Attachment G 

ADEQ AAS AFL-Pb-002 SOP 








Attachment H 

ADEQ AAS FCC-003 SOP 
 Air Assessment 

Data Management & Quality 

Assurance Unit

STANDARD OPERATION PROCEDURE TITLE 

PROCEDURE FOR LEAD (Pb) FILTER DATA REVIEW AND 

REPORTING 

SOP NUMBER REV DATE OF ORIGINAL ISSUE PAGE NUMBER 

FCC-003 1.1 20-OCTOBER-2011 1 of 15 

TABLE OF CONTENTS 

1.0 PURPOSE ..................................................................................................................................................................................2

2.0 SCOPE........................................................................................................................................................................................2

3.0 REFERENCE DOCUMENTS..................................................................................................................................................2

4.0 TERMS AND DEFINITIONS..................................................................................................................................................2

5.0 PROCEDURE............................................................................................................................................................................2

5.1 REVIEW OF PIMA COUNTY LAB PB DATA FILES AND AMU INSTRUMENT FILES .................................................................2

5.2 REFORMATTING DATA FILES TO AAAD FORMAT.................................................................................................................4

7

8

10

14

5.3 LOADING THE DATA INTO AAAD ..........................................................................................................................................

5.4 VERIFY DATA LOADED INTO AAAD CORRECTLY. ................................................................................................................

5.5 PROMOTING DATA TO QA LEVEL 3 ....................................................................................................................................

5.6 EXIT FCC QA VALIDATION SCREEN (RED DOOR). .............................................................................................................
ADEQ Air Assessment 

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1.0 PURPOSE

To document the procedure used to review the Lead (Pb) data files from the Pima County Regional 

Wastewater Reclamation Department’s Compliance and Regulatory Affairs (CRAO) Laboratory and 

instrument files from Air Monitoring Unit (AMU) and prepare the data for loading into AAAD and the 

EPA’s Air Quality System (AQS) database. 

2.0 SCOPE 

This document applies to Data Management & QA Unit Personnel. 

3.0 REFERENCE DOCUMENTS 

EPA Monitoring Schedule calendar - http://www.epa.gov/ttn/amtic/calendar.html

AQS-001 – AQS Procedure for Batch Loading data into AQS 

4.0 TERMS AND DEFINITIONS 

AAAD Air Assessment Ambient Database 

AMU Air Monitoring Unit 

AQS Air Quality System 

DCS Data Collection System 

EPA Environmental Protection Agency 

FCC Filters, Canisters, Cartridges 

5.0 PROCEDURE 

NOTE: The procedure consists of six steps. See steps 5.1 through 5.6 for details. 

5.1 Review of Pima County Lab Pb data files and AMU instrument files

5.1.1 Pb data files are delivered to Data Management when data results for the previous 

month are ready for review and reporting. AMU instrument files are delivered quarterly. 

Both of these files are in spreadsheet files. 

5.1.2 Locate the spreadsheet files: 

5.1.2.1 Pima County Lab files – (J:\AQD\AQD\ASSESS\DATA MANAGEMENT AND 

QA UNIT\DM\Programs\NAAQS\Lead\Data) Select appropriate year, then 

open the ‘Raw_Files_From_Pima_Lab’ folder. 

NOTE 1: Files are by month. 

NOTE 2: Excel files are AAAD formatted data and PDF are official reports 

from Pima County Lab 

5.1.2.2 AMU files – (J:\AQD\AQD\ASSESS\MONITORING 

UNIT\Airlab\Spreadsheets\) Select the appropriate year, then lead 

spreadsheets folder, then the correct quarter. 

NOTE 1: Open files as “read only”. 
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NOTE 2: There are files for each collocated monitors labeled Primary and 

Secondary. 

5.1.3 Save both sets of files. 

5.1.3.1 Save Pima County Lab files in ‘ADEQ_Edited_CSV_Files’ folder within the 

same Year folder as the Raw files folder (see 5.1.2.1). 

5.1.3.2 Save AMU files in the ‘PbTSP’ folder located at: J:\AQD\AQD\ASSESS\DATA 

MANAGEMENT AND QA UNIT\DM\Programs\NAAQS\Lead\Data. 

5.1.3.2.1 Select the appropriate year and quarter. 

5.1.3.2.1 Save the files for each monitor at each site. 

5.1.3.2.3 If year or PbTSP folders do not exist: Create and then save 

data files. 

5.1.4 Review Pb data as well as temperature and pressure instrument data. 

5.1.4.1 Open data files. 

NOTE: Make a list of questions for the Data Management & QA Unit Manager about 

things not clearly understood, while reviewing the data. 

5.1.4.2 Check sample dates and answer the following questions. 

 Do the dates match the EPA Monitoring Schedule calendar? 

 If date does not match: Is there an explanation for the change in 

sample date? 

 Is the year correct? 

5.1.4.3 Check instrument parameters (temperature and pressure). 

5.1.4.3.1 If any cells are highlighted or color coded: Check notes at 

bottom of page or on 'color key' page for explanation. 

5.1.4.3.2 If not clear: Make questions for Unit Manager. 

5.1.4.3.3 Make sure there are values for all run days. 

5.1.4.4 Check ambient concentration values. 

5.1.4.4.1 Are there any values greater than 0.15 μg/m3

? Read comments 

for explanation and make notes/questions for Unit Manager. 

5.1.4.4.2 If there are any values less than MDL: Make notes for the Unit 

Manager. 
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5.1.4.4.3 Scan flags added by Pima County lab. Read comments for 

explanation. 

5.1.4.4.3.1 If flags are incorrect for the situation 

described, or if no flag is present (when one 

should be), or if bad flag and concentration 

data are both present: Make notes/questions for 

Unit Manager. 

5.1.5 Review all notes/questions with Unit Manager. Note corrections to be made. 

5.1.5.1 If questions cannot be resolved: Unit Manager will contact Pima County Lab 

or AMU staff for clarification. 

5.2 Reformatting data files to AAAD format 

NOTE: Files from the Pima County Lab will be loaded monthly, then temperature and 

pressure data from AMU filter lab will be loaded on a quarterly basis. 

5.2.1 Pima County Lab files 

5.2.1.1 Check the AAAD formatted files sent by the lab (skip to 5.2.3). 

5.2.1.2 If changes are needed, make the changes in excel file and save in 

‘ADEQ_Edited_CSV_Files’ folder only. 

5.2.2 AMU Files 

5.2.2.1 Reformat the data in the same quarter folder where the AMU files were saved 

(see 5.1.3.2). 

5.2.2.2 Copy the ‘Pb Quarterly Template.xls’ file: J:\AQD\AQD\ASSESS\DATA 

MANAGEMENT AND QA UNIT\DM\Programs\NAAQS\Lead\Data\Pb 

Quarterly Template.xls

5.2.2.2.1 Save the file as ‘Pb YYYY Q #_temp and pressure only.xls’ 

where YYYY is the year and # is the quarter number of the data 

being formatted. 

5.2.2.3 Open the new Pb Quarterly file. 

NOTE: This file has a worksheet for each site to be used for the AAAD 

formatting of the data. 

5.2.2.3.1 Place_ID, Inst_No, Parcode, POC, and QA_Level 

NOTE: The columns are already populated on the site 

worksheets, as this is standard information that is the 

same every quarter. 
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5.2.2.3.1.1 If not populated when there is a new site or 

instrument change: Look for information in AAAD or 

ask the Unit Manager. 

5.2.2.3.1.2 Check that the populated parcode column is for Pb with 

the following parameters: PbTSP.LC, BAR.Pb.LCAVG, 

TEMP.Pb.LCAVG, and FIELD. 

FIGURE 1 

5.2.2.3.2 Date/Time 

5.2.2.3.2.1 Copy the dates from the lab data files and paste in the 

Pb Quarterly document in the Date/Time Column. 

5.2.2.3.2.2 Add the time of 00:00:00 to each of the dates (can be 

done manually or with Excel cell formatting). 

5.2.2.3.2.3 Final format for the Date/Time Column should be: 

MM/DD/YYYY 00:00:00. 

5.2.2.3.3 Raw_Value and Valid_Value 

5.2.3.3.1 Copy and paste the data values for each date and 

corresponding parameter from the data files to the Pb 

Quarterly document. 

NOTE 1: Both columns will have the same data. 
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5.2.2.3.4 Raw_Code and Valid_Code 

5.2.2.3.4.1 Insert any codes from the flag columns in the lab data 

file into the Pb Quarterly Document. 

5.2.2.3.4.2 If there is a B code: There should be no data in the 

Raw_Value and Valid_Value columns. 

5.2.2.3.4.3 If there is a Q code: There will be data in the 

Raw_Value and Valid_Value columns. 

NOTE: Both columns have the same flags. 

5.2.2.3.5 Uncertainty 

5.2.2.3.5.1 Leave this column blank. 

5.2.2.3.6 Comments 

5.2.2.3.5.1 Incorporate any comments from the AMU files; 

otherwise leave this column blank if no comments are 

needed. 

5.2.2.4 Repeat steps 5.2.3.1 through 5.2.4 for all sites and instruments for the month 

or quarter. 

5.2.2.4.1 See Unit Manager if there are questions. 

5.2.2.5 Copy all of the AMU data for temperature and pressure at the sites to one 

new Excel document so that the data are on one spreadsheet. 

5.2.3 Check both the Pima County Lab files and the converted AMU data for AAAD format, 

especially the following items: 

 Are dates correct and are they formatted as MM/DD/YYYY 00:00:00? 

 Is site and instrument information correct? 

 Are the Parcodes correct? 

 Are the POC numbers correct? 

 If Raw_Code and Valid_Code have Bad flags: Raw_Value and Valid_Value 

fields should be blank. 

 Are all Comments copied to Parcode Pb.TSP.LC records for the date? 

 Make sure there are no commas in Comments field. 

 Are the Comments less than or equal to 200 characters? 
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5.2.4 Save both the Pima County Lab file and the AMU data for temperature and pressure as 

CVS files by Clicking on file, then Save As. Select .CSV file type. File name is: Pb 

“Quarter” “#” “Year”.csv. 

5.2.4.1 Save in H:\DCS\aaad\FCC and H:\DCS\aaad\FCC\Loaded files. 

5.2.4.2 If these paths are not visible in Windows Explorer or if unable to save 

files to either of these folders: Notify the Data Management Unit Manager. 

A request for ‘write access’ must be made to the IT Service Desk by the Data 

Management Unit Manager. 

5.2.5 Open the .CSV file in a text editor such as UltraEdit or Wordpad. 

 Check format of all records. 

 Delete extra commas after last row of data, if present. 

 Delete extra commas after QA Level field, if present. 

 Check dates, parcodes, and comments. 

 Check values and codes. 

 Delete header row if it is still present. 

5.2.6 Close all files. 

5.3 Loading the data into AAAD

NOTE: The AAAD formatted data files are loaded into the AAAD using the Data Collection 

System (DCS) server. The files are copied to a folder on the DCS server used for FCC 

file loading. The loading process is a two step process using icons on the DCS 

desktop. The first step loads the data to the AAAD staging tables. The second step 

validates the loaded data. The user must have write access to the FCC file loading 

area and must also have remote log in access to the DCS. 

5.3.1 Make sure the .CSV files are saved in H:\DCS\aaad\FCC and 

H:\DCS\aaad\FCC\Loaded files. 

5.3.2 Log into the DCS server. 

5.3.2.1 Click on the Remote Desktop icon on the desktop that was set-up for the 

DCS. 

5.3.2.2 Click Connect when the Remote Desktop connection window pops up. 

5.3.2.3 Enter DCS user name and password and click OK. 

NOTE: The Unit Manager must submit a request to the IT Service desk for remote 

log in access. 

5.3.3 Load file. 
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5.3.3.1 Open Windows Explorer and go to the H:\DCS\aaad\FCC\ folder. Change the 

file name to ‘fcc.data’. 

5.3.3.2 Click the FCC Upload icon on the DCS desktop. The Oracle SQL Loader 

program will appear in the Taskbar and the file will disappear from the folder. 

5.3.3.2.1 If any of the records in the file are not correctly formatted:

The SQL Loader creates a FCC.bad file in the folder. 

5.3.3.2.1.1 Open the file in a text editor and check the format. 

Ask Unit Manager for assistance in correcting the 

format if necessary. 

NOTE: The issue is commonly in the comments, either 

too many words or a coma. 

5.3.3.2.1.2 Save and close the file. Repeat 5.3.3.1. 

5.3.3.3 Repeat steps 5.3.3.1 through 5.3.3.2 until all files are uploaded. 

5.3.3.3 Click the FCC Validation icon on the DCS desktop to validate the records 

Oracle SQL Loader loaded into the AAAD Staging table. A message box 

saying Done will appear on the DCS desktop when validation is complete. 

NOTE: Files in the Loaded files folder are helpful if a file needs to be 

reloaded due to errors. Delete once all files in the FCC folder are 

loaded. 

5.3.3.4 Log out of the DCS server. 

5.4 Verify data loaded into AAAD correctly. 

5.4.1 Log into AAAD using the Azurite 10g icon on the desktop. 

5.4.2 Click on Applications, then scroll to Air Assessment Ambient, then to Monitoring 

Activity and select FCC Upload Validation. See Figure 2. 
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FIGURE 2 

5.4.2.1 Selecting FCC Upload Validation causes the FCC Upload Data Correction

form to appear. See Figure 3. 

FIGURE 3 

5.4.3 Double click on the query icon (the flashlight). 

5.4.3.1 If no records are returned: All records loaded correctly. Proceed to Step 

5.4.4. 
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5.4.3.2 If there are records returned: They will appear on this form with an Error 

Message to explain what is wrong with the record. 

5.4.3.2.1 Information in the white fields can be corrected or added. 

5.4.3.2.2 Click Save the record after each correction is made. 

5.4.3.2.3 If the information cannot be corrected: The record may be 

deleted. Ask Unit Manager for assistance. 

5.4.3.2.4 If records are corrected: They must be validated with the FCC 

Validation icon on the DCS desktop. See Step 5.3.3.3. 

5.4.3.2.5 Repeat for all the records that are found by this query. 

5.4.4 Exit out of FCC Upload Data Correction screen (button with the red door) and go back to 

the Main Azurite screen. 

5.5 Promoting Data to QA Level 3 

5.5.1 QA Level 3 

5.5.1.1 Locate field sheets for each monitor in Data Management file drawer #11. The 

field sheets include flow verification forms, calibration forms, audit forms, and 

site maintenance forms. 

5.5.1.1.1 Look for any notes on the sheets that indicate the work on the 

monitor at that site may have affected any samples. 

5.5.11.2 If the monitor failed a flow verification or audit: Note the date 

of the failure. 

5.5.1.1.2.1 Check the field sheets to determine when the last 

good check occurred. 

5.5.1.1.2.2 Look for a Corrective Action Notice to see if the 

monitor was repaired or replaced and note the 

date that occurred. 

5.5.1.1.2.3 Take this information to the Unit Manager to 

determine which samples, if any, should be 

invalidated. 

5.5.1.1.2.4 Invalidate data that was determined invalid due to 

failure in step 5.5.6.2. 

5.5.2 Click on Applications from the main AZURITE menu and then scroll to Air 

Assessment Ambient, then to Monitoring Activity and select FCC Quality 

Assurance. See Figure 4. 
ADEQ Air Assessment 

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FIGURE 4 

5.5.2.1 The FCC QA Validation screen appears. See Figure 5. 

FIGURE 5 

5.5.3 Enter the Place ID or the Para Abbrv. and the Start Date for the quarter of data just 

loaded and click the query icon (flashlight) or the F8 key to execute the query. 

5.5.3.1 If the Place ID is selected: All FCC Para Abbrv. for that place will be in the 

query. Use the arrows at the top of the form to move to the next Para Abbrv. 
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5.5.3.2 If the Para Abbrv. is selected: All of the Place IDs for that Para Abbrv. will 

be in the query. Use the arrows at the top of the form to move to the next 

Place ID. 

NOTE: It is recommended to do QA by Place ID, not parameter. 

5.5.4 Check data to make sure that all data are loaded correctly and are not missing. 

5.5.4.1 Notify Unit Manager if there are problems. 

5.5.5 Graph data to visually check the data for PbTSP.LC parameter only. 

5.5.5.1 Click the graph button, then a pdf graph of data will appear. 

5.5.5.2 Look at the graph to make sure there are no outliers of data values that need 

to be addressed. 

5.5.5.3 If there are outliers or data values to be addressed: Make a note and see 

Unit Manager. 

5.5.5.4 Close the graph. 

5.5.6 Check notes from field sheet review. 

5.5.6.1 If there are no issues: Continue on with step 5.5.7. 

5.5.6.2 If there are flow verification or audit failures:

5.5.6.2.1 Click on the date to be invalidated in the FCC Validation screen. 

This will highlight the row and the QA values will be shown in the 

bottom of the screen. 

5.5.6.2.2 Click on the first blank row (under QA Value 2) in the QA 

section. This will activate this record row and the QA Level will 

be automatically Level 3 and the QA status will be valid. 

5.5.6.2.3 Change the QA status to invalid by clicking on the black arrow

next to the valid status. 

5.5.6.2.4 Add a reason code by typing it in or selecting from the reason 

codes pop-up by clicking the blue arrow. 

5.5.6.2.4.1 If selecting from the reason codes pop-up:

Select the corresponding reason code from the 

list and click Okay. 

5.5.6.2.5 Click Save or use the F10 key. 

NOTE: This has invalidated this sample at level 3 and will not be changed 

by the QA Insert in the next steps. 
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5.5.6.2.6 Repeat steps 5.5.6.2.1 through 5.5.6.2.5 for all samples that 

need to be invalidated. 

5.5.7 Promote the valid data to QA Level 3. Click on QA Insert button and Insert QA records

screen pops up. See Figure 6. 

NOTE: Promote only the PbTSP.LC parameter. All other parameters stay at QA 

Level 2. 

FIGURE 6 

5.5.7.1 Promote data by inserting the first collection date for the quarter and the end 

collection date for the quarter. 

5.5.7.2 Leave the QA Status as Valid. 

5.5.7.3 QA Level is the level the data are being promoted to (Level 3). Copy from QA 

Level is the level the data are currently at (Level 2). 

5.5.7.4 Click the Copy All radio button and verify data, then click the Copy All button 

to promote data to the next level. 

NOTE: The data can be promoted for each individual record using the 

Insert radio button and the Insert button, but it is slow when 

inputting a large sum of data. 

5.5.7.5 A forms pop-up window will appear with the question: “Are you sure you want 

to copy QA records?” Click OK. 

5.5.7.6 For make up samples: Enter the date the sample is a make up for in the 

Comments field for each QA level. 

NOTE: The Copy All feature does not apply to the Comments field. 

5.5.8 Repeat steps 5.5.3.1 through 5.5.7.6 for all Place IDs and all Para Abbrvs. 
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 Do not change Level 2 or Raw data – Level 3 only. 

5.6 Exit FCC QA Validation screen (red door).

5.6.1 See Procedure for Batch Load Data, AQS-001 to load data to AQS. 
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Data Management & Quality 

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REVISION SHEET

REV 1.0 New Specification. 

27-APR-2011 Requested by Heather Colson. 

REV 1.1 Update Specification. 

19-OCT-2011 Requested by Heather Colson. 
Attachment I 

ADEQ Quality Management Plan 
QUALITY 

MANAGEMENT 

PLAN 

August 2010 

EQR 10-04 
2 

ARIZONA DEPARTMENT OF ENVIRONMENTAL QUALITY 

QUALITY MANAGEMENT PLAN

Approval and Concurrences
3 

ARIZONA DEPARTMENT OF ENVIRONMENTAL QUALITY 

QUALITY MANAGEMENT PLAN

Approval and Concurrences (Continued) 
4 

FOREWORD 1

CHAPTER 1 ORGANIZATION AND MANAGEMENT 2

1.1 QUALITY ASSURANCE (QA) POLICY............................................................................................................ 2

1.1.1 DOCUMENT PURPOSE................................................................................................................................................ 2

1.1.2 DEFINITION OF QUALITY ASSURANCE/QUALITY CONTROL (QA/QC) ...................................................................... 2

1.1.3 IMPORTANCE OF QA/QC TO ADEQ.......................................................................................................................... 3

1.1.4 GENERAL GOALS AND OBJECTIVES OF THE ADEQ................................................................................................... 4

1.1.5 RESOURCES FOR THE QA SYSTEM ............................................................................................................................ 6

1.2 SCOPE OF THE QUALITY MANAGEMENT PLAN ....................................................................................... 6

1.2.1 TYPES OF ACTIVITIES SPECIFICALLY COVERED BY THE ADEQ QMP....................................................................... 7

1.2.3 TECHNICAL ACTIVITIES NOT COVERED BY THE ADEQ QMP................................................................................. 11

1.3 ADEQ ORGANIZATIONAL STRUCTURE .................................................................................................... 11

1.4 ROLES AND RESPONSIBILITIES................................................................................................................... 12

1.4.1 ADEQ QA/QC UNIT SUPERVISOR AUTHORITY ..................................................................................................... 12

1.4.2 LINE MANAGEMENT AND STAFF AUTHORITY ........................................................................................................ 13

1.4.2.1 ADEQ DIRECTOR .................................................................................................................................................. 13

1.4.2.2 ADEQ QA/QC STEERING COMMITTEE.................................................................................................................. 13

1.4.2.3 QA DIVISION REPRESENTATIVES ........................................................................................................................... 13

1.4.2.4 ADEQ DIVISION DIRECTORS: ................................................................................................................................ 14

1.4.2.5 ADEQ SECTION MANAGERS:................................................................................................................................. 14

1.4.2.6 ADEQ PROJECT/CASE MANAGERS:....................................................................................................................... 14

1.5 COMMUNICATIONS......................................................................................................................................... 15

CHAPTER 2 QUALITY MANAGEMENT SYSTEM 16

2.1 PRINCIPAL COMPONENTS OF THE QUALTY MANAGEMENT SYSTEM ........................................... 16

2.2 PRINCIPAL TOOLS OF THE QUALITY MANAGEMENT SYSTEM ........................................................ 16

2.2.1 QUALITY MANAGEMENT PLAN (QMP)................................................................................................................... 17

2.2.2 QUALITY ASSURANCE PROGRAM PLANS (QAPRP)................................................................................................. 17

2.2.3 DATA QUALITY OBJECTIVES (DQO) ...................................................................................................................... 18

2.2.4 QUALITY ASSURANCE PROJECT PLANS (QAPJP).................................................................................................... 19

2.2.5 QUALITY ASSURANCE (QA) STATUS REPORTS....................................................................................................... 20

2.2.6 STANDARD OPERATING PROCEDURES (SOP).......................................................................................................... 20

2.2.7 TECHNICAL SYSTEMS AUDIT (TSA) ....................................................................................................................... 21

2.2.8 MANAGEMENT SYSTEM REVIEWS (MSR)............................................................................................................... 21

2.2.9 CORRECTIVE ACTIONS............................................................................................................................................ 21

2.3 OPTIONAL PRACTICES FOR THE CONTROL OF DATA COLLECTION ............................................. 21

2.3.1 FIELD AUDITS ......................................................................................................................................................... 21

2.3.2 LABORATORY AUDITS ............................................................................................................................................ 22

CHAPTER 3 PERSONNEL QUALIFICATIONS AND TRAINING 23

3.1 POLICY FOR QUALITY ASSURANCE (QA) RELATED TRAINING ........................................................ 23

3.1.1 RESPONSIBILITIES ................................................................................................................................................... 23

3.1.2 IDENTIFICATION OF TRAINING NEEDS..................................................................................................................... 23
5 

3.1.3 IMPLEMENTATION OF TRAINING REQUIREMENTS ................................................................................................... 23

3.1.4 DOCUMENTATION OF TRAINING.............................................................................................................................. 24

CHAPTER 4 PROCUREMENT OF ITEMS AND SERVICES 25

4.1 ITEMS................................................................................................................................................................... 25

4.1.1 EQUIPMENT MAINTENANCE........................................................................................................................... 25

4.2 SERVICES............................................................................................................................................................ 25

4.2.1 CONTRACTS WITH EXTERNAL PARTIES ...................................................................................................... 26

4.2.2 LABORATORY LICENSURE REQUIREMENTS............................................................................................................. 27

4.3 THE ROLE OF THE ADEQ QA/QC UNIT IN THE PROCUREMENT PROCESS ................................... 28

4.4 THE ROLE OF ADEQ PROJECT/CASE MANAGERS IN THE PROCUREMENT PROCESS .............. 28

4.5 AGREEMENTS WITH GOVERNMENTAL ENTITIES ................................................................................ 28

CHAPTER 5 DOCUMENTATION AND RECORDS MANAGEMENT 30

5.1 DEFINITION OF PUBLIC RECORDS ............................................................................................................. 30

5.2 EXCLUSIONS FROM THE DEFINITION OF PUBLIC RECORDS............................................................. 30

5.3 CONFIDENTIAL DOCUMENTS ...................................................................................................................... 32

5.4 ROUTINE QUALITY ASSURANCE AND RECORDS MANAGEMENT .................................................... 32

5.5 IN-HOUSE QUALITY ASSURANCE GUIDANCE DOCUMENTS............................................................... 34

5.5.1 REQUIREMENTS FOR FIELD DOCUMENTATION ........................................................................................................ 34

5.6 MAINTAINING DOCUMENT INTEGRITY ................................................................................................... 34

CHAPTER 6 INFORMATION TECHNOLOGY (IT) AND DATA MANAGEMENT 36

6.1 MANAGEMENT PRACTICES FOR ENVIRONMENTAL DATA................................................................ 36

6.1.1 DATABASE DEVELOPMENT: .................................................................................................................................... 36

6.1.1.2 SYSTEMS DEVELOPMENT PLANNING ....................................................................................................................... 37

6.1.2 DATA QUALITY AND DATA INTEGRITY................................................................................................................... 37

6.1.2.1 DATA QUALITY: ..................................................................................................................................................... 37

6.1.2.2 DATA INTEGRITY:................................................................................................................................................... 37

6.1.3 ESTABLISHING BACK UP AND ARCHIVING PROCEDURES .......................................................................................... 39

6.2 INFORMATION MANAGEMENT PLAN........................................................................................................ 39

6.3 ELECTRONIC DATA INTERCHANGE (EDI) AND NODE......................................................................... 40

6.4 LEVELS OF DOCUMENTATION FOR ENVIRONMENTAL PROJECTS................................................. 40

6.5 COMPUTER HARDWARE/SOFTWARE REQUIREMENTS ...................................................................... 40

6.6 SYSTEM DEVELOPMENT ............................................................................................................................... 41

6.7 DATA STANDARDS ........................................................................................................................................... 41

6.8 INFORMATION SECURITY............................................................................................................................. 42

CHAPTER 7 PLANNING 43

7.1 AGENCYWIDE PLANNING ............................................................................................................................. 43

7.1.1 INTERNAL STRATEGIC PLANNING ........................................................................................................................... 43

7.1.2 ETERNAL STRATEGIC PLANNING ............................................................................................................................ 43

7.1.3 EXTERNAL DATA COORDINATION .......................................................................................................................... 43

7.2 PROGRAM-SPECIFIC PLANNING................................................................................................................. 44

7.3 PROJECT-LEVEL PLANNING ........................................................................................................................ 44

7.3.1 ON-SITE MONITORING............................................................................................................................................ 45

7.3.2.1 SAMPLE SCHEDULING ............................................................................................................................................. 46
6 

7.4 ANALYTICAL REQUIREMENTS ................................................................................................................... 46

7.5 DATA TRANSLATION ...................................................................................................................................... 47

7.6 DATA INTERPRETATION ............................................................................................................................... 47

7.7 HEALTH AND SAFETY..................................................................................................................................... 47

CHAPTER 8 IMPLEMENTATION OF QUALITY ASSURANCE WORK PROCESSES 49

8.1 AGENCYWIDE IMPLEMENTATION............................................................................................................. 49

8.1.1 DIVISIONAL QUALITY ASSURANCE PROGRAM PLANS............................................................................................. 49

8.2 PROGRAM LEVEL IMPLEMENTATION...................................................................................................... 50

8.2.1 OPERATING POLICIES AND PROCEDURES ................................................................................................................ 50

8.3 PROJECT LEVEL IMPLEMENTATION ........................................................................................................ 50

8.3.1 QUALITY ASSURANCE PROJECT PLAN IMPLEMENTATION....................................................................................... 50

8.3.2 STANDARD OPERATING PROCEDURES (SOPS) ........................................................................................................ 51

CHAPTER 9 QUALITY ASSESSMENT AND RESPONSE 53

9.1 ANNUAL REVIEW OF THE QUALITY MANAGEMENT PLAN ................................................................ 53

9.2 QUALITY AUDITS ............................................................................................................................................. 53

9.2.1 MANAGEMENT SYSTEM REVIEWS (MSRS) ............................................................................................................. 53

9.2.1.1 REVIEW ADEQ QUALITY ASSURANCE PROGRAMS ................................................................................................ 55

9.2.2 TECHNICAL SYSTEMS AUDITS (TSAS).................................................................................................................... 55

9.2.2.1 LABORATORY TSAS ............................................................................................................................................... 56

9.2.2.2 FIELD TSAS............................................................................................................................................................ 56

9.3 PERFORMANCE EVALUATIONS .................................................................................................................. 56

9.4 DATA QUALITY EVALUATIONS ................................................................................................................... 57

9.4.1 DATA QUALITY ASSESSMENTS (DQAS) ................................................................................................................. 57

9.4.2 DATA QUALITY AUDITS.......................................................................................................................................... 58

CHAPTER 10 QUALITY IMPROVEMENT 59

10.1 PROGRAM REVIEWS ....................................................................................................................................... 59

10.2 PROJECT REVIEWS ......................................................................................................................................... 60

TERMS AND DEFINITIONS 61

APPENDICES 

ADEQ TEMPERATURE/PRESERVATION GUIDANCE POLICY

ADEQ POLICY 0154 - ADDRESSING SPIKE AND SURROGATE RECOVERY AS THEY RELATE TO MATRIX EFFECTS 

IN WATER, AIR, SLUDGE, AND SOIL MATRICES

ADEQ POLICY 0170 – IMPLEMENTATION OF EPA METHOD 5035 - SOIL PREPARATION FOR EPA METHODS 

8015B, 8021B, AND 8260B

ARIZONA DATA QUALIFIERS – REVISION 3 (0 9/20/2007)
1 

Arizona Department of Environmental Quality 

Quality Assurance/Quality Control Unit 

FOREWORD

Arizona Department of Environmental Quality (ADEQ) is committed to the Health and Safety of 

all of Arizona’s citizens. The health of our environment is vital to the life style most Arizonan’s 

enjoy. For this reason, quality environmental data are an invaluable tool for monitoring the well 

being of our environment. 

This commitment to quality is the reason for this revision of the Quality Management Plan

(QMP). The QMP is the umbrella, or blueprint, of ADEQ’s overall Quality Management System. 

There are many other components to the quality system and each of these will be discussed in 

detail in the Quality Management Plan. 

ADEQ has revised the QMP under the direction of the Quality Assurance/Quality Control 

(QA/QC) Unit Supervisor, Business and General/Laboratory Services Section Manager, and QA 

representatives from each of the three Environmental Divisions of ADEQ. This plan 

decentralizes the role of QA/QC for reasons of efficiency and accuracy. 

The current vision for the role of the QA/QC Unit Supervisor within ADEQ is as a primary 

resource for all agency disciplines to use and as a coordinator for standardizing protocols. The 

QA/QC Unit Supervisor will coordinate the activities of the QA/QC Steering Committee, which 

is made up of the QA/QC Unit Supervisor and representatives from each of the Divisions. As a 

group, the QA/QC Steering Committee will continually examine and audit the environmental 

data collection procedures and use of data in order to continually improve the Quality 

Management System. 

The QA/QC Steering Committee, which will work with the QA/QC Unit Supervisor, are 

independent of the Leadership Team which is the policy making group for ADEQ. With this 

separation of groups, Leadership Team and Steering Committee, and with the QA/QC Unit 

Supervisor reporting to the Business and General/Laboratory Services Section in the 

Administrative Services Division, autonomy is preserved in fact and appearance. The ultimate 

responsibility for Quality Assurance for ADEQ lies with the agency Director. 

This decentralized approach has been made necessary by the large number of different skill sets 

required to accomplish all of ADEQ’s environmental data collection activities, and ultimately the 

use of the environmental data. The degree of specialization requires that the QA/QC unit handle 

a tremendous volume of work to complete all of the QA/QC activities, and serve each unit 

equally and in a timely fashion. The system proposed herein addresses that issue by offering aid 

to all units when the workload is unusually heavy, while making certain that no project or 

Program should suffer from a bottleneck in the system caused by another unit’s heavy load. 
2 

CHAPTER 1 ORGANIZATION AND MANAGEMENT 

1.1 QUALITY ASSURANCE (QA) POLICY 

1.1.1 Document Purpose 

The Quality Management Plan (QMP) describes the quality management processes the Arizona 

Department of Environmental Quality (ADEQ) uses to maintain a Quality Management System 

consistent with U.S. Environmental Protection Agency (EPA) requirements. The quality system 

supporting ADEQ Programs involving environmental data or technology shall be covered by this 

QMP. The QMP is an “Umbrella” document which details in broad terms the strategies used to 

carry out QA/QC during environmental data collection activities and proper data use thereafter. 

The QMP was prepared in accordance with the March 2001 edition of the EPA requirements 

document numbered EPA QA/R-2, and entitled Requirements for Quality Management Plans, 

and to comply with EPA Order 5360.1 A2, entitled Policy and Program Requirements for the 

Mandatory EPA Quality System. 

1.1.2 Definition of Quality Assurance/Quality Control (QA/QC) 

Quality Assurance (QA) is an integrated system of management activities involving planning, 

implementation, assessment, reporting, and quality improvement to ensure that a process, item, 

or service is of the type and quality needed, and expected, by the customer. 

Quality Control (QC) is the overall system of technical activities that measures the attributes and 

performance of a process, item, or service against defined standards to verify that they meet the 

stated requirements established by the customer. The QC system includes the operational 

techniques and activities that are used to fulfill requirements for quality. 

At ADEQ, the Quality Management System is implemented largely through the following 

Agency functions: 

1. QA/QC training for certain identified job functions (with ADEQ QA/QC Unit 

assistance); 

2. Use of Agency QA Program Plans (QAPrPs); 

3. Use of Agency QA Project Plans (QAPjPs); 

4. Clearly defined ADEQ QA/QC Unit Supervisor oversight responsibilities 

(oversight authority may be delegated to the Programs); 

5. Periodic Management Systems Reviews (MSRs) and Technical System Audits 

(TSAs) coordinated through the ADEQ QA/QC Unit; 

6. A QA forum, comprised of the QA/QC Steering Committee, to focus continuous 

improvement efforts; 

7. Appropriate documentation and record keeping for all data related activities. 

Each of these systems is discussed in more detail in the appropriate section within this document. 

This document officially establishes these requirements as components of ADEQ’s Quality 
3 

Management System. 

Quality Control (QC) is largely implemented at the Program level through Quality Assurance 

Program Plans (QAPrPs). Each Division has unique requirements, statutory guidelines, rules, 

and policies that must be followed. Program Plans should incorporate the unique qualities that 

are specific to each Division or Program. Consequently QC is managed first at the Program 

level, and more specifically on a project by project basis through the use of Quality Assurance 

Project Plans (QAPjPs) and required data assessment activities. Designated Agency Project or 

Case Managers, through a review and approval process involving the ADEQ QA/QC Unit, are 

individually responsible for assuring that the QAPjP is capable of producing reliable work of 

known quality, which meets stated project needs. As defined in the QAPrP, in many cases a 

sampling plan and data quality objectives will suffice to assure data integrity. 

1.1.3 Importance of QA/QC to ADEQ 

The quality of decisions made by ADEQ depends heavily on the quality of information used to 

make those decisions. If those data are not of adequate quality to support their intended use, then 

subsequent decisions will suffer commensurately. 

Environmental data are used for setting priorities; establishing strategic direction; targeting 

inspections; measuring compliance; identifying enforcement actions; measuring progress and 

trends; certifying laboratories; and for many other uses. Environmental data are critical because 

they can impact a Program’s direction and emphasis, determine whether an enforcement case can 

be successful, or dictate which of several cleanup options will be implemented at a contaminated 

waste site. 

The consequences of poor data (i.e., do not meet user requirements) are that individual and 

collective decisions are not as sound as they could or should be. Even worse, poor data can have 

extremely negative consequences, such as when an enforcement case has to be withdrawn 

because underlying compliance data are successfully challenged by defendants. 

ADEQ is involved in conducting studies that have goals in several broad categories that include,

but are not limited to: 

 Determining baseline conditions for lakes, streams, soil, groundwater, and air 

quality; 

 Identifying and quantifying the presence of environmental contaminants in areas 

of potential exposure to humans or the environment; 

 Verifying the effectiveness of techniques and methods by which data sets are 

collected; 

 Determining the impacts of environmental contaminants on human health and 

ecosystems; 

 Determining whether, how, and by whom such threats to human health and the 

environment should be remediated; 
4 

 Monitoring compliance with environmental regulations. 

QA/QC is integral to the functions of this State agency because quality data ensure the scientific 

credibility of the data on which decisions are based. Proper QA enhances proper planning and 

reduces the likelihood of duplicative and repetitive sampling, thereby lowering costs to the 

taxpayers. 

1.1.4 General Goals and Objectives of the ADEQ 

ADEQ’s Quality Management System is designed to avoid occasions where the environmental 

data collected fall short of meeting the data quality objectives (DQOs) established by the users of 

the data. The primary goal of the ADEQ Quality Management System is to ensure that all 

environmentally related data collection and processing activities, performed by or under the 

Agency’s oversight, will result in the production of data that are both documented and of known 

quality, and can be used with a high degree of certainty by the intended user to support specific 

decisions or actions that are appropriate for the intended purpose. ADEQ’s Quality Management 

System applies to monitoring and measurement activities that occur within, or for, the Agency. 

For those programs that are supported by EPA through grants, contracts, or interagency 

agreements, the mandatory elements for EPA quality systems will be utilized. ADEQ’s Quality 

Management Plan will be achieved by ensuring that appropriate resources are made available 

and that the proper procedures are followed throughout the entire process of planning, collecting, 

analyzing, and interpreting environmental data. 

The goals of ADEQ’s QA System are to: 

 Produce and use data that are of known quality, and are acceptable for the 

intended purpose; 

 Encourage the use of QA/QC principles in the management of environmental 

projects; 

 Facilitate the timely identification of problems and implement corrective actions; 

 Assist in the identification of training needs; 

 Ensure that Division staff and the ADEQ QA/QC Unit Supervisor work 

cooperatively to identify and correct systemic weaknesses; and 

 Provide for continuous improvement in Agency data operations. 

It is ADEQ’s policy that: 

1. Programs generating, using, or requiring the collection of environmental data will be 

consistent with the intentions outlined in this Quality Management Plan (QMP), ADEQ 

policies, and Standard Operating Procedures (SOPs). 

2. The data quality objectives for generating any new environmental data will be determined 

prior to data collection activities, so that appropriate resources and QA/QC methods can 

be applied to ensure a level of data quality commensurate with the intended use(s) for the 
5 

data. 

3. A comprehensive QAPrP should be used to detail activities under all regulatory 

Programs. Each Program or activity that generates environmental data will develop and 

implement a QA Program Plan (QAPrP) and/or a QA Project Plan (QAPjP) containing 

SOPs which specify the detailed procedures required to assure production of quality data. 

The QAPrPs shall be prepared by appropriate agency staff, and if needed, the QA/QC 

Unit Supervisor will assist with this effort. Effective organizational QAPjPs and SOPs 

shall be developed and implemented as required and will be approved as shown in 

number 6 below. 

4. All environmental data generated by the Agency should be of known and documented 

quality, as defined by pre-established data quality objectives (DQOs) or existing 

regulatory levels. DQOs need to be clearly stated with each individual project, but are 

often predetermined by regulatory criteria and action levels within similar Programs. If 

the DQO formal process is needed it should be implemented consistent with EPA’s 

Guidance for the Data Quality Objective Process, August 2004, EPA QA/G-4 or an 

equivalent document. 

5. ADEQ’s QA/QC Unit shall act as the liaison for information to and from Region IX 

EPA. ADEQ’s Steering Committee shall provide necessary support and technical 

authority for any ADEQ data collection activity. 

6. QAPjPs shall be prepared by the originating ADEQ Program, and if necessary in 

coordination with ADEQ’s QA/QC Unit, prior to the start of any data collection effort. 

The originating Program has the option to utilize the services of a private contractor. 

QAPjPs shall be approved by the Division QA Representative or the QA/QC Unit. 

QAPrPs that function as a QAPjP shall be approved by the Division QA Representative 

or the QA/QC Unit, and as appropriate, by the Region IX QA Office. 

A separate stand alone QAPjP or equivalent document may be developed, as appropriate, 

for site-specific projects undertaken by the organization utilizing non-EPA resources. 

QAPjPs, or equivalent documents, developed for projects not funded by EPA shall be 

developed within the guidelines set forth in this plan. If ADEQ’s QA/QC Unit is 

requested, they may assist the independent contractor, or ADEQ Project team, with the 

development of a QAPjP. The QA/QC Unit will also make available Data Quality 

Objectives (DQO’s), Field Sampling Plans (FSP’s), and Standard Operating Procedures 

(SOP’s), or other guidance documents, where such documents can provide sufficient 

guidance to the project team. The originating Program has the option to either utilize the 

services of a qualified contractor or other independent ADEQ staff, provided the person 

has had appropriate training, has demonstrated an understanding of QA principles, and 

has satisfactory experience in generating QA documents. Short-term projects and onetime events (e.g. emergency response) do not require QAPjPs as long as the sampling 

protocols and objectives used are addressed in the Program’s QAPrP. 

7. Regular technical systems audits (TSAs) may be conducted by ADEQ’s QA/QC Unit 
6 

Supervisors for ADEQ projects involving environmental data collection, to ensure that 

they comply with ADEQ Quality Management Plan requirements. The TSA is a process 

used to measure the conformance of a measurement system to criteria defined by ADEQ. 

Additionally, ADEQ’s Quality Management Plan may involve periodic Management 

Systems Reviews (MSRs) of Program QA Systems. Deficiencies highlighted in these 

assessments will be addressed in a timely manner as defined in section 9.2.1. 

8. The requirements of the QMP may be waived only under exceptional circumstances. 

Each waiver will be reviewed by ADEQ’s QA/QC Steering Committee on its own merits 

upon receipt of a written request. If found appropriate, the requirement will be waived. 

For sites which are under the jurisdiction of EPA Region IX, or if the project is supported 

by EPA funds, the request for a waiver must also be approved by the EPA Region IX 

Quality Assurance Manager. The waiver request will be submitted to the ADEQ QA/QC 

Unit Supervisor and must address the requirement to be waived, the rationale, and the 

consequences of non-approval. When a waiver is granted, the actual procedures for the 

data management activities will be documented and available for review and assessment 

during the decision-making process associated with the project. 

1.1.5 Resources for the QA System 

The resources necessary to conduct the various QA and QC activities within ADEQ are provided 

by ADEQ’s Leadership Team, and, in some cases, by Program staff requiring assistance in order 

to successfully implement their Programs. QA is viewed as an integral part of any Program 

which deals with environmental measurements and data generation. This includes all monitoring 

activities. The level of QA resources needed for any given Program or project is determined 

initially by the relevant Program or project/case manager. 

ADEQ provides in-house and contracted expertise in quality assurance and technical support 

services to all Programs within ADEQ. These support services include data quality assessments, 

data validation, and other evaluations provided by chemists, toxicologists, engineers, and others. 

Personnel that provide these services are located either within ADEQ itself, or within other State 

agencies such as the Arizona Department of Health Services (ADHS). 

1.2 SCOPE OF THE QUALITY MANAGEMENT PLAN 

ADEQ’s QMP is intended to establish the foundation for implementing an effective QA Program 

within ADEQ and cover, at a minimum, internal and external activity which involve the 

generation of environmental data for Programs funded by EPA or other sources. At a minimum, 

the QMP applies to ADEQ Programs, activities, grants, contracts, and interagency agreements 

that generate environmental data which is used to make decisions or support actions related to 

the Agency’s defined mission and responsibilities that are funded by EPA. Environmental data 

are defined as information or measurements resulting from field data collection activity, 

laboratory analyses, or models involving the assessment of chemical, physical, or biological 

factors relating to the environment. Therefore, any Programs, activities, etc., which generate 

such data are required to comply with the requirements of this QMP. 
7 

1.2.1 Types of Activities Specifically Covered by the ADEQ QMP 

The five types of data generation and monitoring activities covered under this QMP include: 

1. Data generated by field sampling and laboratory analysis; 

2. Data generated and used for design, construction, and operation of engineered 

remediation/treatment systems; 

3. Data acquired from sources outside ADEQ through databases, publications, etc.; 

4. Data generated for use in supporting permitting decisions; 

5. Data generated in demonstrating compliance with Program requirements. 

Activities that fall under any of these five categories must be implemented in accordance with 

the QA requirements of EPA Order 5360.1 A2. Health and Safety monitoring data are 

specifically not included and are not subject to the requirements herein. 

Whenever these activities are performed, either directly by ADEQ or by State contractors under 

the State’s supervision, ADEQ’s Project/Case manager, with support from the ADEQ QA Unit, 

has full responsibility for ensuring that all ADEQ QA requirements are met. When such 

activities are performed using EPA funds through an external funding mechanism such as InterAgency Government Agreements, Grants, or Program funds given to the State, the ADEQ 

Project/Case Manager, with support from the ADEQ QA Unit, is responsible for ensuring that 

the State complies with all relevant EPA QA requirements. 

Since ADEQ employs a primarily decentralized approach to quality management, each ADEQ 

Division is responsible for determining the specific environmental Programs and activities to 

which the ADEQ Quality Management System will apply. The following list includes 

representative environmental Programs, grants, and activities within each Division which are 

covered by the ADEQ Quality Management Plan. 

AIR QUALITY DIVISION: 

Air Quality Assessment Section 

Data Management & Quality Assurance 

Monitoring Unit 

Evaluation and Special Projects Unit 

Planning Section 

State Implementation Plan & Program Development Unit 

Fund & Project Management Unit 

Permits Section 

New Source Unit 

Existing Source & General Permit Unit 

Compliance Section 

Inspections & Field Services Unit 

Technical Services Unit 

WASTE PROGRAMS DIVISION: 

Emergency Response Unit 
8 

Technical Support Section 

Site Assessment Unit 

Rules Unit 

Sustainability Unit 

Remedial Projects Section 

Voluntary Remediation Program (VRP) 

Federal Projects Unit 

Remedial Projects Unit/(WQARF) 

Remedial Investigations Hydrology Unit 

Permits Section 

Hazardous Waste Permits Unit 

Solid Waste Plan Review Unit 

Inspections & Compliance Section 

Solid Waste Inspections and Compliance Unit 

Hazardous Waste Inspections and Compliance Unit 

LUST Enforcement 

UST Inspection & Compliance Unit 

Corrective Action Section 

State Lead Unit 

Site Investigation and Remediation Unit 

Application Processing Unit 

Underground Storage Tank (UST) and Division Support Section 

UST Coordination Unit 

Information Management Unit 

WATER QUALITY DIVISION: 

Rules Development Unit 

Business & Planning Unit 

Groundwater Section 

Wastewater Recharge & Reuse Unit I 

Wastewater & Subdivision Review Unit 

Wastewater Design Review Unit 

Water Quality Mining Unit 

Compliance Section 

Compliance Assurance Unit, 

Compliance Data Unit 

Enforcement Unit 

Field Service Unit 

Drinking Water Section 

Source Water Assessment & Protection Unit 

Program Development & Outreach Unit 

Technical Engineering Unit 

Surface Water Section 

TMDL & Assessment Unit 

Monitoring Unit 

Permits Unit 
9 

Stormwater & General Permits Unit 

NORTHERN REGIONAL OFFICE: 

Water Quality Design Review 

Field Services 

SOUTHERN REGIONAL OFFICE: 

Border Programs Unit 

Compliance Programs Unit 

Superfund Programs Unit 

Compliance Programs Unit 
10 

1.2.2 Data Generated by Field Sampling and Laboratory Analysis 

Some examples of activities covered under the ADEQ QMP are the generation of environmental 

data, including field work, where chemical, physical, or biological samples are collected for 

analysis; the collection of in situ measurements; field work for site characterization and 

remediation; and compliance inspections. 

Environmental samples for chemical, physical, or biological analyses are commonly collected 

by, or for, ADEQ and analyzed to accomplish the following goals: 

 Confirmation of the presence or absence of pollutants or contaminants; 

 Determination of contaminant concentration levels of various sample fractions; 

 Determination of sources of contamination; 

 Delineation of horizontal and vertical distribution; 

 Evaluation of the rate and direction of transport; 

 Determination of the eventual fate of identified pollutants; 

 Determination of the effectiveness of treatment; 

 Establishment of time trends, to monitor changes and evaluate progress; 

 Evaluate compliance with environmental statutes, rules, and permit requirements; 

 Analyses of geotechnical parameters. 

The above sampling activities may be conducted for site characterization, for ongoing 

monitoring Programs, or during remediation and removal activities. Any data collected for the 

State may also be potentially used as an input for risk screening and/or assessment calculations 

incorporating exposure to humans, wildlife, and the environment. 

Where appropriate, data collection activities conducted for ADEQ must be adequately addressed 

in a Quality Assurance Program Plan (QAPrP), which should include specifics for sampling 

procedures and the analytical process; this portion is commonly called a Sampling and Analysis 

Plan (SAP) or Quality Assurance Project Plan (QAPjP). The Quality Assurance Program Plan 

(QAPrP) will specify what documents are necessary during the planning process.. 

Activities covered under this category include collecting media samples in the field, observing 

and recording field observations, performing analyses in the field and in field (mobile) 

laboratories, and analyzing samples in fixed laboratory settings. Examples of media include 

solid or liquid waste, fluid discharges or emissions, groundwater, surface water, soil, sediment, 

air, and biota. Measurements include physical measurements and observations made in the field 

such as flow rates, water levels, particle sizes, geological matrices, etc. Biological monitoring 

and sampling activities such as habitat evaluation, species identification, and diversity 

assessments are also covered under this category. Portable equipment can be used to make field 

chemical determinations of such parameters as pH, temperature, and specific conductance. The 

QAPjPs shall describe methods of collection, methods of analyses, methods of transportation, 

and methods of documentation for each of these activities. 
11 

1.2.3 Technical Activities Not Covered by the ADEQ QMP 

Two types of data collection activities that are generally not covered by the QMP are indicated 

and clarified below: 

1. Data collected only for safety or workplace regulations are not covered in the 

QMP. However, if the same data are used to identify hot spots for subsequent 

investigation the collection is covered by the QMP. 

2. Collection of employee medical monitoring data are generally not covered under 

the QMP. However, if the data are used to determine risk factors related to work 

exposure it would generally be covered. 

1.3 ADEQ ORGANIZATIONAL STRUCTURE 

ADEQ employs a decentralized approach to QA management, whereby each Division and 

Regional Office is responsible for deciding how they will specifically implement the general 

policies and procedures of this QMP. The ADEQ Director has delegated day-to-day 

responsibility for overseeing the Quality Management Plan to ADEQ’s QA/QC Steering 

Committee, chaired by the QA/QC Unit Supervisor. The Steering Committee is made up of 

designated QA/QC personnel from each of the three environmental Divisions and the QA/QC 

Unit Supervisor who resides in the Business and General/Laboratory Services Section of the 

Administrative Services Division for reasons of autonomy. 

The Leadership Team is that group of ADEQ Management assembled and under the direction of 

ADEQ’s Director who are charged with the policy making and operational strategies of the 

Agency. The Leadership Team consists of the following members: ADEQ Director; ADEQ 

Deputy Director; Waste, Water, Air, and Administrative Services Directors; Northern and 

Southern Regional Directors; Communications Officer; and ADEQ Administrative Council Staff 

as desired by the Director. 

Currently, the ADEQ QA/QC Unit is managed by a QA/QC Unit Supervisor. The QA/QC 

Supervisor manages the Quality Assurance Program and has direct access and reporting authority 

to the Business and General/Laboratory Services Section Manager. For matters concerning 

QA/QC, the QA/QC Steering Committee has direct access and reporting authority to the ADEQ 

Director. The QA/QC Unit maintains independence in both location and function from any 

offices or Programs which generate environmental data or are involved in environmental data 

collection. 

ADEQ is composed of three Program Divisions (Air, Waste, and Water) that generate 

environmental data as well as an Administrative Services Division. ADEQ’s QA/QC Unit 

provides support to each of the three ADEQ Divisions that generate environmental data, 

functions as the Agency technical QA expert, and assists with a variety of QA functions. 
12 

ADEQ’s Steering Committee is presently made up of designated QA/QC specialists from each of 

the three Program Divisions and ADEQ’s QA/QC Unit Supervisor who serves as committee 

chair. 

1.4 ROLES AND RESPONSIBILITIES 

Anyone in ADEQ who is either directly or indirectly involved with environmental data 

collection or laboratory analyses has some responsibility for ensuring data quality. This may 

include staff level personnel, Program supervisors, unit managers, section managers, Deputy 

Division Directors, Division Directors, the ADEQ Deputy Director and the ADEQ Director. The 

following is an overview of the QA responsibilities of some ADEQ personnel: 

1.4.1 ADEQ QA/QC Unit Supervisor Authority 

ADEQ’s QA/QC Unit Supervisor has the authority and responsibility for managing the QA 

activities within ADEQ’s Quality Management System. ADEQ’s QA/QC Steering Committee 

may recommend suspension of environmental data collection projects, and request corrective 

action in the event that data quality/environmental technology QA activities do not meet the 

Agency’s QA policy or requirements. If the ADEQ QA/QC Unit Supervisor and Project/Case 

Manager are unable to resolve QA issues at the staff level, those concerns shall be elevated to the 

appropriate ADEQ Section Manager or Director. The Steering Committee can be called to meet 

at times other than regular scheduled QA/QC meetings to resolve data collection issues. 

The ADEQ QA/QC Unit is specifically responsible for ensuring that: 

 All internal and external projects involving the generation of environmental data 

are performed in accordance with the ADEQ QMP and an approved QAPjP, or 

other suitable planning document as determined by the QA/QC Steering 

Committee; 

 Agency quality documents, such as SOPs, SAPs, QAPrPs and QAPjPs are 

prepared in accordance with ADEQ’s QMP; 

 Industry standard procedures required to implement QA management 

requirements are identified and provided; 

 Laboratory audits are performed, and analytical data are validated, as necessary; 

 Formal reviews and assessments of QA and QC activities are coordinated and the 

report of findings is prepared and forwarded to Section Managers. ADEQ’s 

QA/QC Unit will make recommendations for appropriate corrective action as 

indicated by audit findings; 

 Technical assistance to ADEQ Programs and contractors is provided and EPA 

guidance documents, policies, and procedures are distributed as appropriate; 

 ADEQ training needs are assessed; training courses are arranged and developed, 

and/or presented on QA topics; 

 An adequate degree of auditing by ADEQ’s QA/QC Unit [ i.e., management 

system reviews (MSR) and technical system audits (TSAs) ] is performed to 
13 

assess compliance with ADEQ QA requirements for monitoring and evaluating 

overall project implementation; 

 QAPjPs specifically address the technical adequacy of DQOs, when such 

documentation is required; 

 Communication takes place between the QA/QC Steering Committee and QA/QC 

Unit about current quality assurance activities and projects; 

 There is an annual review of the Quality Management Plan with the QA/QC 

Steering Committee. 

1.4.2 Line Management and Staff Authority 

1.4.2.1 ADEQ Director 

The ADEQ Director has overall responsibility for ADEQ’s QA Program as outlined in EPA 

Order 5360.1 A2. More specifically, the ADEQ Director is responsible for ensuring that QA is 

an identifiable activity having adequate resources allocated for the accomplishment of the 

mission’s goals for ADEQ’s centralized Programs as well as its satellite (Northern and Southern) 

regional offices. These goals include providing the resources for the collection of the right type, 

quantity, and quality of data for all in-house and external projects. 

1.4.2.2 ADEQ QA/QC Steering Committee 

The Steering Committee has responsibility for oversight of ADEQ’s quality systems, and the 

general direction of the QA/QC Program. The QA/QC Steering Committee, comprised of 

representatives from all three of the Program Divisions and the QA/QC Unit Supervisor, meet on 

a monthly basis for review and update of the QMP and to establish agency wide consistency for 

QA/QC practices. Other functions of the Steering Committee are examining, and auditing, 

environmental data collection procedures. Division representatives of the Steering Committee 

have the responsibility of communicating Steering Committee activities to their Division 

Director, as well as staying apprised of the QA activities within their Division, with the purpose 

of acting as a liaison between the Committee and their Divisions. These duties are driven by the 

common goal of continual improvement of the Quality Management System. 

1.4.2.3 QA Division Representatives 

All Program Divisions: Air, Water, and Waste, shall assign a representative that assists with the 

QA efforts within the Division. QA representatives serve on the QA/QC Steering Committee and 

work with the QA/QC Unit Supervisor in writing and implementing QAPrPs within their 

prospective Divisions. Other duties include identifying projects that require QAPjPs, SOPs, 

and/or audits and coordinating with Unit and Section Managers in designating personnel for 

reviewing QA documents and scheduling audits. Responsibility lies with the Division QA 

representatives to coordinate third party, autonomous, review and approval of Quality Assurance 

documents by the QA/QC Unit Supervisor, qualified appropriate personnel within their Division 

but removed from the project, or themselves. This review process should not be conducted by 

Unit Managers for their own projects. With concurrence from either the QA/QC Unit Supervisor 
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or the Project/Case Manager, the QA/QC representatives have the ability to halt projects in the 

event of significant QA deviations. QA/QC representatives perform the duties necessary for QA 

oversight of their Division, and are trained to approve QA documents in accordance with QA/QC 

Unit guidelines. 

1.4.2.4 ADEQ Division Directors: 

The Division Directors have the overall responsibility for managing the QA Program within their 

organization in accordance with the ADEQ QMP. The Directors are specifically responsible for 

ensuring that adequate resources are provided to support ADEQ QA/QC Program 

responsibilities. 

1.4.2.5 ADEQ Section Managers: 

Section Managers must ensure that: 

$ Whenever environmental measurements are to occur the division QA/QC 

Representative is designated to coordinate with and participate as a member of 

ADEQ’s QA/QC Steering Committee, and work with the QA/QC Unit 

Supervisor, tasked with implementing the ADEQ Quality Management System 

$ All ADEQ environmental data collection activities include appropriate planning 

and documentation regarding data quality objectives (DQOs), quality assurance 

Program plans (QAPrPs), quality assurance project plans (QAPjPs) and standard 

operating procedures (SOPs); 

$ ADEQ site-specific QAPjPs are written by Program personnel, contractors, or 

other responsible parties, and approved by appropriate Division personnel, or by 

ADEQ’s QA/QC Unit if requested, to ensure effective implementation for 

projects that generate environmental data; 

$ Deficiencies identified in audits are corrected expeditiously; 

$ Program-specific QA-related training needs are identified. 

Section Managers may delegate tasks of ensuring appropriate QA/QC procedures to Unit 

Managers, but approval of QA documents shall be completed by an autonomous third party. 

1.4.2.6 ADEQ Project/Case Managers: 

Project/Case Managers may be assigned the responsibility for specific projects supported 

through contracts, grants, or interagency service agreements (ISAs). ADEQ’s QA requirements 

shall be followed for those internal activities, and external projects which generate 

environmental data. In addition to ADEQ’s QMP, the relevant QA requirements for external 

projects are specified in 40 CFR 30 and 31, and 40 CFR 15. The ADEQ Project/Case Manager 

has the principal responsibility for ensuring that project data quality objectives are met. 
15 

Paramount among those requirements is that, when indicated, an approved Quality Assurance 

Project Plan (QAPjP) is established prior to initiating any data collection efforts. 

ADEQ Project/Case Managers must ensure that: 

$ All projects needing a QAPjP are identified, and that the QAPjPs are written, and 

approved prior to environmental data collection activities, as specified in section 

2.2; 

$ Data Quality Objectives (DQOs), specifications, and acceptance criteria for 

projects have been prepared by the Program, and approved by an appropriate 

person, prior to data collection activities, as specified in section 2.2; 

$ They are available to participate in conducting QA system/performance audits of 

projects, as necessary, with ADEQ’s QA/QC Unit Supervisor; 

$ Appropriate corrective action is taken if indicated in the audit findings; 

$ Unresolved data quality problems are reported to ADEQ’s QA/QC Unit 

Supervisor and designated Program staff. 

1.5 COMMUNICATIONS 

To be effectively implemented, the QMP must not only be approved, circulated, and regularly 

updated, but it must also be understood by those responsible for its implementation. Two 

strategies will be used to ensure that this occurs. ADEQ’s QA/QC Unit Supervisor will keep 

Division and Agency Management apprised of QA issues as new information, policies, or other 

QA procedures develop. ADEQ’s QA/QC Unit will arrange for training on an on-going basis in 

order to ensure that personnel responsible for QA functions understand QA requirements and 

practices related to their responsibilities. 

Having an accurate and up to date QMP is essential for implementing an effective Quality 

System. Minor Changes of the QMP will be implemented on a yearly basis through an annual 

internal review process, as detailed in section 9.1, which in turn will be submitted to EPA Region 

IX for record keeping. The life-span of any QMP is five years; therefore at that time a 

comprehensive review will be conducted, and a revised QMP will be submitted to EPA Region 

IX for approval. It is the intent of ADEQ’s Quality System to continually document changes in 

the QMP so when a comprehensive review is required, revision and concurrence should involve 

minimal efforts.