Sample chain of custody process flowchart
A sample chain of custody workflow for controlled handoffs, identity and seal checks, signed transfer records, discrepancy handling and an auditable custody trail.
What the sample chain of custody process is
This process keeps the handoff itself visible, including the point where a broken seal, mismatched identifier or incomplete transfer record must stop routine handling. It is deliberately a starting point: adapt the roles, criteria, records and escalation thresholds to the services and risks your laboratory actually manages.
The meaningful branches are not footnotes. Unique ID and seal intact?, Custody record complete for handoff? and Any unresolved custody discrepancy? decide whether routine work can proceed or whether the laboratory must hold, clarify, investigate or escalate the work.
This template does not establish compliance with any standard or regulation. Confirm the procedure, safety controls, authorization roles and retention requirements that apply at your site before making it effective.
What this flowchart covers
In this template
- Five stages from initiate transfer through archive record across the roles that own this workflow.
- A documented positive and negative path for unique id and seal intact?, so an exception stays visible rather than disappearing from the flow.
- The custody record complete for handoff? gate before routine work continues, with a hold, investigation or remediation path where it does not.
- A final any unresolved custody discrepancy? decision that routes both outcomes through controlled records and closure.
- Editable swimlanes and labels that can be aligned with the laboratory's approved methods, local forms and quality-system terminology.
When to use this template
- You need documented custody for field samples, external submissions, forensic-like evidence, regulated testing or any work where identity and handling history matter.
- You are revising an SOP, training material or audit-ready process map and need the failure paths visible alongside the routine path.
- Several teams own parts of the workflow and need a shared view of the handoffs, evidence and escalation points.
How it works
Set the real roles and records
Replace the example lanes with the people who actually perform Sample Submitter, Sample Reception, Laboratory Coordinator. Add the SOP, form, system or logbook that provides evidence at each handoff.
Define the decision criteria
Write the site-specific rule behind each decision, especially unique id and seal intact?, custody record complete for handoff? and any unresolved custody discrepancy?. Do not leave a result-dependent decision to informal judgement.
Test the exception paths
Walk a recent non-routine case through the hold, clarification, investigation or remediation branches. Change the chart wherever the real response differs from the draft.
Approve and review the procedure
Route the completed process through your document-control and approval process, train the affected roles and review it when methods, systems, responsibilities or risks change.
Frequently asked questions
What does this sample chain of custody process flowchart cover?
This process keeps the handoff itself visible, including the point where a broken seal, mismatched identifier or incomplete transfer record must stop routine handling. It includes the decision points and exception routes needed to prevent a failed check or unclear handoff from being treated as routine work.
Can this template be used in a regulated laboratory?
It is an editable starting point, not a compliance claim. Regulated and accredited laboratories should align the roles, records, acceptance criteria, method controls and approvals to their applicable framework and approved quality system.
How should we adapt the workflow?
Start with the actual records and roles used at the site, define the criteria behind each decision, then test the exception branches against a recent real case. Remove steps that do not occur and add required local controls before approval.