admissible in court. However, today, blood samples are not always admissible in court. You have to be careful that you don’t go out and take evidence that is not admissible in court such as a blood sample when a urine sample or a breath sample may be preferred.
Another error could be that you don’t take the time to make sure that the evidence is properly packaged and sealed before you get somebody’s signature on the chain of evidence form. If you have not wrapped everything up and properly sealed it and you have somebody sign it, you will actually have made them aware of some of the content of your packaging that perhaps you did not want them to know that you had revealed about the evidence. So sometimes under the pressures of your day to day work, you cannot always control everything that happens and write it down. If you make a serious enough error, you could end up with cases against the defendant getting dismissed. So it’s really important that you do your absolute best to avoid any mistakes. Use a form that is more like a word processing type form, always remember to sign it, date it, get signatures of everybody who might have touched the evidence and log it into your case file.
Emerging Technologies in Evidence – An Overview
The digital age has introduced intelligent features that complement physical chain of evidence processes. Physical chain of evidence forms, though crucial and effective, are limited to being discrete pieces of collateral, filed for future reference. A link in the chain of evidence requires a great deal of your time and attention, which makes you more likely to lose physical items. The ability to not only manage links in the chain of evidence, but to also keep track of them is convenient for both practitioners and attorneys. Practical information such as the date the item was created, modified and last accessed is recorded so there is a record of any alterations to the original documentation. Chain of Evidence software applications eliminate the need to manually maintain chain of evidence forms. Unlike physical forms, digital documents are not susceptible, nor has a risk of getting misplaced. They are linked to an account and can be retrieved at any time, from anywhere. These software applications employ advanced technology that help monitor the chain of evidence process. Everything from data encryption and storage of records in servers that are secured and monitored 24 hours a day to internal digital signatures that ensure document integrity are all file features of the applications. Most chain of evidence software have in-built reporting systems that automatically generate chain of evidence reports for you. These reports incorporate all information on the items in the chain of evidence, such as date documented, custody history, and details of any modifications made. Technology continues to revolutionise the way chain of evidence is managed. Such advancements include the development of cloud based applications for digital devices that will combine both physical and digital chain of evidence.
Successes and Failures in Practice
The Impact of a Chain of Evidence Form: Success or Failure
Take the case of a Brazilian national who was issued a permanent resident visa in 2015. He married a U.S. citizen and had another child in 2017. In 2016, he applied for naturalization and was interviewed in 2018, but his case was placed on hold due to a prior conviction in 2001. An NTA was issued in 2019 requiring him to appear in court when his case is called and show cause why he should not be ordered removed from the U.S. He filed Form I-751, Petition to Remove Conditions on Residence, in October 2019 and included Form I-751A, Information for Waivers of the Joint Filing Requirement for Waivers of Conditional Resident Spouses. At the biometrics appointment in November 2019, the Department of Homeland Security (DHS) acknowledged that he would no longer be removing conditional status through Form I-751. However, the NTA was subsequently administratively closed. This approved I-751 petition also allows him to proceed toward naturalization.
This success would not have been possible without an up-to-date chain of evidence. When Form I-751 was filed in 2016, the couple supplied evidence of shared life together when they were still married as spouses, but there had been no communication or support since the date of separation. The couple was separated for three years. Yearly tax returns were filed as married filing separately which fails to provide adequate proof of a shared life. There were no photographs of the parties or parties with their children taken during the time of marriage or prior to the date of separation. As a result, the couple submitted all the tax returns, income statements, and the third-party statements for the five years preceding the date of the I-751 petition.
To establish credibility, the parties also enlisted third parties to submit non-prepared statements attesting to the validity of the marriage. These included statements from a pastor, barber, in-laws, and someone who knew the parties from birth to the date of the divorce .
When Form I-751 was originally filed, the case was at an upswing, and the strength of the evidence was recognized by an earlier I-751 petition approval. The chain of evidence included a marriage certificate and prior I-751 approval, but this was not enough to distinguish between a genuine and fraudulent marriage. Without the updated chain of evidence, an NTA could have impeded not only permanent residence but also naturalization.
In another real-life example, a former spouse followed the principle of "living well is the best revenge." After the parties divorced, the former spouse moved on with his new love while the ex-wife stayed behind. Years later when the ex-wife filed Form I-751 to lift the conditions on her permanent resident status, the former spouse was furious. He submitted forged documents to DHS, requiring the ex-wife to submit the original document to disprove the fraud.
Here is where the chain of evidence became a vital component of proving the I-751 petition. The chain of evidence included the original copy of the divorce decree which showed that the couples’ joint tax returns of income were filed as married filing separately and the direct testimony of a professional witness. Additionally, the couple had filed Form I-130, Petition for Alien Relative, before they were married and the evidence was submitted that they did not live together until the on-set of their proposed marriage. Your marital status is determined by the scenario which is the most supportive of your bona fides. In this instance, the chain of evidence was clean and the judge made a rushed oral decision granting the removal of the conditions on this former conditional resident’s resident status. A passport was issued immediately.
The success of the Form I-751 petition is evident to all. Because of maintaining the chain of evidence over time and making updates as necessary, the former conditional resident became naturalized, which resulted in the ability to travel without interruption of residency and apply to become a U.S. citizen.
