Quality Assurance Management Plan for Environmental ... fileManagement Plan for Environmental Monitoring Programs ... Quality Assurance Management Plan for Environmental Monitoring

Quality AssuranceManagement Planfor EnvironmentalMonitoring Programs

June 1998

State of California The Resources Agency Department of Water Resources

Quality AssuranceTechnical Document 5

Department of Water ResourcesQuality Assurance/Quality Control Program

Environmental Assessment Sampling

Analysis Data Evaluation

i

State of CaliforniaThe Resources Agency

Department of Water ResourcesDivision of Planning and Local Assistance

Quality Assurance Management Planfor

Environmental Monitoring Programs

June 1998

Douglas P. WheelerSecretary for ResourcesThe Resources Agency

Pete WilsonGovernor

State of California

David N. KennedyDirector

Department of Water Resources

WATER RESOU

RC

ESD

EPA

RTM

ENT OF

STATE OF CALIFORNIA

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Table of Contents

Organization ................................................ iv

Acknowledgments....................................... vApproval of Quality Assurance

Management Plan ....................................... vii

Introduction .......................................................... 1

Purpose and Scope ............................................. 3

Organization and Management ....................... 5DWR's Quality Assurance/Control Policy........ 5Organizational Structure and Communication .............................................. 6

Roles and Responsibilities .................................... 9Quality Control Committee ............................. 9Quality Assurance Officer ................................ 9Program Manager .......................................... 10Quality Control Coordinator .......................... 10

Personnel Qualifications and Training ............. 11

QA/QC Contracting Requirements ................. 13Contract Laboratories .................................... 13Equipment and Supplies ................................ 13

Documentation and Records .......................... 15

Data Management ........................................... 17Data Reporting, Reduction, Processing,

and Storage ................................................. 17

Planning and Implementation ......................... 19Planning and Implementation of Environmental Monitoring Projects ............. 19

Assessment and Response................................ 21

Quality Improvement ........................................ 23

Figures

Figure 1—DWR QA/QC Program OrganizationalStructure and Communication .......................... 7

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State of CaliforniaPete Wilson, Governor

The Resources AgencyDouglas P. Wheeler, Secretary for Resources

Department of Water ResourcesDavid N. Kennedy, Director

Robert G. Potter Raymond D. Hart Stephen L. KashiwadaChief Deputy Director Deputy Director Deputy Director

L. Lucinda Chipponeri Susan N. WeberAssistant Director for Legislation Chief Counsel

with the assistance of

Lynda Dale Herren.................................... ............................ Supervisor, Division PublicationsBrenda Main................................................... .................................................... Research WriterEdna Smith ........................................................................................................... Office Assistant

Division of Planning and Local Assistance

William J. Bennett ................................................................................................................. Chief

This document was prepared in the Water QualityAssessment Branch under the supervision of

Phil Wendt....................................................................Chief, Water Quality Assessment BranchDan Otis ................................................................................ Chief, Technical Services SectionRaymond Tom ................................................. Chief, Quality Assurance/Quality Control Unit

by

Murage Ngatia .............................................................................. Environmental Specialist IIIJim Hockenberry ............................................................................. Environmental Specialist IBarry Gump ........................................................ Consulting Chemist DWR Contract B80759

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Acknowledgments

This document reflects the collaborative efforts ofmany quality management professionalsthroughout the Department of Water Resourceswho are participating in the challenge for con-tinuous improvement in quality systems support-ing environmental programs. These individuals,who represent the divisions, district offices, fielddivision offices, and laboratories of the Depart-ment and who are members of the Quality Con-trol Committee, provide a diverse and broadrange of needs and experiences in environmentaldata collection programs. The contributions andthe comprehensive reviews provided by themembers of the Quality Control Committee aregreatly appreciated. ■

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Introduction

The development and implementation of theQuality Assurance Management Plan is requiredby the Department of Water Resources’ qualityassurance/control policy for environmentalmonitoring programs. This policy, embodied inWater Resources Engineering MemorandumNo. 60, states in part that "The Department shalldevelop a Quality Assurance Program Plan,approved by the Director, which describes howthe Department, through its management organi-zation, intends to consistently produce water-related data of quality which is known andquantifiable. This document will identify goals,organizational structure, individual responsibili-ties, and management procedures as they relateto implementation and administration of theQuality Assurance/Control Program." WREMNo. 60 further states that "Initially, this policyfocuses on water-related programs and willevolve to other measurement activities." Consis-tent with the intent of WREM No. 60, QAMP wasdeveloped for application to all environmentalmonitoring programs.

DWR has developed QAMP as a means of docu-menting how DWR will plan, implement, andassess the effectiveness of quality assurance andquality control operations applied to DWR'senvironmental monitoring programs. Specifi-cally, this plan was developed to assure that:

■ Environmental data collected by and forDWR are of the appropriate type and qualityfor their intended use, and

■ Technology used for environmental monitor-ing by and for DWR is designed, constructed,and operated according to defined specifica-tions and protocols.

QAMP, published as DWR’s Quality AssuranceTechnical Document 5, references other DWRquality assurance technical documents for guid-ance on specific QA/QC principles. Other qual-ity assurance technical documents include:

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■ Quality Assurance Guidelines for AnalyticalLaboratories (Quality Assurance TechnicalDocument 1): This document providesguidance on selecting and evaluating theperformance of laboratories performingchemical analyses for DWR.

■ Sampling Manual for Environmental Measure-ment Projects (Quality Assurance TechnicalDocument 2): This document provides tech-nical information on procedures for DWRwater-related sampling and data collectionactivities.

■ Compilation of Federal and State Drinking WaterStandards and Criteria (Quality AssuranceTechnical Document 3): This documentprovides a listing of federal and State drink-ing water standards, criteria, and regulations.

■ Compendium of Water Quality Investigationsin the Sacramento-San Joaquin Delta (QualityAssurance Technical Document 4): Thisdocument identifies the agencies that haveconducted water quality studies in theSacramento-San Joaquin Delta.

■ Guidelines for Preparing Quality AssuranceProject Plans (Quality Assurance TechnicalDocument 6): This document provides theguidelines which program managers can useto prepare their project-specific quality assur-ance project plans.

■ Compilation of Soil and Sediment Standards,Criteria and Guidelines (Quality AssuranceTechnical Document 7): This documentprovides soil and sediment values which canbe used to establish data quality objectivesfor the study and as reference values forcomparison of resulting data from soil andsediment analyses.

Copies of these reports can be obtained fromDWR's Bulletins and Reports, Post OfficeBox 942836, Sacramento, California 94236-0001;telephone (916) 653-1097. For further informationregarding QAMP, contact:

Raymond Tom, ChiefQuality Assurance/Quality Control UnitDivision of Planning and Local Assistance(916) 327-1724 ■

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Purpose and Scope

Environmental programs conducted by or onbehalf of DWR involve many diverse activitiesthat address complex environmental issues. Forwater-related data alone, DWR annually spendsapproximately $20 million and 150 person-yearsof effort in the collection of data for scientificresearch, permit compliance monitoring, hazard-ous materials investigations, and policy/programdecision-making.

Environmental data are critical inputs to deci-sions involving the protection of the public andthe environment from the adverse effects ofpollutants from natural and man-made sources.As key inputs to the decision-making process,environmental data must be accurate and reliable.Compliance with proper QA/QC practices willensure that the environmental data are accurateand reliable.

It is DWR's policy that all environmental moni-toring programs conducted by or on behalf ofDWR shall establish and implement effectivequality systems to support those programs. Thispolicy is embodied in Water Resources Engineer-ing Memorandum No. 60 and was signed byDWR's Deputy Directors in September 1992. Thispolicy states in part that "The Department shalldevelop a Quality Assurance Program Plan,approved by the Director, which describes howthe Department, through its management organi-zation, intends to consistently produce water-related data of quality which is known andquantifiable. This document will identify goals,organizational structure, individual responsibili-ties, and management procedures as they relateto implementation and administration of theQuality Assurance/Control Program." WREMNo. 60 further states that "Initially, this policyfocuses on water-related programs and willevolve to other measurement activities." QAMPprovides the blueprint for how DWR will plan,implement, and assess its quality system for all ofthe environmental monitoring programs of DWR.

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QAMP is a management tool that defines howDWR will attain its quality management objec-tives for environmental monitoring programs. Itdefines DWR's QA-related policies and proce-dures, criteria for and areas of application, androles, responsibilities, and authorities. QAMP hasbeen written to enable managers and supervisorsto understand the priority which managementplaces on QA, the established QA policies andprocedures, and their respective QA roles.Implementation of QAMP will also permit thedetermination of whether the quality system isbeing managed in a way that assures successfulenvironmental monitoring programs.

QAMP describes how DWR plans and imple-ments the necessary QA/QC practices to helpmanagement ensure that the results of technicalenvironmental monitoring work are of the typeand quality needed for their intended use. Ac-cordingly, QAMP discusses the mission andquality policy of DWR; the specific roles andresponsibilities of management and staff withrespect to QA/QC activities; the means by whicheffective communications are assured; the pro-cesses used to plan, implement, and assess thework performed; the process by which measuresof effectiveness for QA/QC will be establishedand how frequently effectiveness will be mea-sured; and the process for continuous improve-ment. Areas addressed within QAMP include:

■ Organization and Management

■ Roles and Responsibilities

■ Personnel Qualifications and Training

■ QA/QC Requirements for Contracted Ser-vices, Equipment, and Supplies

■ Documentation and Records

■ Data Reporting, Reduction, Processing, andStorage

■ Planning and Implementation of Environ-mental Monitoring Projects

■ Assessment and Response

■ Quality Improvement

Finally, because of its importance, QAMP mustbe kept current and readily available to all man-agers and staff responsible for planning andimplementing environmental monitoring pro-grams. It is anticipated that QAMP will be re-viewed and updated at least annually to ensurethe effectiveness of DWR's approved QA/QCmanagement practices. ■

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Pre-ContractPerformance Evaluation

Organization andManagement

DWR's Quality Assurance/ControlPolicyWREM No. 60, approved and issued by DWR’sDeputy Directors in September 1992, establishedDWR’s QA/QC policy for environmental moni-toring programs. The policy states that DWRshall:

1. Integrate quality control procedures intoenvironmental monitoring activities, includingcollection, analysis, validation, reporting, storage(retention), and dissemination of data, throughimplementation of standardized procedures,adequate documentation, and training of DWRemployees.

2. Develop a QAMP, approved by the Director,which describes how DWR, through its manage-ment organization, intends to consistently pro-duce environmental data of a quality which isknown and quantifiable.

3. Assign a QA Officer responsible for adminis-tering DWR's overall QA/QC Program in com-pliance with the approved QAMP.

4. Develop Quality Assurance Project Plans forindividual environmental monitoring projects.Data quality objectives will be defined in theQuality Assurance Project Plans.

5. Require all in-house and contract laboratoriesto follow the U.S. Environmental ProtectionAgency approved analytical procedures orequivalent, which contain quality control re-quirements for laboratory operation.

6. Implement quality control procedures in themost cost-effective manner without compromis-ing data quality objectives.

In support of DWR's QA/QC policy, WREMNo. 60 also includes requirements for:

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1. The development of, and attendance at, train-ing courses for implementation of quality controlpractices within DWR.

2. The establishment of a Quality Control Com-mittee to help guide DWR's implementation ofquality control practices.

3. Periodic reports to the Director on theprogress of DWR's implementation of theQA/QC Program and recommendations forfurther management actions to fully implementthe policy.

Organizational Structure andCommunicationThe QA/QC policy, as established throughWREM No. 60, is a departmentwide policy affect-ing all environmental monitoring programsconducted by or on behalf of DWR. As such,ultimate authority for policy-making lies with theDirector.

The Quality Control Committee, as establishedand directed by WREM No. 60, is responsible forproviding guidance on DWR's implementation ofquality control practices. The Committee com-prises representatives from the Division of Plan-ning and Local Assistance, Division ofOperations and Maintenance, Office of StateWater Project Planning, Environmental ServicesOffice, Division of Land and Right of Way, Divi-sion of Engineering, Division of Safety of Dams,and Division of Management Services. The Qual-ity Control Committee meets quarterly. As partof providing guidance on quality control prac-tices, committee members also review and evalu-ate Quality Assurance Technical Documents,participate in performance and system audits ofDWR environmental monitoring programs andprojects, and assist in arranging and conductingtraining courses.

DWR's Quality Assurance Officer is the Chief ofthe Quality Assurance/Quality Control Unit ofthe Division of Planning and Local Assistance,and is responsible for chairing the Quality Con-trol Committee and administering DWR's overallQA/QC Program in compliance with the ap-proved QAMP. The Quality Assurance Officer isalso responsible for preparing reports to theDirector on the progress of DWR's implementa-tion of the QA/QC Program and recommenda-tions for further management actions to fullyimplement the policy. The administrative activi-ties of the Quality Assurance Officer include thedevelopment and coordination of trainingcourses and oversight activities.

Through the guidance of the Quality ControlCommittee and the Quality Assurance Officer,procedures for implementation of quality controlpractices are transmitted to all Program Manag-ers within DWR. All Program Managers areresponsible for ensuring that appropriate qualitycontrol practices are implemented within each oftheir environmental monitoring projects.

Each environmental monitoring program shouldhave a Quality Control Coordinator designatedby the Program Manager. Through the ProgramManager and the QC Coordinator, appropriatequality control practices are implemented by thesampling teams and analytical laboratories.

Figure 1 illustrates the organizational structurefor communications and responsibilities ofDWR's overall QA/QC Program. ■

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Figure 1DWR QA/QC Program

Organizational Structure and Communication

Division of Planning and Local AssistanceDivision of Operations and MaintenanceEnvironmental Services OfficeDivision of Land and Right of WayDivision of EngineeringDivision of Safety of DamsDivision of Management ServicesOffice of State Water Project Planning

Director

QualityControl

Committee

Program Managersand

QC Coordinators

Chief,Quality Assurance/

Quality ControlUnit

(Quality Assurance Officer)

Field Personnel Analytical Laboratories

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Roles and Responsibilities

Quality Control CommitteeThe Quality Control Committee is responsiblefor providing guidance and assistance to DWRin the implementation of QA/QC activities. Thecommittee meets quarterly to plan and discussactivities related to the review and evaluationof:

■ Quality assurance technical documents

■ Quality assurance project plans

■ Sampling and chemical analytical proce-dures

■ Performance of monitoring equipment

■ Quality control of data management

The committee also participates in performanceand system audits of DWR environmentalmonitoring programs and projects and assists inarranging and conducting training courses.Finally, the committee participates in makingrecommendations for improvements to theQA/QC Program.

Quality Assurance OfficerThe Quality Assurance Officer is responsiblefor administering DWR's overall QA/QC Pro-gram in compliance with the approved QAMP.The administrative activities of the QA Officerinclude:

■ Development and coordination of trainingcourses and oversight activities

■ Preparation of reports to the Director on theprogress of DWR's implementation of theQA/QC Program and recommendations forimprovements to the QA/QC Program

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■ Coordination of all QA/QC Program activi-ties within DWR

■ Assurance of compatibility and compliance ofDWR QA/QC activities with other federal andState QA/QC requirements

■ Chairing of the Quality Control Committee

■ Review and evaluation of new QA/QC con-cepts and suggested changes to the QA/QCprogram

■ QA/QC oversight of all analytical laboratorieswhich provide environmental analyses forDWR in accordance with procedures specifiedin Quality Assurance Guidelines for AnalyticalLaboratories (Quality Assurance TechnicalDocument 1)

Program ManagerProgram Managers of DWR environmentalmonitoring programs are responsible for devel-oping and implementing applicable and appro-priate QA/QC practices. Program Managers arealso responsible for assuring that:

■ Appropriate Quality Assurance Project Plansare developed and implemented in accor-dance with the procedures specified in Guide-lines for Preparing Quality Assurance ProjectPlans (Quality Assurance Technical Docu-ment 6) or other guidelines as appropriate

■ Sampling activities comply with appropriateQA/QC procedures in accordance with theprocedures specified in Sampling Manual forEnvironmental Measurement Projects (QualityAssurance Technical Document 2) or otherprocedures as apropriate

■ Analytical laboratories providing environ-mental analyses comply with appropriateQA/QC procedures

■ Appropriate QA/QC information is includedin environmental monitoring program reports

Finally, the Program Manager is responsible fordetermining QA/QC training needs for programstaff, documenting identified QA/QC problemsand implementing corrective procedures, andconducting QC audits within the program asnecessary.

Quality Control CoordinatorThe Quality Control Coordinator within eachenvironmental monitoring program, as desig-nated by the Program Manager, is responsible fordeveloping and implementing Quality AssuranceProject Plans. In fulfilling this responsibility, theQC Coordinator develops appropriate dataquality objectives and standard operating proce-dures. The QC Coordinator also assists the Pro-gram Manager in assuring that analyticallaboratories and sampling activities comply withappropriate QA/QC procedures. In addition, theQC Coordinator assists the Program Manager in:

■ Reporting appropriate QA/QC information inenvironmental monitoring reports

■ Determining QA/QC training needs for pro-gram staff

■ Documenting identified QA/QC problemsand implementing corrective procedures

■ Conducting QC audits within the programas necessary ■

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Personnel Qualificationsand Training

All personnel involved in environmental moni-toring programs are expected to be familiar withand comply with the principles in the QualityAssurance Management Plan and the respectiveQuality Assurance Project Plans.

Field sampling teams should be adequatelytrained to follow appropriate procedures forfield sampling and analysis, to know whatdocumentation is required, and to know when acorrective procedure is necessary. The ProgramManager is responsible for ensuring that mem-bers of the sampling team are adequatelytrained.

Laboratory personnel should have the appropri-ate education, training, and experience in thespecific area of work. The laboratory director ormanager is responsible for ensuring that alllaboratory personnel are adequately trained.

Two types of QA training programs are availablefor DWR employees involved in environmentalmonitoring activities:

1. Informal ongoing training within each pro-gram provided by the Program Manager or theQuality Control Coordinator which includes afield training program for field personnel

2. Periodic formal classroom training sessionsarranged by DWR's Quality Assurance Officer

Program Managers should maintain adequaterecords and documentation of training coursesand other training programs attended by em-ployees. In addition, Program Managers shouldregularly assess employees' knowledge andcompetence in the use of appropriate QA/QCprocedures and determine employees’ trainingneeds.

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QA/QC ContractingRequirements

Contract LaboratoriesDWR's Laboratory Services Policy, as explainedin Quality Assurance Guidelines for AnalyticalLaboratories (Quality Assurance Technical Docu-ment 1), established joint authority to developmaster contracts with commercial laboratoriesand to maintain continuing assessment andcontrol of the quality of work performed bycontract laboratories with Bryte Chemical Labo-ratory and the QA/QC Program within theDivision of Planning and Local Assistance. Con-sistent with the policy, all departmental requestsfor analytical services are submitted to BryteChemical Laboratory. Bryte Chemical Laboratorymaintains the responsibility for distributing theanalytical workload to make efficient use ofdepartmental and contract laboratories' resourcesand capabilities.

Contract laboratories are required to be certifiedby the Environmental Laboratory AccreditationProgram of the California Department of HealthServices. Exceptions may be considered where ananalytical method is not certified by ELAP.Furthermore, a contract laboratory may notsubcontract any analytical work without priorapproval by DWR. All subcontracted laboratoriesmust meet all certification and quality controlrequirements of the contract laboratory.

Equipment and SuppliesProgram Managers are responsible for ensuringthat specified quality standards are met by allequipment and supplies procured for use inenvironmental monitoring programs. ProgramManagers are also responsible for testing andinspecting the purchased items upon receipt toensure that the items are certified and function-ing properly. Evaluations of quality standards forenvironmental monitoring equipment and sup-plies are conducted both before and after theselection process.

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The procurement process includes the followingbasic steps to ensure that the purchased itemsmeet the needs of the environmental monitoringprogram and are of acceptable quality:

1. Planning of procurement needs and activities

2. Identification, documentation, review, andapproval of technical specifications

3. Selection and documentation of evaluationcriteria and necessary certifications

4. Identification of procedures for review andapproval of negotiations, compromises, orchanges regarding technical issues

5. Documentation of the procurement process

6. Evaluation and verification of postawardquality versus original acceptance criteria

Ongoing activities directed towards assurance ofquality standards for suppliers of equipment andsupplies include evaluating procurement sourcesprior to selection, evaluating objective evidenceof quality furnished by the supplier, inspectingprocurement sources, auditing suppliers, andexamining deliverables. ■

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Documentation andRecords

Program Managers are responsible for ensuringthat all documentation and records pertaining totheir environmental monitoring programs aremaintained and properly stored so that the infor-mation is readily retrievable for review andinspection. Records and documents which shouldbe retained include, but are not limited to:

■ Laboratory data reports

■ Laboratory quality control reports

■ Chain of custody forms

■ Field logs

■ Instrument printouts

■ Results of calibration and QC checks

■ Field sampling case narratives

■ Laboratory analysis case narratives

■ All information and records which areincluded in a project-specific data reportpackage

■ Quality assurance project plans

■ Sampling and analysis plans

■ Standard operating procedures

■ Personnel training records

■ Results of audits and reviews

All laboratories providing analytical services forDWR are responsible for retaining all appropriaterecords and documents which include, but arenot limited to:

■ Quality assurance manuals

■ Personnel training records

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■ Results of certification surveys and evidenceof certification by appropriate regulatory oraccreditation agencies

■ Standard operating procedures

■ Receiving documents such as chain-of-custody records and sample integrity reports

■ Stock standard logs

■ Calibration records for analytical instruments,balances, thermometers, and other equipment

■ Internal quality control checks such as labora-tory control samples, method blanks, matrixspikes, and surrogate recoveries

■ Analytical control charts and out-of-controlreports

■ Results of performance and system audits

For the overall QA/QC Program of DWR, theQuality Assurance Officer and the Quality Con-trol Committee are responsible for retaining allappropriate documents and records which in-clude, but are not limited to:

■ All QA/QC policies and procedures, andsubsequent updates to QA/QC policiesand procedures

■ Results of audits of QC procedures of environ-mental monitoring programs within DWR

■ Minutes of Quality Control Committeemeetings

■ Documentation of QA/QC problems andcorrective actions taken ■

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Data Management

Data Reporting, Reduction, Processing,and StorageAll laboratories providing analytical services forDWR are responsible for providing all necessarydata, including all quality control data, in elec-tronic formats required by DWR. These datainclude, but are not limited to:

■ Precision of replicate measurements

■ Accuracy of measurements

■ Descriptions of analytical methods andreporting limits

■ Blank and recovery measurements

■ Sample handling documentation to ensureadherence to method holding-time limits

Each Program Manager is responsible for ensur-ing that all appropriate field data are docu-mented in appropriate field or log sheets utilizedby the environmental monitoring program. Anexample of a field sheet is contained in SamplingManual for Environmental Measurement Projects(Quality Assurance Technical Document 2). Inaddition, appropriate protocols should be estab-lished for processing data from continuousrecorders and other types of automated datarecording equipment, which may include proce-dures for reformatting, summarizing, and otherdata manipulation. Finally, Quality AssuranceProject Plans should indicate how specific typesof data will be stored with respect to the type ofmedia, conditions, location, retention time, andaccess.

Each Program Manager is also responsible forensuring that data are validated through a sys-tematic process of reviewing data against estab-lished criteria. This process is conducted toensure the validity of the data prior to its use,and consists of evaluating the quality and reli-ability of data from both field measurements andlaboratory analyses. Validation of field data

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involves verification of appropriate collection,preservation and transport protocols, and the useof duplicates and reference samples. Validationof laboratory data involves review of checks onprecision and accuracy (such as duplicate sampleanalyses, reference samples, matrix spikesamples, and laboratory control samples), evalua-tion of blanks, interlaboratory comparisons, andinstrument calibration data.

Finally, each Program Manager is responsible forcorrect processing of acceptable data, usingappropriate mathematical, statistical, and graphi-cal procedures to convert raw environmentaldata into usable information. This data reductionprocess may consist of changes in form or expres-sion of the data, quantity of data values, or num-bers of data items. Errors in data reductionshould be eliminated through use of appropriatequality control procedures, including proceduresfor reviewing and checking of data. ■

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Planning andImplementation

Planning and Implementation ofEnvironmental Monitoring ProjectsProgram Managers are responsible for ensuringthat environmental monitoring projects aresystematically planned and implemented, andthat the planning and implementation process isdocumented in Quality Assurance Project Plans.The planning process must ensure that all orga-nizations and parties who contribute to thequality of the environmental program or use theresults are identified and that they participate inthe planning process. That process should in-clude direct communications to ensure that allparticipants clearly understand the needs andexpectations of the end users and the results.

The generation, acquisition, and use of environ-mental data should be planned using a system-atic planning process which will:

1. Identify the parties for which the work is tobe performed

2. Identify the needs and expectations of theparties in terms of both technical and qualitygoals

3.. Translate the parties' needs into specifica-tions to produce the desired result

4. Consider each project's cost and scheduleconstraints

5. Identify acceptance criteria for the result ormeasures of performance by which the parties'satisfaction will be determined

The four basic elements for planning and imple-menting environmental monitoring projects thatshould be included in Quality Assurance ProjectPlans include:

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■ Project management

■ Measurement/data acquisition

■ Assessment and oversight

■ Data validation and usability

Detailed descriptions of these basic elements maybe found in Guidelines for Preparing Quality Assur-ance Project Plans (Quality Assurance TechnicalDocument 6). ■

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Assessment and Response

Assessments of environmental monitoring pro-grams should be conducted periodically toexamine the level of performance and qualitywithin the programs and to provide a basis forimproving the programs. Assessment tools forenvironmental monitoring programs include:

■ Management system reviews

■ Surveillances

■ Quality audits

■ Performance evaluations

■ Audits of data quality

■ Peer reviews and technical reviews

■ Readiness reviews

■ Data quality assessments

Program Managers are responsible for ensuringthat their environmental monitoring programsare periodically reviewed and assessed using oneor more of the assessment tools listed above.

The most frequently used assessment tool is thequality audit. There are generally two types ofquality audits:

1. Performance audit—evaluates a laboratory'sability to provide accurate results. This type ofaudit is usually carried out through use of per-formance evaluation samples or standard refer-ence materials. Laboratory performance can alsobe evaluated through interlaboratory comparisonstudies in which analytical results for replicatesamples are sent to several laboratories for com-parison.

2. Systems audit—evaluates the actual opera-tional details. A systems audit can be used toevaluate both field and analytical procedures.Field audits verify that sample collection, preser-

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vation, shipping, and associated procedures areconsistent with those specified in approvedQuality Assurance Project Plans. Laboratoryaudits verify that the facility's operational proce-dures and analytical processes are consistentwith established acceptable criteria.

The Quality Control Committee and the QualityAssurance Officer may, when deemed necessaryor at the request of Program Managers, conductreviews and assessments of any or all DWRenvironmental monitoring programs using anyof the listed assessment tools.

Corrective procedures will be required when aperformance failure is discovered or when qual-ity audits reveal deficiencies. Corrective proce-dures may include identifying faulty equipmentor procedures, providing additional training topersonnel, and resampling and reanalysis ofsamples.

Each Program Manager is responsible for imple-menting corrective procedures. In addition, theProgram Manager should maintain appropriatedocumentation of quality assurance problems,corrective actions taken, and their results oroutcomes.

The quality control officer of each laboratoryproviding analytical services for DWR is respon-sible for implementing laboratory correctiveprocedures when necessary. Different types ofcorrective procedures may be required depend-ing on the analytical procedure. These correctiveprocedures should be documented in the analyti-cal method and in the laboratory's Quality Assur-ance Manual. ■

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Quality Improvement

The process of continuous quality improvementleads to the development of a better and moreresponsive quality system. Quality improvementgenerally results from activities that:

■ Prevent or minimize problems during theplanning and implementation of environmen-tal programs that may affect the quality of theresults

■ Detect and correct problems

■ Review existing performance and identifyopportunities for quality improvement

There are two levels of continuous quality im-provement activities:

1. Each Program Manager is responsible forplanning, implementing, and maintaining asystem of continual assessments and correctiveprocedures of their individual environmentalmonitoring programs to examine and improvethe level of performance and quality within theprograms. These program-specific continuousimprovement activities are required componentsof each program's planning and implementationprocess. At the program level, the ProgramManager may utilize any or all assessment toolslisted in the “Assessment and Response” chapter.

2. The Quality Control Committee and theQuality Assurance Officer are responsible forplanning, implementing, and maintaining asystem of continual assessments and correctiveprocedures for all environmental monitoringprograms within DWR at a broader level. Whilethe assessment tools utilized at this level aregenerally the same as those used at the programlevel, the Quality Control Committee and theQuality Assurance Officer plan and performthese continuous improvement activities to:

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■ Evaluate the overall quality performance ofall environmental monitoring programs ofDWR

■ Identify problems with quality performancewhich are not within the control of, or resolv-able at, the program level

■ Provide continual general oversight of qualityperformance of all environmental monitoringprograms of DWR

■ Develop and implement appropriate Depart-mental QA/QC policies and proceduresapplicable to all Departmental environmentalmonitoring programs ■

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Additional copies of this reportmay be obtained from

Department of Water ResourcesBulletins & Reports

Publications SectionP.O. Box 942836

Sacramento, CA 94236-0001

(916) 653-1097

State of CaliforniaThe Resources AgencyDepartment of Water ResourcesDivision of Planning and Local Assistance1020—9th Street, 3rd FloorP.O. Box 942836Sacramento, CA 94236-0001

STATE OF CALIFORNIA

DE

PA

RTM

ENT OF WATER RESOU

RC

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