Attachment G

ADEQ AAS AFL-Pb-002 SOPAttachment H

ADEQ AAS FCC-003 SOPAir 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 R EVIEW OF P IMA C OUNTY L AB P B DATA FILES AND AMU INSTRUMENT FILES .................................................................2 5.2 R EFORMATTING DATA FILES TO AAAD FORMAT

................................................................................................................. 4 7 8 10 14 5.3 L OADING THE DATA INTO AAAD

............................................................................................................................... ........... 5.4 V ERIFY DATA LOADED INTO AAAD CORRECTLY

. ................................................................................................................ 5.5 P ROMOTING D ATA TO QA L EVEL 3

............................................................................................................................... ..... 5.6 E XIT FCC QA V ALIDATION SCREEN ( RED DOOR ).

.............................................................................................................ADEQ Air Assessment Data Management & Quality Assurance Unit SOP NUMBER
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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. AM U 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”.ADEQ Air Assessment Data Management & Quality Assurance Unit SOP NUMBER
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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 μ g/m 3 ? 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.ADEQ Air Assessment Data Management & Quality Assurance Unit SOP NUMBER
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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.ADEQ Air Assessment Data Management & Quality Assurance Unit SOP NUMBER
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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.ADEQ Air Assessment Data Management & Quality Assurance Unit SOP NUMBER
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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?ADEQ Air Assessment Data Management & Quality Assurance Unit SOP NUMBER
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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.ADEQ Air Assessment Data Management & Quality Assurance Unit SOP NUMBER
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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.ADEQ Air Assessment Data Management & Quality Assurance Unit SOP NUMBER
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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.ADEQ Air Assessment Data Management & Quality Assurance Unit SOP NUMBER
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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 Data Management & Quality Assurance Unit SOP NUMBER
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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.ADEQ Air Assessment Data Management & Quality Assurance Unit SOP NUMBER
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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.ADEQ Air Assessment Data Management & Quality Assurance Unit SOP NUMBER
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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.ADEQ Air Assessment Data Management & Quality Assurance Unit SOP NUMBER
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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.ADEQ Air Assessment Data Management & Quality Assurance Unit SOP NUMBER
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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 10-042 

### ARIZONA DEPARTMENT OF ENVIRONMENTAL QUALITY QUALITY MANAGEMENT PLAN

Approval and Concurrences3 

### 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 D OCUMENT P URPOSE

............................................................................................................................... ................. 2 1.1.2 D EFINITION OF Q UALITY A SSURANCE /Q UALITY C ONTROL (QA/QC) ...................................................................... 2 1.1.3 I MPORTANCE OF QA/QC TO ADEQ.......................................................................................................................... 3 1.1.4 G ENERAL G OALS AND O BJECTIVES OF THE ADEQ................................................................................................... 4 1.1.5 R ESOURCES FOR THE QA S YSTEM ............................................................................................................................ 6 1.2 SCOPE OF THE QUALITY MANAGEMENT PLAN ....................................................................................... 6 1.2.1 T YPES OF A CTIVITIES S PECIFICALLY C OVERED BY THE ADEQ QMP....................................................................... 7 1.2.3 T ECHNICAL A CTIVITIES N OT C OVERED BY THE ADEQ QMP................................................................................. 11 1.3 ADEQ ORGANIZATIONAL STRUCTURE .................................................................................................... 11 1.4 ROLES AND RESPONSIBI LITI ES............................................................................................................... .... 12 1.4.1 ADEQ QA/QC U NIT S UPERVISOR A UTHORITY ..................................................................................................... 12 1.4.2 L INE M ANAGEMENT AND S TAFF A UTHORITY ........................................................................................................ 13 1.4.2.1 ADEQ D IRECTOR

............................................................................................................................... ................... 13 1.4.2.2 ADEQ QA/QC S TEERING C OMMITTEE .................................................................................................................. 13 1.4.2.3 QA D IVISION R EPRESENTATIVES ........................................................................................................................... 13 1.4.2.4 ADEQ D IVISION D IRECTORS : .............................................................................................................................. .. 14 1.4.2.5 ADEQ S ECTION M ANAGERS :.............................................................................................................................. ... 14 1.4.2.6 ADEQ P ROJECT /C ASE M ANAGERS :....................................................................................................................... 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 Q UALITY M ANAGEMENT P LAN (QMP)................................................................................................................... 17 2.2.2 Q UALITY A SSURANCE P ROGRAM P LANS (QAP R P)................................................................................................. 17 2.2.3 D ATA Q UALITY O BJECTIVES (DQO) ...................................................................................................................... 18 2.2.4 Q UALITY A SSURANCE P ROJECT P LANS (QAP J P).................................................................................................... 19 2.2.5 Q UALITY A SSURANCE (QA) S TATUS R EPORTS ....................................................................................................... 20 2.2.6 S TANDARD O PERATING P ROCEDURES (SOP).......................................................................................................... 20 2.2.7 T ECHNICAL S YSTEMS A UDIT (TSA) ....................................................................................................................... 21 2.2.8 M ANAGEMENT S YSTEM R EVIEWS (MSR)............................................................................................................... 21 2.2.9 C ORRECTIVE A CTIONS

............................................................................................................................... ............. 21 2.3 OPTIONAL PRACTICES FOR THE CONTROL OF DATA COLLECTI ON ............................................. 21 2.3.1 F IELD A UDITS

............................................................................................................................... .......................... 21 2.3.2 L ABORATORY A UDITS

............................................................................................................................... ............. 22

CHAPTER 3 PERSONNEL QUALIFICATIONS AND TRAINING 23

3.1 POLICY FOR QUALITY ASSURANCE (QA) RELATED TRAINING ........................................................ 23 3.1.1 R ESPONSIBILITIES

............................................................................................................................... .................... 23 3.1.2 I DENTIFICATION OF T RAINING N EEDS ..................................................................................................................... 235 3.1.3 I MPLEMENTATION OF T RAINING R EQUIREMENTS ................................................................................................... 23 3.1.4 D OCUMENTATION OF T RAINING .............................................................................................................................. 2 4

CHAPTER 4 PROCUREMENT OF ITEM S 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 L ABORATORY L ICENSURE R EQUIREMENTS ............................................................................................................. 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 RE CORDS 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 R EQUIREMENTS FOR F IELD D OCUMENTATION ........................................................................................................ 34 5.6 MAINTAINING DOCUMENT INTEGRITY ................................................................................................... 34

CHAPTER 6 INFORMATION TECHNOLOGY (I T) AND DATA MANAGEMENT 36

6.1 MANAGEMENT PRACTICES FOR ENVIRONMENTAL DATA................................................................ 36 6.1.1 D ATABASE D EVELOPMENT : .............................................................................................................................. ...... 36 6.1.1.2 S YSTEMS DEVELOPMENT PLANNING ....................................................................................................................... 37 6.1.2 D ATA Q UALITY AND D ATA I NTEGRITY ................................................................................................................... 37 6.1.2.1 D ATA Q UALITY : .............................................................................................................................. ....................... 37 6.1.2.2 D ATA I NTEGRITY :.............................................................................................................................. ..................... 37 6.1.3 E STABLISHING BACK UP AND ARCHIVING PROCEDURES .......................................................................................... 39 6.2 INFORMATION MANAGEMENT PLAN........................................................................................................ 39 6.3 ELECTRONIC DATA INTERCHAN GE (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 I NTERNAL S TRATEGIC P LANNING ........................................................................................................................... 43 7.1.2 E TERNAL S TRATEGIC P LANNING ............................................................................................................................ 43 7.1.3 E XTERNAL D ATA C OORDINATION .......................................................................................................................... 43 7.2 PROGRAM-SPECIFIC PLANNING................................................................................................................. 44 7.3 PROJECT-LEVEL PLANNING ....................................................................................................................... . 44 7.3.1 O N -S ITE M ONITORING

............................................................................................................................... ............. 45 7.3.2.1 S AMPLE S CHEDULING

............................................................................................................................... .............. 466 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 D IVISIONAL Q UALITY A SSURANCE P ROGRAM P LANS ............................................................................................. 49 8.2 PROGRAM LEVEL IMPLEMENTA TION...................................................................................................... 50 8.2.1 O PERATING P OLICIES AND P ROCEDURES ................................................................................................................ 50 8.3 PROJECT LEVEL IMPLEMENTATION ........................................................................................................ 50 8.3.1 Q UALITY A SSURANCE P ROJECT P LAN I MPLEMENTATION ....................................................................................... 50 8.3.2 S TANDARD O PERATING P ROCEDURES (SOP S ) ........................................................................................................ 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 M ANAGEMENT S YSTEM R EVIEWS (MSR S ) ............................................................................................................. 53 9.2.1.1 R EVIEW ADEQ Q UALITY A SSURANCE P ROGRAMS ................................................................................................ 55 9.2.2 T ECHNICAL S YSTEMS A UDITS (TSA S ).................................................................................................................... 55 9.2.2.1 L ABORATORY TSA S

............................................................................................................................... ................ 56 9.2.2.2 F IELD TSA S

............................................................................................................................... ............................. 56 9.3 PERFORMANCE EVALUATIONS .................................................................................................................. 56 9.4 DATA QUALITY EVALUATIONS ................................................................................................................... 5 7 9.4.1 D ATA Q UALITY A SSESSMENTS (DQA S ) ................................................................................................................. 57 9.4.2 D ATA Q UALITY A UDITS

............................................................................................................................... ........... 58

CHAPTER 10 QUALITY IMPROVEMENT 59

10.1 PROGRAM REVIEWS ........................................................................................................................ ............... 59 10.2 PROJECT REVIEWS ........................................................................................................................ ................. 60

TERMS AND DEFINITIONS 61

APPENDICES

ADEQ T EMPERATURE /P RESERVATION G UIDANCE P OLICY ADEQ P OLICY 0154

- A DDRESSING S PIKE AND S URROGATE R ECOVERY A S T HEY R ELATE TO M ATRIX E FFECTS
IN W ATER , A IR , S LUDGE , AND S OIL M ATRICES ADEQ P OLICY 0170

– I MPLEMENTATION OF EPA M ETHOD 5035

- S OIL P REPARATION FOR EPA M ETHODS 8015B, 8021B, AND 8260B A RIZONA D ATA Q UALIFIERS

– R EVISION 3 (0 9/20/2007)1 

## Arizona Department of Environmental Quality Quality Assurance/Quality Control Unit FOREWORD

Arizona Department of Environmen tal Quality (ADEQ) is committed to the Health and Safety of all of Arizona’s citizens. The h ealth 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 sy stem 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 S ection 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 standa rdizing protocols. The QA/QC Unit Supervisor will coordinate the activ ities of the QA/QC Steering Committee, which is made up of the QA/QC Unit Supervisor and repr esentatives from each of the Divisions. As a group, the QA/QC Steering Committee will continua lly 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, wh i ch 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 St eering Committee, and with the QA/QC Unit Supervisor reporting to the Business and Ge neral/Laboratory Servi ces Section in the Administrative Services Divisi on, 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 neces sary 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 sp ecialization 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 pr oposed herein addresses th at issue by offering aid to all units when the work load 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 manage ment processes the Arizona Department of Environmental Quality (ADEQ) us es to maintain a Quality Management System consistent with U.S. Environmental Protection Agency (E PA) requirements. The quality system supporting ADEQ Programs involving e nvironmental 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 environmenta l 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, entit led 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 syst em 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 tec hnical activities that meas ures the attributes and performance of a process, item, or service against defined standards to verify that they meet the stated requirements established by th e 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 Supe rvisor oversight responsibilities (oversight authority may be delegated to the Programs); 5. Periodic Management Systems Reviews (M SRs) and Technical System Audits (TSAs) coordinated through the ADEQ QA/QC Unit; 6. A QA forum, comprised of the QA/QC St eering Committee, to focus continuous improvement efforts; 7. Appropriate documentation and record keep ing for all data related activities.

Each of these systems is discussed in more detail in the appropriate secti on within this document. This document officially establishes th ese requirements as components of ADEQ ’s Quality3 Management System.

Quality Control (QC) is largely implemented at the Program level through Quality Assurance Program Plans (QAPrPs). Each Division has uni que requirements, statut ory guidelines, rules, and policies that must be followed. Program Pl ans should incorporate the unique qualities that are specific to each Division or Program. Cons equently 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 assessme nt activities. Designated Agency Project or Case Managers, through a review and approval process involving the ADEQ QA/QC Unit, are individually responsible for assu ring 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; es tablishing strategic di rection; targeting inspections; measuring compliance; identifying enforcement actions; measuring progress and trends; certifying laboratories; a nd for many other uses. Environm ental 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 s ound 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 su ccessfully 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 lake s, streams, soil, groundwater, and air quality;



##  Identifying and quantifying the presence of environmental contaminants in areas of potential exposure to huma ns or the environment;



##  Verifying the effectiveness of technique s and methods by which data sets are collected;



##  Determining the impacts of environmen tal 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 qua lity data ensure the scientific credibility of the data on which decisions are based. Proper QA e nhances proper planning and reduces the likelihood of duplicative and re petitive 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 mee ting 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 pr ocessing activities, perf ormed 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 inte nded user to support specific decisions or actions that are appropriate for the intended purpo se. ADEQ’s Quality Management System applies to monitoring and measurement activ ities 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 qua lity 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 th roughout the entire proce ss of planning, collecting, analyzing, and interpreti ng environmental data.

The goals of ADEQ’s QA System are to:



##  Produce and use data that are of known quality, and are a cceptable 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 identificatio n of training needs;



##  Ensure that Division staff and the ADEQ QA/QC Unit Supervisor work cooperatively to identify and corr ect systemic weaknesses; and



##  Provide for continuous improvement in Agency data operations.

It is ADEQ’s policy that:

1. Programs generating, using, or requiring the co llection of environmental data will be consistent with the intentions outline d in this Quality Management Plan ( QMP ), ADEQ policies, and Standard Oper ating Procedures (SOPs).

2. The data quality objectives for generating any new environmental data will be determined prior to data collection activ ities, so that appropriate re sources and QA/QC methods can be applied to ensure a level of data quality commensurate with the intended use(s) for the5 data.

3. A comprehensive QAPrP should be used to detail activities u nder all regulatory Programs. Each Program or activity that gene rates 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 re quired 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 effo rt. Effective organizational QAPjPs and SOPs shall be developed and implemented as re quired 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 da ta quality objectives (DQOs) or existing regulatory levels. DQOs need to be clearly stated with each indi vidual project, but are often predetermined by regulatory criteria and action levels within si milar 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 pr ovide necessary support and technical authority for any ADEQ da ta collection activity.

6. QAPjPs shall be prepared by the originat ing 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 uti lize 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, develope d 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 c ontractor, or ADEQ Pr oject 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, wher e 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 demonstrat ed 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 ad dressed in the Program’s QAPrP.

7. Regular technical systems audits (TSAs) may be conducted by ADEQ’s QA/QC Unit6 Supervisors for ADEQ projects involving envi ronmental 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 measur ement system to criteria defined by ADEQ. Additionally, ADEQ’s Quality Management Pl an may involve periodic Management Systems Reviews (MSRs) of Program QA System s. Deficiencies highlighted in these assessments will be addressed in a time ly manner as defined in section 9.2.1.

8. The requirements of the QMP may be waiv ed 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 re quirement will be waived. For sites which are under the ju risdiction of EPA Region IX, or if the project is supported by EPA funds, the request for a waiver mu st 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 require ment 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 a ssociated 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 a nd data generation. This includes all monitoring activities. The level of QA resources needed fo r any given Program or project is determined initially by the relevant Program or project/case manager.

ADEQ provides in-house and cont racted expertise in quality assurance and technical support services to all Program s within ADEQ. These support servic es include data quality assessments, data validation, and other evaluations provided by ch emists, toxicologists, engineers, and others. Personnel that provide thes e services are located e ither within ADEQ itself, or within other State agencies such as the Arizona Depart ment of Health Services (ADHS).

1.2 SCOPE OF THE QUALITY MANAGEMENT PLAN

ADEQ’s QMP is intended to establish the founda tion for implementing an effective QA Program within ADEQ and cover, at a minimum, intern al and external activity which involve the generation of environmental data for Programs fu nded by EPA or other sources. At a minimum, the QMP applies to ADEQ Programs, activities, gr ants, contracts, and interagency agreements that generate environmental data which is used to make decisions or su pport 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 ch emical, physical, or biological factors relating to the environmen t. Therefore, any Programs, ac tivities, etc., which generate such data are required to comply with the requirements of this QMP.7 1.2.1 Types of Activities Specifi cally Covered by the ADEQ QMP

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

1. Data generated by field samp ling and laboratory analysis; 2. Data generated and used for design, c onstruction, and operatio n of engineered remediation/treatment systems; 3. Data acquired from sources outside ADE Q 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 EP A 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 AD EQ QA Unit, is responsible for ensuring that the State complies with all rele vant EPA QA requirements.

Since ADEQ employs a primarily decentralized approach to quality management, each ADEQ Division is responsible for determining the spec ific 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 Unit8 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 Unit9 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 Unit10 1.2.2 Data Generated by Field Samp ling and Laboratory Analysis

Some examples of activities covered under the ADEQ QMP are the generation of environmental data, including field work, where chemical, physi cal, or biological samples are collected for analysis; the collection of in situ measuremen ts; 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 abse nce of pollutants or contaminants;



##  Determination of contaminant concentrati on levels of various sample fractions;



##  Determination of sources of contamination;



##  Delineation of horizontal a nd 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 mon itor changes and evaluate progress;



##  Evaluate compliance with environmental st atutes, rules, and permit requirements;



##  Analyses of geotechnical parameters.

The above sampling activities may be conduc ted for site charact erization, for ongoing monitoring Programs, or during re mediation 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 con ducted 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 po rtion 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 cate gory include collecting media sa mples in the field, observing and recording field observations, performing an alyses in the field and in field (mobile) laboratories, and analyzing samples in fixed la boratory settings. Examples of media include solid or liquid waste, fluid discharges or em issions, groundwater, surface water, soil, sediment, air, and biota. Measurements include physical measurements and observations made in the field such as flow rates, water leve ls, particle sizes, geological matr ices, etc. Biological monitoring and sampling activities such as habitat eval uation, species identif ication, 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, me thods of analyses, methods of transportation, and methods of documentation fo r each of these activities.11 1.2.3 Technical Activities Not Covered by the ADEQ QMP

Two types of data collection activities that ar e generally not covered by the QMP are indicated and clarified below:

1. Data collected only for safety or wor kplace regulations are not covered in the QMP. However, if the same data are us ed to identify hot s pots for subsequent investigation the collection is covered by the QMP.

2. Collection of employee medical monitori ng data are generally not covered under the QMP. However, if the data are used to determine risk factors related to work exposure it would ge nerally be covered.

1.3 ADEQ ORGANIZATIONAL STRUCTURE

ADEQ employs a decentralized approach to QA management, where by each Division and Regional Office is responsible for deciding how they will specifically implement the general policies and procedures of this QMP. Th e ADEQ Director has de legated day-to-day responsibility for overseeing the Quality Ma nagement Plan to ADEQ’s QA/QC Steering Committee, chaired by the QA/QC Unit Supervis or. 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 Serv ices Section of the Administrative Services Divi sion for reasons of autonomy.

The Leadership Team is that group of ADEQ Ma nagement assembled and under the direction of ADEQ’s Director who are charged with the po licy 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 Servi ces Directors; Northern and Southern Regional Directors; Communications Officer; and ADEQ Admini strative 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 independ ence in both location and function from any offices or Programs which generate environmenta l 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 Administ rative Services Division. ADEQ’s QA/QC Unit provides support to each of the three ADEQ Di visions that generate environmental data, functions as the Agency technical QA expert, and assists with a va riety 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 i ndirectly involved with environmental data collection or laboratory analyses has some res ponsibility for ensuring data quality. This may include staff level personnel, Program supervisors, unit mana gers, section managers, Deputy Division Directors, Division Dire ctors, the ADEQ Deputy Director and the ADEQ Director. The following is an overview of the QA re sponsibilities of some ADEQ personnel:

1.4.1 ADEQ QA/QC Unit Supervisor Authority

ADEQ’s QA/QC Unit Supervisor has the author ity 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 th e ADEQ QA/QC Unit Superv isor and Project/Case Manager are unable to resolve QA issu es at the staff level, those concerns shall be elevated to the appropriate ADEQ Section Manager or Director. The St eering Committee can be called to meet at times other than regular sc heduled QA/QC meetings to reso lve data collection issues.

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



##  All internal and external projects involv ing 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 requir ed to implement QA management requirements are identified and provided;



##  Laboratory audits are perfor med, and analytical data ar e validated, as necessary;



##  Formal reviews and assessments of QA a nd QC activities are coordinated and the report of findings is prepared and fo rwarded 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 proce dures are distributed as appropriate;



##  ADEQ training needs are assessed; trai ning 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 syst em audits (TSAs) ] is performed to13 assess compliance with ADEQ QA require ments for monitoring and evaluating overall project implementation;



##  QAPjPs specifically address the techni cal adequacy of DQOs, when such documentation is required;



##  Communication takes place between the QA/QC Steering Committee and QA/QC Unit about current quality assura nce activities an d projects;



##  There is an annual review of the Qual ity 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 Dir ector 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 al l in-house and external projects.

1.4.2.2 ADEQ QA/QC Steering Committee

The Steering Committee has responsibility for ov ersight of ADEQ’s quality systems, and the general direction of the QA/QC Program. The QA/QC Steering Comm ittee, comprised of representatives from all three of the Program Divisions and th e 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. Di vision representatives of the Steering Committee have the responsibility of communicating St eering Committee activities to their Division Director, as well as staying appr ised of the QA activities within their Division, with the purpose of acting as a liaison between th e 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, sha ll assign a representative that assists with the QA efforts within the Division. QA representati ves serve on the QA/QC Steering Committee and work with the QA/QC Unit Supervisor in wr iting and implementing QAPrPs within their prospective Divisions. Other duties include identifying project s 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 th ird party, autonomous, review a nd approval of Quality Assurance documents by the QA/QC Unit Supervisor, qualifie d 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 conc urrence from either the QA/QC Unit Supervisor14 or the Project/Case Manager, the QA/QC representa tives have the ability to halt projects in the event of significant QA deviations. QA/QC repr esentatives 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 Divisi on Directors:

The Division Directors have th e overall responsibility for mana ging the QA Program within their organization in accordance with the ADEQ QMP. Th e 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 measuremen ts are to occur the division QA/QC Representative is designated to coordina te with and particip ate 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 ap propriate planning and documentation regarding data qualit y objectives (DQOs), quality assurance Program plans (QAPrPs), quality assuran ce 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 aud its are corrected expeditiously;

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

Section Managers may delegate tasks of en suring 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 re sponsibility for specifi c projects supported through contracts, grants, or interagency serv ice agreements (ISAs). ADEQ’s QA requirements shall be followed for those internal activ ities, and external projects which generate environmental data. In addition to ADEQ’s QM P, 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 identif ied, and that the QAPjPs are written, and approved prior to environmental data collect ion activities, as specified in section 2.2;

$ Data Quality Objectives (DQOs), sp ecifications, and accep tance criteria for projects have been prepared by the Pr ogram, and approved by an appropriate person, prior to data collection activi ties, as specified in section 2.2;

$ They are available to participate in c onducting QA system/performance audits of projects, as necessary, with ADEQ’s QA/QC Unit Supervisor;

$ Appropriate corrective action is take n 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, circ ulated, and regularly updated, but it must also be understood by thos e 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 th eir responsibilities.

Having an accurate and up to date QMP is e ssential for implementing an effective Quality System. Minor Changes of the QMP will be im plemented on a yearly basis through an annual internal review process, as de tailed 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; th erefore 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 re quired, revision and concurrence should involve minimal efforts.