ASTM D6311-98(2022)
(Guide)Standard Guide for Generation of Environmental Data Related to Waste Management Activities: Selection and Optimization of Sampling Design
Standard Guide for Generation of Environmental Data Related to Waste Management Activities: Selection and Optimization of Sampling Design
SIGNIFICANCE AND USE
4.1 The intended use of this guide is to provide practical assistance in the development of an optimized sampling design. This standard describes or discusses:
4.1.1 Sampling design selection criteria,
4.1.2 Factors impacting the choice of a sampling design,
4.1.3 Selection of a sampling design,
4.1.4 Techniques for optimizing candidate designs, and
4.1.5 The criteria for evaluating an optimized sampling design.
4.2 Within a formal USEPA data generation activity, the planning process or data quality objectives (DQOs) development is the first step. The second and third are the implementation of the sampling and analysis design and the data quality assessment. Within the DQO planning process, the selection and optimization of the sampling design is the last step, and therefore, the culmination of the DQO process. The preceding steps in the DQO planning process address:
4.2.1 The problem that needs to be addressed,
4.2.2 The possible decisions,
4.2.3 The data input and associated activities,
4.2.4 The boundaries of the study,
4.2.5 The development of decision rules, and
4.2.6 The specified the limits on decision error.
4.3 This guide is not intended to address the aspects of the planning process for development of the project objectives. However, the project objectives must be outlined and communicated to the design team, prior to the selection and optimization of the sample design.
4.4 This guide references statistical aspects of the planning and implementation process and includes an appendix for the statistical calculation of the optimum number of samples for a given sampling design.
4.5 This guide is intended for those who are responsible for making decisions about environmental waste management activities.
SCOPE
1.1 This document provides practical guidance on the selection and optimization of sample designs in waste management sampling activities, within the context of the requirements established by the data quality objectives or other planning process.
1.2 This document (1) provides guidance for selection of sampling designs; (2) outlines techniques to optimize candidate designs; and (3) describes the variables that need to be balanced in choosing the final optimized design.
1.3 The contents of this guide are arranged by section as follows:
1.
Scope
2.
Referenced Documents
3.
Terminology
4.
Significance and Use
5.
Summary of Guide
6.
Factors Affecting Sampling Design Selection
6.1
Sampling Design Performance Characteristics
6.2
Regulatory Considerations
6.3
Project Objectives
6.4
Knowledge of the Site
6.5
Physical Sample Issues
6.6
Communication with the Laboratory
6.7
Analytical Turn Around Time
6.8
Analytical Method Constraints
6.9
Health and Safety
6.10
Budget/Cost Considerations
6.11
Representativeness
7.
Initial Design Selection
8.
Optimization Criteria
9.
Optimization Process
9.2
Practical Evaluation of Design Alternatives
9.3
Statistical and Cost Evaluation
10.
Final Selection
Annex A1
Types of Sampling Designs
A1.1
Commonly Used Sampling Designs
A1.2
Sampling Design Tools
A1.3
Combination Sample Designs
Appendix X1. Additional References
Appendix X2. Choosing Analytical Method Based on Variance and Cost
Appendix X3. Calculating the Number of Samples: A Statistical Treatment
1.4 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility of the user of this standa...
General Information
Relations
Standards Content (Sample)
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: D6311 − 98 (Reapproved 2022)
Standard Guide for
Generation of Environmental Data Related to Waste
Management Activities: Selection and Optimization of
Sampling Design
This standard is issued under the fixed designation D6311; 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
10. Final Selection
1.1 This document provides practical guidance on the se-
lection and optimization of sample designs in waste manage- Annex A1 Types of Sampling Designs
A1.1 Commonly Used Sampling Designs
ment sampling activities, within the context of the require-
A1.2 Sampling Design Tools
ments established by the data quality objectives or other
A1.3 Combination Sample Designs
planning process.
Appendix X1. Additional References
1.2 This document (1) provides guidance for selection of
Appendix X2. Choosing Analytical Method Based on Variance and Cost
samplingdesigns;(2)outlinestechniquestooptimizecandidate
designs; and (3) describes the variables that need to be
Appendix X3. Calculating the Number of Samples: A Statistical Treatment
balanced in choosing the final optimized design.
1.4 This standard does not purport to address all of the
1.3 The contents of this guide are arranged by section as
safety concerns, if any, associated with its use. It is the
follows:
responsibility of the user of this standard to establish appro-
priate safety, health, and environmental practices and deter-
1. Scope
mine the applicability of regulatory limitations prior to use.
2. Referenced Documents
1.5 This international standard was developed in accor-
dance with internationally recognized principles on standard-
3. Terminology
ization established in the Decision on Principles for the
4. Significance and Use
Development of International Standards, Guides and Recom-
5. Summary of Guide mendations issued by the World Trade Organization Technical
Barriers to Trade (TBT) Committee.
6. Factors Affecting Sampling Design Selection
6.1 Sampling Design Performance Characteristics
2. Referenced Documents
6.2 Regulatory Considerations
6.3 Project Objectives
2.1 ASTM Standards:
6.4 Knowledge of the Site
D5956 Guide for Sampling Strategies for Heterogeneous
6.5 Physical Sample Issues
6.6 Communication with the Laboratory
Wastes
6.7 Analytical Turn Around Time
D6044 Guide for Representative Sampling for Management
6.8 Analytical Method Constraints
6.9 Health and Safety of Waste and Contaminated Media
6.10 Budget/Cost Considerations
D6051 Guide for Composite Sampling and Field Subsam-
6.11 Representativeness
pling for Environmental Waste Management Activities
D6232 Guide for Selection of Sampling Equipment for
7. Initial Design Selection
8. Optimization Criteria
WasteandContaminatedMediaDataCollectionActivities
9. Optimization Process
E135 Terminology Relating to Analytical Chemistry for
9.2 Practical Evaluation of Design Alternatives
9.3 Statistical and Cost Evaluation Metals, Ores, and Related Materials
E943 Terminology Relating to Biological Effects and Envi-
ronmental Fate
This guide is under the jurisdiction of ASTM Committee D34 on Waste
Management and is the direct responsibility of Subcommittee D34.01.01 on
Planning for Sampling. For referenced ASTM standards, visit the ASTM website, www.astm.org, or
Current edition approved March 1, 2022. Published March 2022. Originally contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
approved in 1998. Last previous edition approved in 2014 as D6311 – 98 (2014). Standards volume information, refer to the standard’s Document Summary page on
DOI: 10.1520/D6311-98R22. the ASTM website.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
D6311 − 98 (2022)
2.2 USEPA Documents: will be compared to the decision point or action level, (2)
USEPA Guidance for the Data Quality Objectives Process, whichdecisionwillbemadeasaresultofthatcomparison,and
EPA QA/G-4, Quality Assurance Management Staff, (3) what subsequent action will be taken based on the deci-
Washington, DC, March 1995 sions.
USEPA Data Quality Objectives Process for Superfund—
3.10 false negative error, n—an error which occurs when
Workbook, EPA 540/R-93/078 (OSWER 9355.9-01A),
(environmental) data misleads the decision maker(s) into not
Office of Emergency and Remedial Response,
taking action when action should be taken.
Washington, DC, September 1993
3.11 false positive error, n—an error which occurs when
USEPA Environmental Investigations Branch Standard Op-
environmental data misleads the decision maker(s) into taking
erating Procedures and Quality Assurance Manual
action when action should not be taken.
(EISOPQAM), Region 4—Science and Ecosystem Sup-
3.12 heterogeneity, n—theconditionofthepopulationunder
port Division, Athens, GA, May 1996
which items of the population are not identical with respect to
2.3 There are numerous useful references available from
the characteristic of interest. (D5956)
ASTM, USEPA, and private sector publishers. Appendix X1
contains a list, which is by no means comprehensive, of 3.13 homogeneity, n—the condition of the population under
additional commonly used references.
which all items of the population are identical with respect to
the characteristic of interest. (D5956)
3. Terminology
3.14 representative sample, n—a sample collected such that
3.1 accuracy, n—closeness of a measured value to the true
it reflects one or more characteristics of interest (as defined by
or an accepted reference or standard value. (E135)
the project objectives) of a population from which it was
3.2 attribute, n—a quality of samples or a population.
collected. (D5956)
(D5956)
3.15 risk, n—the probability or likelihood that an adverse
3.3 characteristic, n—a property of items in a sample or
effect will occur. (E943)
population that can be measured, counted, or otherwise
3.16 sample, n—a portion of material which is collected for
observed. (D5956)
testing or for record purposes. (D5956)
3.3.1 Discussion—A characteristic of interest may be the
3.16.1 Discussion—Sample is a term with numerous mean-
cadmium concentration or ignitability of a population.
ings. The project team member collecting physical samples
3.4 composite sample, n—a combination of two or more
(forexample,fromalandfill,drum,orwastepipe)oranalyzing
samples.
samples considers a sample to be that unit of the population
3.5 confidence interval, n—a numerical range used to bound collected and placed in a container. In statistics, a sample is
considered to be a subset of the population and this subset may
the value of a population parameter with a specified degree of
confidence (that the interval would include the true parameter consist of one or more physical samples. To minimize
confusion, the term “physical sample” is a reference to the
value).
sample held in a sample container or that portion of the
3.5.1 Discussion—When providing a confidence interval,
population which is subjected to measurement.
the number of observations on which the interval is based
should be identified.
3.17 sampling design, n—(1) the sampling schemes speci-
fying the point(s) for sample collection; (2) the sampling
3.6 confidence level, n—the probability, usually expressed
schemes and associated components for implementation of a
as a percent, that a confidence interval will contain the
sampling event.
parameter of interest.
3.17.1 Discussion—Both of the above definitions are com-
3.7 data quality objectives (DQOs), n—qualitative and
monly used within the environmental community. Therefore,
quantitative statements derived from the DQO process describ-
both are used within this document.
ing the decision rules and the uncertainties of the decision(s)
within the context of the problem(s). (D5956)
4. Significance and Use
3.8 data quality objective process, n—aqualitymanagement
4.1 The intended use of this guide is to provide practical
tool based on the scientific method and developed by the U.S.
assistance in the development of an optimized sampling
Environmental Protection Agency to facilitate the planning of
design. This standard describes or discusses:
environmental data collection activities. (D5956)
4.1.1 Sampling design selection criteria,
3.8.1 Discussion—The DQO process enables planners to
4.1.2 Factors impacting the choice of a sampling design,
focus their planning efforts by specifying the use of the data
4.1.3 Selection of a sampling design,
(the decision), the decision criteria (action level), and the
4.1.4 Techniques for optimizing candidate designs, and
decision maker’s acceptable decision error rates. The products
4.1.5 The criteria for evaluating an optimized sampling
of the DQO process are the DQOs.
design.
3.9 decision rule, n—a set of directions in the form of
4.2 Within a formal USEPA data generation activity, the
conditional statements that specifies: (1) how the sample data
planning process or data quality objectives (DQOs) develop-
ment is the first step. The second and third are the implemen-
Available from the Superintendent of Documents, U.S. Government Printing
Office, Washington, DC 20402. tation of the sampling and analysis design and the data quality
D6311 − 98 (2022)
assessment. Within the DQO planning process, the selection nicated to the design team, prior to the selection and optimi-
and optimization of the sampling design is the last step, and zation of the sample design.
therefore, the culmination of the DQO process. The preceding
4.4 This guide references statistical aspects of the planning
steps in the DQO planning process address:
and implementation process and includes an appendix for the
4.2.1 The problem that needs to be addressed,
statistical calculation of the optimum number of samples for a
4.2.2 The possible decisions,
given sampling design.
4.2.3 The data input and associated activities,
4.5 This guide is intended for those who are responsible for
4.2.4 The boundaries of the study,
making decisions about environmental waste management
4.2.5 The development of decision rules, and
activities.
4.2.6 The specified the limits on decision error.
5. Summary of Guide
4.3 This guide is not intended to address the aspects of the
planning process for development of the project objectives. 5.1 The selection and optimization process is an iterative
However, the project objectives must be outlined and commu- process of selecting and then evaluating the selected design
FIG. 1 Implement Sampling Design
D6311 − 98 (2022)
alternativesanddeterminingthemostresource-effectivedesign initial investigation and planning or DQO process. The deci-
which satisfies the project objectives or DQOs. Fig. 1 illus- sion makers should have identified the population boundaries,
trates this approach. characteristicsofinterest,acceptabilityofanaverageanalytical
value, the need to locate areas of contamination or “hot spots,”
5.2 An appropriate sampling design may be implemented
the statistical needs (for example, acceptable decision errors,
without a formal optimization, however, the following steps
levels of uncertainty), and the quality control acceptance
are recommended. Each evaluation step typically results in
criteria, as well as any other pertinent information.
fewer design alternatives.
5.2.1 Evaluation of the designs against the project’s practi-
6.4 Knowledge of the Site—The site knowledge (for
cal considerations (for example, time, personnel, and material
example, geography/topography, utilities, past site use) used to
resources), determine project objectives will also provide for a more
5.2.2 Calculation of the design cost and statistical
resource-efficient sampling design, for example, divide a site
uncertainty, and intoseparatedesignareasforsamplingorexcludeanareafrom
5.2.3 Choice of the sample design decision by the decision
sampling.
makers.
6.5 Physical Sample Issues—The physical material to be
5.3 The process steps for the evaluation can be followed in
sampled and its location on or within the site will usually
any order. And for a small project, the entire selection and
impact the sampling design and limit the choices of equipment
optimization process may be conducted at the same time. If
and methods.
ultimately, a design meeting the project constraints, for
6.5.1 Number of Samples:
example, schedule and budget, cannot be identified among the
6.5.1.1 The project objectives should specify the confidence
candidate sampling designs, it may be necessary to modify the
levels for decision making. Using this level of decision error,
closest candidate design or reevaluate and revise the project
the proximity to a threshold or action limit and the anticipated
objectives.
population variance, the number of samples can be calculated.
The statistical parameter of interest, for example, mean or 95
6. Factors Affecting Sampling Design Selection
percentile, and type of frequency of distribution, for example,
normal or log normal, will determine which equation is used to
6.1 Sampling Design Performance Characteristics:
calculate the appropriate number of samples. Eq X3.5 from
6.1.1 The sampling design provides the structure and detail
Appendix X3 can be used to calculate the number of samples
for the sampling activity and should be chosen in light of the
whentheobjectiveistomeasurethemeanforapopulationthat
project objectives. Prior to this point, the planning process
has a normal distribution for the characteristic of interest.
shouldhaveaddressedanddefinedtheprojectneedsforeachof
the sampling design characteristics, including the characteris- 6.5.1.2 Appendix X3 contains statistical approaches to cal-
tics of interest, population boundaries, decision rule, accept- culatingthenumberofsamplesneededforestimatingthemean
able decision errors, and budgets. In considering all aspects of concentration, for simple random, statistical random, multi-
theproject,theselecteddesignshouldaccommodatethespatial stage sampling, and search sampling (where the objective is to
detect hot spots).
and temporal distribution of contaminants at the site, be
practical,costeffective,andgeneratedatathatallowtheproject
6.5.2 Sample Mass or Volume:
objectives to be met.
6.5.2.1 The sample mass or volume is determined by the
6.1.2 Whenever possible, technical guidelines for measure-
size of the items that con
...
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