ASTM D5283-18

This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the
Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
Designation: D5283 − 18
Standard Practice for
Generation of Environmental Data Related to Waste
Management Activities: Quality Assurance and Quality
Control Planning and Implementation
This standard is issued under the fixed designation D5283; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope words“must,”“shall,”“may,”and“should”havebeenselected
carefully to reflect the importance placed on many of the
1.1 Environmental data generation efforts are composed of
statements made in this practice.
fourparts:(1)establishmentofdataqualityobjectives(DQOs);
1.5 This standard does not purport to address all of the
(2) design of field measurement and sampling strategies and
safety concerns, if any, associated with its use. It is the
specification of laboratory analyses and data acceptance crite-
responsibility of the user of this standard to establish appro-
ria;(3)implementationofsamplingandanalysisstrategies;and
priate safety, health, and environmental practices and deter-
(4) data quality assessment. This practice addresses the plan-
mine the applicability of regulatory limitations prior to use.
ning and implementation of the sampling and analysis aspects
1.6 This international standard was developed in accor-
of environmental data generation activities (Parts (1) and (2)
dance with internationally recognized principles on standard-
above).
ization established in the Decision on Principles for the
1.2 This practice defines the criteria that must be considered
Development of International Standards, Guides and Recom-
to ensure the quality of the field and analytical aspects of
mendations issued by the World Trade Organization Technical
environmental data generation activities. Environmental data
Barriers to Trade (TBT) Committee.
include, but are not limited to, the results from analyses of
samples of air, soil, water, biota, waste, or any combinations
2. Referenced Documents
thereof.
2.1 ASTM Standards:
1.3 Adoption of a quality assurance project plan (QAPP)
D1129 Terminology Relating to Water
containing the goals, policies, procedures, organizational
D5681 Terminology for Waste and Waste Management
responsibilities, evaluation and reporting requirements, and
E1187 Terminology Relating to Conformity Assessment
other attributes of a quality management system including
(Withdrawn 2006)
statement of DQOs should be adopted prior to application of
2.2 U.S. Environmental Protection Agency Documents:
this practice. Data generated in accordance with this practice
SW-846 Test Methods for Evaluating Solid Waste, Vol 1,
are subject to a final assessment to determine whether the
Third Edition (NTIS No. PB88239223/LL), November
DQOs were met through application of quality control (QC)
procedures that produce data that are scientifically valid for the
EPA/QAMS Development of Data Quality Objectives, De-
purposes to which the data are intended. For example, many
scription of Stages I and II, July 16, 1986
screening activities do not require all of the mandatory quality
EPA QA/R-2 EPA Requirements for Quality Management
assurance (QA) and quality control (QC) steps found in this
Plans, March 2001
practice to generate data adequate to meet the project DQOs.
EPAQA/R-5 EPARequirements for QualityAssurance Proj-
The extent to which all of the requirements must be met
ect Plans, March 2001
remains a matter of technical judgement as it relates to the
established DQOs.
1.4 This practice presents extensive management require-
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
ments designed to ensure high-quality environmental data.The
contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
Standards volume information, refer to the standard’s Document Summary page on
This practice is under the jurisdiction of ASTM Committee D34 on Waste the ASTM website.
Management and is the direct responsibility of Subcommittee D34.01.01 on The last approved version of this historical standard is referenced on
Planning for Sampling. www.astm.org.
Current edition approved May 1, 2018. Published May 2018. Originally Available from U.S. Government Printing Office, Superintendent of
approved in 1992. Last previous edition approved in 2009 as D5286 – 92 (2009). Documents, 732 N. Capitol St., NW, Washington, DC 20401-0001, http://
DOI: 10.1520/D5283-18. www.access.gpo.gov.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
D5283 − 18
2.3 Other documents related to the subject matter of this sample processing. The method blank must be carried through
practice are cited in Appendix X1. This list is not intended to the complete sample preparation and analytical procedure and
be comprehensive. is used to document contamination resulting from the analyti-
cal process.
3. Terminology
3.2.13 project—single or multiple data collection activities
that are related through the same planning sequence.
3.1 Definitions—Terms applicable to this practice are de-
fined in Terminologies D1129, D5681, and E1187.
3.2.14 project planning documents—all documents related
to the definition of the environmental data collection activities
3.2 Definitions of Terms Specific to This Standard:
associated with a project.
3.2.1 background sample—a sample taken from a location
on or proximate to the site of interest and used to document
3.2.15 quality assurance program plan (QAPP)—an orderly
baseline or historical information. assemblageofmanagementpolicies,objectives,principles,and
general procedures by which an organization involved in
3.2.2 collocatedsamples—independentsamplescollectedas
environmentaldatagenerationactivitiesoutlineshowitintends
close as possible to the same point in space and time and
to produce data of known quality.
intended to be identical.
3.2.16 quality assurance project plan (QAPjP)—an orderly
3.2.3 environmental data generation activity—tasks associ-
assemblage of detailed procedures designed to produce data of
ated with the production of environmental data, including
sufficient quality to meet the DQOs for a specific data
planning, sampling, and analysis.
collection activity.
3.2.4 equipment rinsate (equipment blank)—a sample of
3.2.17 reference material—a material containing known
analyte-free media that has been used to rinse the sampling
quantities of target analytes in either solution or a homoge-
equipment. This blank is collected after the completion of
neous matrix and used to document the bias of the analytical
decontamination and prior to sampling, and is useful for
process.
assessing sampling equipment decontamination effectiveness.
3.2.18 split samples—aliquots of sample taken from the
3.2.5 field blank—a sample of analyte-free media similar to
same container and analyzed independently. These are usually
the sample matrix that is transferred from one vessel to another
taken after mixing or compositing and are used to document
or exposed to the sampling environment at the sampling site.
intra- or interlaboratory precision.
This blank is preserved and processed in the same manner as
the associated samples and is used to document contamination 3.2.19 standard addition—the practice of adding a known
amountofananalytetoasampleimmediatelypriortoanalysis,
in the sampling and analysis process.
typically used to evaluate matrix effects.
3.2.6 field duplicates—collocated samples that are analyzed
3.2.20 standard operating procedures (SOPs)—the estab-
independently and are useful in documenting the precision of
the sampling and analytical process. lished written procedures of a given organization for perform-
ing sampling, analyses, data management, etc. Special project
3.2.7 laboratory control sample—a known matrix spiked
plans may require procedures different from established SOPs.
with compound(s) representative of the target analytes and
3.2.21 surrogate—an organic compound that is similar to
used to document laboratory performance.
the target analyte(s) in chemical composition and behavior in
3.2.8 material blank—a sample composed of construction
the analytical process, but is not normally found in samples.
materials such as those used in well installation, well
3.2.22 trip blank—a sample of analyte-free media taken
development, pump and flow testing, and slurry wall construc-
from the laboratory (or appropriate point of origin) to the
tion. Examples of these materials are bentonite, sand, drilling
sampling site and returned to the laboratory unopened. A trip
fluids, and source and purge water. This blank documents
blank is used to document the contamination attributable to
possiblecontaminationresultingfromuseoftheseconstruction
shipping and field handling procedures, and is also useful in
materials.
documenting contamination of volatile organics samples.
3.2.9 matrix duplicate—an intralaboratory split sample used
to document the precision of a procedure in a given sample
4. Summary of Practice
matrix.
4.1 Thispracticedescribesthecriteriaandactivitiesforfield
3.2.10 matrix spike—an aliquot of sample spiked with a
and laboratory organizations involved in generating environ-
known concentration of target analyte(s) and used to document
mental data in terms of human and physical resources, QAand
the bias of an analytical process in a given sample matrix. The
QCprocedures,anddocumentationrequirementsasperproject
spiking occurs prior to sample preparation and analysis.
or program DQOs.
3.2.11 matrix spike duplicates—intralaboratory split
5. Significance and Use
samples spiked with identical concentrations of target ana-
5.1 Environmental data are often required for making regu-
lyte(s) and used to document the precision and bias of a
procedureinagivensamplematrix.Thespikingoccurspriorto latory and programmatic decisions. These data must be of
known quality commensurate with their intended use.
sample preparation and analysis.
3.2.12 method blank—an analyte-free media, to which all 5.2 Data generation efforts involve the following: establish-
reagents are added in the same volumes or proportions used in ment of the DQOs; design of the project plan to meet the
D5283 − 18
DQOs; implementation of the project plan; and assessment of 6.3.5.1 Field Quality Control—The types and frequency of
the data to determine whether the DQOs have been met. field QC samples to be collected, including field blanks, trip
blanks, equipment rinsates, field duplicates, background
5.3 Certain minimal criteria must be met by the field and
samples, reference materials, material blanks, and split
laboratory organizations generating environmental data. Addi-
samples, shall be specified. Control parameters for field activi-
tional activities may be required, based on the DQOs of the
ties shall also be described (see 7.6.4).
data collection effort.
6.3.5.2 Laboratory Quality Control—The types and fre-
5.4 This practice defines the criteria for field and laboratory
quency of use of laboratory QC samples, such as laboratory
organizations generating environmental data and identifies
control samples, laboratory blanks, matrix spikes, matrix
some other activities that may be required based on the DQOs.
duplicates, and matrix spike duplicates, shall be specified.Any
5.5 This practice emphasizes the importance of communi-
specific performance criteria shall be specified. Data validation
cation among those involved in establishing DQOs, planning
criteria shall be defined.
and implementing the sampling and analysis aspects of envi-
6.4 Project Documentation—All documents required for
ronmentaldatagenerationactivities,andassessingdataquality.
planning, implementing, and evaluating the data collection
5.6 Environmental field operations are discussed in Section
effort shall be specified. These may include, although not
7, and environmental laboratory operations are discussed in
limited to, a statement of work, technical and cost proposals,
Section 8.
work plan, sampling and analysis plan, quality assurance
project plan (QAPjP), health and safety plan, community
6. Project Specification
relations plan, documents required by regulatory agencies,
6.1 Project activities should be defined prior to the start of requirements for raw field and analytical records, technical
any field or laboratory activities. At a minimum, project reports assessing the environmental data, and records retention
specifications should address the following topics:
policy. Planning documents shall specify the required level of
document control and identify the personnel having access.
6.2 Data Quality Objectives—DQOs for the data generation
Document formats that may be required to ensure that all data
activity should be defined prior to the initiation of field and
needs are satisfied shall be specified. In addition, a project
laboratory work. It is desirable that the field and laboratory
schedule that identifies critical milestones and completion
organizations be aware of the DQOs so that the personnel
dates should be available.
conducting the work are able to make informed decisions
during the course of the project.
7. Standard Practices for Environmental Field
6.3 Project Plan—The project should be designed to meet
Operations
the DQOs, and the project plan should define the following:
7.1 Purpose—The field organization must conduct its op-
6.3.1 Project Objectives—Project objectives provide back-
erations in such a manner as to provide reliable information
ground information, state reasons for the data collection effort,
that meets the DQOs. To achieve this goal, certain minimum
identify any regulatory programs governing data collection,
policies and procedures must be implemented in order to meet
define specific objectives for each sampling location, and
the DQOs.
describe the intended uses for the data.
6.3.2 Project Management—Aperson(s) shall be designated
7.2 Organization—Thefieldorganizationshallbestructured
as having responsibility and authority for the following: (1)
such that each member of the organization has a clear under-
developing project documents that satisfy the DQOs; (2)
standingoftheirdutiesandresponsibilitiesandtherelationship
selecting field and laboratory organizations to conduct the
of those responsibilities to the total effort. The organizational
work; (3) coordinating communication among the field and
structure, functional responsibilities, levels of authority, job
laboratoryorganizationsandgovernmentagencies,asrequired;
descriptions, and lines of communication for activities shall be
and (4) reviewing and assessing the final data.
established and documented. One person may cover more than
6.3.3 Sampling Requirements—Sampling locations,
one organizational function.
equipment, and procedures and sample preservation and han-
7.2.1 Management—The management of the field organiza-
dling requirements shall be specified.
tion is responsible for establishing organizational, operational,
6.3.4 Analytical Requirements—The analytical procedures,
health and safety, and QA policies. Management shall ensure
analyte list, required detection limits, and required precision
that the following requirements are met: (1) the appropriate
andbiasvaluesshallbespecified.Regulatoryrequirementsand
methodologies are followed, as documented in the standard
DQOs shall be considered when developing the specifications.
operating procedures (SOPs); (2) personnel clearly understand
NOTE 1—This does not imply that the specified analytical requirements
their duties and responsibilities; (3) each staff member has
can be met.
access to appropriate project documents; (4) any deviations
6.3.5 Quality Assurance and Quality Control from the project plan are communicated to project manage-
Requirements—The QA and QC requirements shall address ment; and (5) communication occurs between the field,
both field and laboratory activities. The means for controlling laboratory, and project management, as specified in the project
false positives and false negatives shall be specified. Standard plan. Management shall foster an attitude within the organiza-
practices for field and laboratory operations as described in tion that emphasizes the importance of quality and supports
Sections 7 and 8 of this practice shall be required. implementationofthequalityassuranceprogramplan(QAPP).
D5283 − 18
7.2.2 Quality Assurance Function—The organization shall occurs, prior to transfer to the sampling site, or in designated
appoint a person or persons to be responsible for monitoring areas near the sampling site. Project documentation shall
field operations in order to ensure that the site facilities, specify where this work will be performed and how it will be
equipment, personnel, procedures, practices, and documenta- accomplished.Ifdecontaminationistobeconductedatthesite,
tion are in conformance with the organization’s QAPPand any water and solvents of appropriate purity shall be available.The
applicable QAPjP. The QA monitoring function should be method of accomplishing decontamination and the materials,
entirely separate from, and independent of, personnel engaged solvents, and water purity shall be specified in planning
in the work being monitored. The QA function shall be documents or standard operating procedures (SOPs).
responsible for the QA review, as per 7.7.
7.3.6 Waste Storage Area—Waste materials may be gener-
7.2.3 Personnel—It is the responsibility of the organization
ated during both the sampling process and on-site or in situ
to establish personnel qualifications and training requirements
analysis. Planning documents and SOPs shall outline the
for all positions. Each member of the organization shall
method for storage and disposal of these waste materials.
possess the education, training, technical knowledge, and
Adequate facilities shall be provided for the collection and
experience, or a combination thereof, to enable that individual
storage of all wastes. These facilities shall be operated so as to
to perform their assigned functions. Personnel qualifications
minimize environmental contamination. Waste storage and
shall be documented in terms of education, experience, and
disposal facilities shall comply with applicable federal, state,
training. Training shall be provided for all staff members, as
and local regulations.
necessary, so that they can perform their functions properly.
7.3.7 Data StorageArea—Planningdocumentsshallspecify
7.2.4 Subcontractors—The use of subcontractors shall not
the location of long- and short-term storage for field records.
jeopardize data quality.Therefore, subcontractors shall comply
The storage environment shall be maintained to ensure the
with the requirements of Sections 7 and 8, as appropriate to the
integrity of the data. Access shall be limited to authorized
specific task(s) they are performing.
personnel only.
7.3 Field Logistics:
7.4 Equipment and Instrumentation:
7.3.1 General—Sampling site facilities shall be examined
7.4.1 Equipment and Instrumentation—The equipment,
prior to the start of work in order to ensure that all required
instrumentation, and supplies required at the sampling site
itemsareavailable.Theactualsamplingareashallbeexamined
shall be appropriate to accomplish the activities planned. The
to ensure that trucks, drilling equipment, and personnel have
equipment and instrumentation shall meet the requirements of
access to the site. Security, health and safety, and protection of
pertinent specifications, methods, and SOPs. Before the field
theenvironmentshallbecontrolledatthesitesupportareasand
staffarrivesatthesite,alistofrequireditemsshallbeprepared
sampling site.
and checked to ensure availability at the site.
7.3.2 Field Measurements—Project planning documents
7.4.2 Maintenance and Calibration of Equipment and
shall both address the type of field measurements to be
Instrumentation—An SOP or operation and maintenance
performed and plan for the appropriate area to perform the
manual shall set forth the methods, materials, and schedules to
work. Planning documents shall address ventilation, protection
be used in the routine inspection, cleaning, maintenance,
from extreme weather and temperatures, access to stable
testing, and calibration of equipment and instrumentation used
power, and provisions for water and gases of required purity.
in performing geophysical, analytical, or in situ measurements.
Plans shall be made to identify and provide for the supply of
For common malfunctions, procedures or manuals may outline
applicable safety equipment, as specified in the project health
typical problems, methods of trouble-shooting, and possible
and safety plan.
corrective actions to be taken. Procedures shall designate a
7.3.3 Sample Handling, Shipping, and Storage Area—The
person(s) or organization responsible for maintenance and
determination of whether sample shipping is necessary shall be
calibration. Records of all inspections, maintenance, repairs,
made during project planning. This need is established by
testing, and calibration shall be maintained.
evaluatingtheanalysesrequired,holdingtimes,andlocationof
7.5 StandardOperatingProcedures—Theorganizationshall
the site and laboratory. Shipping or transporting of the samples
have written SOPs for all procedures performed routinely that
to a laboratory shall be completed in a timely manner, ensuring
affect data quality. SOPs shall be available for the following
that the laboratory is allowed sufficient time to perform its
areas and shall contain the information described:
analysis within any required holding times.
7.3.3.1 Samples shall be packaged, labeled, and docu- 7.5.1 Sample Management—These SOPs describe the num-
mented in an area that minimizes sample contamination and bering and labeling system, chain-of-custody procedures, and
provides for safe storage. The level of custody and whether tracking of samples from collection to shipment or relinquish-
sample storage is required shall be outlined in the planning ment to the laboratory. Sample management also includes the
documents. specification of holding times, volume of sample required by
the laboratory, preservatives, and shipping requirements.
7.3.4 Chemical Storage—Safe storage areas for solvents,
reagents, standards, and reference materials shall be adequate
7.5.2 Reagent and Standard Preparation—These SOPs de-
to preserve their identity, concentration, purity, and stability
scribe the procedures used to prepare standards and reagents.
prior to use.
Information should be included concerning the specific grades
7.3.5 Decontamination—Decontamination of sampling of materials used in reagent and standard preparation, appro-
equipmentmaybeperformedatthelocationatwhichsampling priate glassware and containers for preparation and storage,
D5283 − 18
labelingandrecordkeepingforstocksanddilutions,andsafety 7.5.9 Reporting—These SOPs describe the process for re-
precautions to be taken. porting field activity results.
7.5.10 Records Management—These SOPs describe the
7.5.3 Decontamination—These SOPs describe the proce-
procedures for generating, controlling, and archiving field
dures used to clean field equipment before, after, and during
records. These SOPs should describe the responsibilities for
the sample collection process. These SOPs should include the
record generation and control and the policies for record
cleaning materials used, the order of washing and rinsing with
retention, including type, time, security, and retrieval and
the cleaning materials, requirements for protecting or covering
disposal authorities. Records should include project-specific
cleaned equipment, procedures for disposing of cleaning
and field operations records.
materials, and safety considerations.
7.5.10.1 Project-specific records relate to field work per-
7.5.4 Sample Collection Procedures—SOPs for sample col-
formed for a group of samples. Project records may include
lection procedures shall describe how the procedures are
correspondence, chain of custody, field notes, all reports issued
actually performed in the field and shall not be a simple
as a result of the work, project planning documents, and
reference to standard test methods, unless a procedure is
procedural SOPs used.
performed exactly as described in the published test method. If
7.5.10.2 Field operations records document overall field
possible, industry-recognized test methods from source docu-
operations.These records may include equipment performance
mentspublishedbytheU.S.EnvironmentalProtectionAgency,
and maintenance logs, personnel files, general field SOPs, and
ASTM, U.S. Department of the Interior, National Water Well
corrective action reports.
Association, American Petroleum Institute, or other reputable
7.5.11 Waste Disposal—These SOPs describe policies and
organizations should be used. The SOP for sample collection
procedures for the disposal of waste materials resulting from
procedures should include the following information:
field operations. The disposal of all wastes must conform to
7.5.4.1 Applicability of the procedure,
federal, state, and local regulations, including those associated
7.5.4.2 Equipment and reagents required,
with the Resource Conservation and RecoveryAct, Superfund
7.5.4.3 Detailed description of the procedures to be fol-
Act Reauthorization and Amendments, Department of
lowed in collecting the samples,
Transportation, and Occupational Safety and Health Adminis-
7.5.4.4 Sample labeling, preservation, and storage,
tration.
7.5.4.5 Common problems encountered,
7.5.12 Health and Safety—These SOPs describe policies
7.5.4.6 Precautions to be taken, and
and procedures designed both to provide a safe and healthy
7.5.4.7 Health and safety considerations. working environment for field personnel and to comply with
federal and state regulations.
7.5.5 Equipment Calibration and Maintenance—These
SOPs describe the procedures used to ensure that field equip-
7.6 Field Quality Assurance and Quality Control Require-
ment and instrumentation are in working order. The SOPs
ments:
describe calibration and maintenance procedures and
7.6.1 Quality Assurance Program Plan—The field organi-
schedules, maintenance logs, service contracts or service
zation shall have a written QAPP that describes the organiza-
arrangements for equipment, and spare parts available in
tion’s QA policy. The plan shall specify the responsibilities of
house.The calibration and maintenance of field equipment and
the field management and field staff and the QAfunction in the
instrumentation should generally be in accordance with manu-
areas of QA and QC, and it shall also describe the QC
facturers’ specifications and shall be documented.
procedures followed by the organization (see EPA QA/R-2).
7.5.6 Field Measurements—These SOPs describe all meth-
7.6.2 Quality Assurance Project Plan—Some projects, par-
ods used in the field to determine a chemical or physical
ticularly those that are large or complex, require a QAPjP. The
parameter.These SOPs shall address criteria from Section8,as
QAPjPdetails the QAand QC goals and protocol for a specific
appropriate.
data collection activity to ensure that the data generated by
7.5.7 Corrective Action—These SOPs describe procedures
sampling and analysis activities are of quality commensurate
used to identify and correct deficiencies in the sample collec-
with their intended use. QAPjP elements should include a
tion process. These should include specific steps to take in
discussionofthequalityobjectivesoftheproject,identification
correcting deficiencies, such as performing additional decon-
of those involved in the data collection and their responsibili-
tamination of equipment, resampling, or additional training of
ties and authorities, enumeration of the QC procedures to be
field personnel in methods procedures. The SOP shall specify
followed, and reference to the specific SOPs that will be
that each corrective action must be documented with a descrip-
followed for all aspects of the project. Elements may be added
tion of the deficiency, the corrective action taken, reoccurrence
or removed, as required by the project or the end user of the
minimization as appropriate, and the person(s) responsible for
data (see EPA QA/R-5).
implementing the corrective action.
7.6.3 Control Samples—Control samples are QC samples
7.5.8 Data Reduction and Validation—These SOPs describe that are introduced into a process to monitor the performance
procedures used to compute the results from field measure- of the collection or analytic system, or both. Control samples,
ments and to review and validate these data. They should which may include blanks, duplicates, spikes, analytical
include all formulas used to calculate the results and proce- standards, and reference materials, can be used in different
dures used to verify independently that the field measurement phases of the overall process, beginning with sampling and
results are correct. continuing through transportation, storage, and analysis. The
D5283 − 18
types of control samples used, and the frequency of usage, are On-site evaluations may include, but are not limited to, a
dependent on the DQOs of the data collection effort and must complete review of the facilities, staff, training,
be specified for each project. instrumentation, SOPs, methods, field analysis, sample
7.6.4 Procedures for Establishing Acceptance Criteria— collection, QA and QC policies, and procedures related to the
generation of environmental data. Records of each evaluation
Proceduresshallbeinplaceforestablishingacceptancecriteria
for field activities, as required in the project planning docu- shall be maintained until superseded or according to policy.
Theserecordsshouldincludethedateoftheevaluation,areaor
ments. Acceptance criteria may be qualitative or quantitative.
Field events or data that fall outside of the established site,areasreviewed,personperformingtheevaluation,findings
and problems, actions recommended and taken to resolve the
acceptance criteria may indicate a problem with the sampling
process that must be investigated. problems, and scheduled date for re-inspection. Any problems
identified that are likely to affect data integrity shall be brought
7.6.5 Deviations—Any activity not performed in accor-
dance with the SOPs or project planning documents is consid- to the attention of management immediately.
ered a deviation from the plan. Deviations from the plan may 7.7.2 Evaluation of Field Records—The review of field
ormaynotaffectdataquality.Alldeviationsfromtheplanshall
records shall be conducted by one or more persons knowledge-
be documented as to the extent of, and reason for, the able in the field activities, evaluating the following subjects at
deviation.
a minimum:
7.6.6 Corrective Action—Errors, deficiencies, deviations, or
7.7.2.1 Completeness of Field Reports—This review en-
field events or data that fall outside the established acceptance
sures that all requirements for field activities in the planning
criteria require investigation. Corrective action may be neces-
documents have been fulfilled, that complete records exist for
sary to resolve the problem and restore proper functioning to
each field activity, and that the procedures specified in the
the system in some instances. Investigation of the problem and
planning documents have been implemented. The emphasis on
any subsequent corrective action taken shall be documented.
field documentation will help ensure sample integrity and
7.6.7 Data Handling Procedures:
sufficient technical information to recreate each field event.
7.6.7.1 Data Reduction—All field measurement data are
The results of this completeness check shall be documented,
reduced according to protocol described in the appropriate
and environmental data affected by incomplete records shall be
SOP. Computer programs used for data reduction shall be
identified.
validated before use and verified on a regular basis. All
7.7.2.2 Identification of Invalid Samples—This review in-
informationusedinthecalculationsshallberecordedtoenable
volves interpretation and evaluation of the field records to
reconstruction of the final result at a later date.
detect problems affecting the representativeness of environ-
7.6.7.2 Data Review—All data are reviewed according to
mental samples. Examples of items that could indicate invalid
SOPs to ensure that the calculations are correct and to detect
samples include improper well development, improperly
transcription errors. Spot checks are performed on computer
screenedwells,instabilityofpHorconductivity,andcollection
calculations to verify program validity.
of volatiles near combustion engines.The field records shall be
7.6.7.3 Data Reporting—Data are reported in accordance
evaluated against planning documents and SOPs.The reviewer
with the requirements of the end user.
shall document the sample validity and identify the environ-
mental data associated with poor or incorrect field work.
7.7 Quality Assurance Review:
7.7.2.3 Correlation of Field Test Data—The results of field
7.7.1 General—The QA review consists of internal and
measurements obtained by more than one method shall be
external assessments to ensure that both QA and QC proce-
compared. For example, surface geophysics may be surveyed
dures are in use and field staff conform to these procedures.
using both ground penetrating radar and a resistivity survey.
Planningdocumentsshallspecifytherequirementsforinternal,
7.7.2.4 Identification of Anomalous Field Test Data—
external, and on-site assessment. These documents shall
Anomalous field test data should be identified. For example, a
specify the frequency and documentation of these assessments.
water temperature for one well that is five degrees higher than
7.7.1.1 Internal Assessment—Personnel responsible for per-
anyotherwelltemperatureinthesameaquifershouldbenoted.
forming field activities are responsible for continually moni-
The impact of anomalous field measurement results on the
toring individual compliance with the QA and QC programs
associated environmental data shall be evaluated.
and planning documents. A QA officer or an appropriate
management designee shall review the field results and find- 7.7.2.5 Validation of Field Analysis—All data from field
ings for compliance with the QA and QC programs and analysis that are generated in situ or from a mobile laboratory
shall be validated per 8.7.2. The results of the validation shall
planning documents. The results of this internal assessment
shouldbereportedtomanagementwithrequirementsforaplan be reported. The report shall discuss whether the QC checks
meet the acceptance criteria and whether corrective actions
to correct any observed deficiencies.
were taken for any analysis performed when acceptance
7.7.1.2 External Assessment—The field staff may be re-
criteria were not met.
viewedbypersonnelexternaltotheorganization.Theresultsof
the external assessment should be submitted to management 7.7.3 Quality Assurance Reports to Management—The QA
with requirements for a plan to correct the observed deficien-
program shall provide for the periodic reporting of pertinent
cies. QAandQCinformationtomanagementtoallowassessmentof
7.7.1.3 On-Site Evaluation—On-site evaluations may be the overall effectiveness of the QA program. There are three
conducted as part of both internal and external assessments. major types of QA reports to management:
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7.7.3.1 Report on Measurement Quality Indicators—This 7.8.4 Equipment Maintenance—Maintenance procedures
report shall include the assessment of QC data (such as that shall be defined clearly and written for each measurement
generated per 7.6.3) gathered over the period, the frequency of
system and required support equipment. When maintenance is
repeating work due to unacceptable performance, and correc- necessary, it shall be documented in either standard forms or in
tive action taken.
logbooks. A history of the maintenance record of each system
7.7.3.2 Report on Quality Assurance Assessments—This serves as an indication of the adequacy of maintenance
reportshallbesubmittedimmediatelyfollowinganyinternalor schedules and parts inventory.
externalon-siteevaluationsoruponreceiptoftheresultsofany
7.8.5 Calibration and Traceability of Standards and
performance evaluation studies. The report shall include the
Reagents—Calibration is a reproducible reference base to
results of the assessment and the plan for correcting identified
which all sample measurements can be correlated. A sound
deficiencies.
calibrationprogramshallincludeprovisionsfordocumentation
7.7.3.3 Report on Key Quality Assurance Activities During
of the frequency, conditions, standards, and records reflecting
the Period—A report shall be delivered to management sum-
the calibration history of a measurement system. The accuracy
marizing key QA activities during the period. The report shall
of calibration standards is an important point to consider
stress measures that are being taken to improve data quality
because all data will be in reference to the standards used. A
andshallincludeasummaryofthesignificantqualityproblems
program for verifying and documenting the accuracy of all
observed and corrective actions taken. The report shall also
working standards against primary grade standards shall be
include a summary of involvements in resolution of quality
followed routinely.
issueswithclientsoragencies,QAorganizationalchanges,and
7.8.6 Sample Collection and Tracking Records—To ensure
notice of the distribution of any revised documents controlled
maximum utility of the sampling effort and resulting data,
by the QA function.
documentation of the sampling protocol, as performed in the
7.8 Field Records—Records provide direct evidence and
field, is essential. At a minimum, sample collection records
support for the necessary technical interpretations, judgments,
shall contain the persons conducting the activity, sample
and discussions concerning project activities. These records,
number, sample location, equipment used, climatic conditions,
particularly those that are anticipated for use as evidentiary
documentation of adherence to protocol, and unusual observa-
data, must directly support current or ongoing technical studies
tions. The actual sample collection record is usually one of the
and activities and must provide the historical evidence neces-
following: a bound field notebook with pre-numbered pages, a
sary for later reviews and analyses. Records shall be legible,
pre-printed form, or information stored on a computer hard
identifiable, and retrievable and protected from damage,
drive or network.
deterioration, or loss. Field records generally consist of bound
7.8.6.1 Sample tracking records involving the possession of
field notebooks with pre-numbered pages, sample collection
samples from the time at which they are obtained until they are
forms, personnel qualification and training forms, sample
relinquished shall be documented with the following minimum
location maps, equipment maintenance and calibration forms,
information: (1) project name; (2) signatures of the samplers;
chain-of-custody forms, sample analysis request forms, and
(3) sample number, date and time of collection, and grab or
field change request forms.All records shall be completed with
compositesampledesignation;(4)signaturesoftheindividuals
black, waterproof ink. Procedures for reviewing, approving,
involved in sample transfer; and (5) the air bill or other
and revising field records must be defined clearly, with the
shipping number, if applicable.
lines of authority included. At a minimum, all documentation
7.8.7 Maps and Drawings—Project planning documents
errors shall be corrected by drawing a single line through the
andreportsoftencontainmaps.Themapsareusedtodocument
error and initialing by the responsible individual, along with
the location of sample collection points and monitoring wells,
the date of change. The correction is written adjacent to the
and as a means of presenting environmental data. Information
error. Deviations from field SOPs shall be documented.
used to prepare maps and drawings is normally obtained
7.8.1 Personnel Training and Qualification Records—It is
through field surveys, property surveys, surveys of monitoring
the responsibility of the organization to establish personnel
wells, aerial photography, or photogrammetric mapping. The
qualifications and training requirements. Each staff member
final,approvedmapsshallhavearevisionnumberanddateand
shall possess the education, training, technical knowledge, and
shall be subject to the same controls as other project records.
experience, or a combination thereof, to enable that individual
7.8.8 Results from Control Samples—Documentationforthe
to perform their assigned functions. Personnel qualifications
collection of QC samples, such as field, trip, and equipment
shall be documented in terms of education, experience, and
rinsate blanks, duplicate samples, spikes, and reference
training. Training shall be provided for all staff members so
materials, shall be maintained.
that they can perform their functions properly.
7.8.9 Correspondence—Project correspondence can provide
7.8.2 Standard Operating Procedures—SOPs shall be avail-
evidence supporting technical interpretations. Correspondence
able to those performing the task outlined. Any revisions to
pertinent to the project shall be kept and placed in the project
field SOPs shall be written and distributed to all affected
files.
individuals to ensure the implementation of changes.The areas
covered by SOPs are given in 7.5.
7.8.10 Deviations—Field changes and deviations from the
planning documents shall be reviewed and approved by either
7.8.3 Quality Assurance Plans—The QAPP and all appli-
cable QAPjPs shall be on file. the authorized personnel who performed the original technical
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review, or their designees. All deviations from the procedural mentation are in conformance with the laboratory QAPP and
and planning documents shall be recorded in the site log. any applicable QAPjP(s).The QAmonitoring function shall be
7.8.11 Final Report—The final report shall summarize field entirely separate from, and independent of, personnel engaged
activities, data, results of deviations from the planning in direct supervision or performance of the work being
documents, and interpretation of the data. The planning docu- monitored. The QA staff shall: inspect records to ensure that
mentsshalloutlinetheitemstobeincludedinthereport,which analyses have been performed correctly and within the proper
may include any special formats required, QC reporting time frame; maintain copies of the QAPPand QAPjPs pertain-
requirements, conclusions, and recommendations. ing to all analyses; perform assessments of the laboratory to
ensure adherence to the QAPP; periodically submit written
7.9 Documentation Storage:
status reports to management, noting any problems and the
7.9.1 Documentation Archive—Procedures shall be estab-
corrective actions taken; summarize assessments; ensure that
lished to ensure that documents required to recreate the
anydeviationsfromtheapprovedQAPP,QAPjP,orSOPshave
sampling, analysis, and reporting of information are stored.
been authorized and documented properly; and ensure that the
These documents may include, but are not limited to, planning
results reported reflect the raw data accurately. The responsi-
documents, SOPs, logbooks, field data records, sample tags
bilities of the QA function and procedures used in conducting
and labels, chain-of-custody records, photographs, and any
those responsibilities shall be in writing and shall be main-
other information noted in 7.8.
tained.
7.9.2 Storage Time—The length of storage time for field
8.2.3 Personnel—It is the responsibility of the organization
records shall comply with regulatory requirements, organiza-
to establish personnel qualifications and training requirements
tional policy, or project requirements, whichever is/are more
for all positions. Each member of the organization shall
stringent.
possess the education, training, technical knowledge, and
7.9.3 Filing System—The control of records is essential in
experience, or a com
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