§ 42.101Meaning of words.
Words used in this part in the singular form shall be considered to import the plural, or vice versa, as the case may demand.
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CFR Regulation
STANDARDS FOR CONDITION OF FOOD CONTAINERS
§ 42.102Definitions, general.
For the purpose of this part, unless the context otherwise requires, the following terms shall be construed, respectively, to mean:
Acceptable Quality Level (AQL). The maximum number of defects per hundred units (DHU) which is acceptable as a process average. Lots, or portions of production, having a quality level equal to a specified AQL will be accepted approximately 95 percent of the time when using the sampling plans prescribed for the AQL.
Acceptance Number (Ac). The number in a sampling plan that indicates the maximum number of defects permitted in a sample in order to consider a lot as meeting a specific requirement.
Administrator. The Administrator of the Agricultural Marketing Service (AMS) of the Department or any other officer or employee of the Agency who is delegated, or who may be delegated the authority to act in the Administrator's stead.
Basic Inspection Period. A specified period of consecutive production designated for on-line inspection (e.g., one shift's production, one day's production, etc.).
Condition. The degree of acceptability of the container with respect to freedom from defects which affect the serviceability, including appearance as well as usability, of the container for its intended purpose.
Cumulative Sum Sampling (CuSum) Plan. An on-line sampling plan that accumulates the number of defects which exceed the subgroup tolerance (“T”) in a series of consecutive subgroups. Terms specified to the CuSum sampling plans are:
(a) Acceptance Limit (“L”). The maximum accumulation of defects allowed to exceed the subgroup tolerance (“T”) in any subgroup or consecutive subgroups.
(b) CuSum value. The accumulated number of defects that exceed the subgroup tolerance (“T”).
(c) Subgroup tolerance (“T”). The allowable number of defects in any subgroup.
(d) Starting value (“S”). The initial CuSum value used to begin a CuSum sampling plan.
Defect. Any nonconformance of a container from specified requirements.
Defect classifications. The terms used to denote the severity of a defect. The terms are as follows:
(a) Critical defect. A defect that seriously affects, or is likely to seriously affect, the usability of the container for its intended purpose.
(b) Major defect. A defect that materially affects, or is likely to materially affect, the usability of the container for its intended purpose.
(c) Minor defect. A defect that materially affects the appearance of the container but is not likely to affect the usability of the container for its intended purpose.
(d) Insignificant defect. A flaw in the container that does not materially affect the appearance and does not affect usability of the container for its intended purpose. When performing examinations, insignificant defects shall not be recorded.
Defective. A container which has one or more defects.
Department. The U.S. Department of Agriculture.
Double sampling. A sampling scheme which involves use of two independently drawn but related samples, a first sample and a second sample which is added to the first to form a total sample size. A double sampling plan consists of first and total sample sizes with associated acceptance and rejection criteria. The first sample must be inspected first, and if possible, a decision as to acceptance or rejection of the lot made before a second sample is inspected. When the decision cannot be made on the first sample, a second sample is inspected; the decision to accept or reject is based on the total sample size.
Lot or inspection lot. A collection of filled food containers of the same size, type, and style. The term shall mean “inspection lot,” i.e., a collection of units of product from which a sample is to be drawn and inspected to determine conformance with the applicable acceptance criteria. An inspection lot may differ from a collection of units designated as a lot for other purposes (e.g., production lot, shipping lot, etc.).
On-line sampling. The random selection of samples from a production line.
Origin inspection. An inspection made at any location where the filled containers are examined prior to shipment or transfer to the purchaser.
Primary container. The immediate container in which the product is packaged and which serves to protect, preserve, and maintain the condition of the product. It may be metal, glass, fiber, wood, textile, plastic, paper, or any other suitable type of material and may be supplemented by liners, overwraps, or other protective materials.
(b) For On-line Sampling. The chance that a portion of production with a given level of quality will be accepted. Probability of acceptance is synonymous with “Percent of Production Expected to be Accepted.” The probability of acceptance is normally designated as “Pa.” In on-line sampling inspection, the probability of acceptance of any portion of production depends on the sample results obtained from the preceding portions. The probability of acceptance values associated with these procedures are the values which would be expected if a large number of samples are to be inspected. For the CuSum plans referenced in this standard, the probability of acceptance at the Acceptable Quality Level (AQL) is approximately 95 percent. The starting value (“S”) associated with each CuSum plan helps to make the probability of acceptance of the first portions of production of a basic inspection period as close as possible to 95 percent.
Random sampling. A process of selecting a sample from a lot, or portion of production, whereby each unit in the lot of portion of production, has an equal chance of being chosen.
Rejection number (Re). The number in a sampling plan that indicates the minimum number of defects in a sample that will cause a lot to fail a specific requirement.
Sample. Any number of sample units which are to be used for inspection.
Sample size (n). The number of sample units included in the sample.
Sample unit. The individual container including any component parts.
Sampling plan. Any plan stating the number of sample units to be included in the sample as well as the corresponding plan parameters used to make acceptance and rejection decisions.
Secondary container. The container in which one or more primary containers are packed. For example, a shipping case containing canned product.
Shipping case. The container in which the product or primary containers of the product are placed to protect, preserve, and maintain the condition of the product during transit or storage. The shipping case may include strapping, liners or other protective material.
Single sampling. A sampling scheme where the decision to accept or reject an inspection lot with respect to a specified requirement is made after the inspection of a single sample. A single sampling plan consists of a single sample size with associated acceptance and rejection criteria.
Stationary lot sampling. The process of randomly selecting sample units from a lot whose production has been completed. This type of lot is usually stored in a warehouse or in some other storage facility and is offered in its entirety for inspection.
Subgroup. A group of sample units representing a portion of production.
Total defects. The sum of critical, major, and minor defects.
User. The person or agency at whose request inspection is conducted.
§ 42.103Purpose and scope.
(a) This subpart outlines the procedure to be used to establish the condition of containers in stationary lots of packaged foods. This subpart shall be used to determine the acceptability of a lot based on specified acceptable quality levels and defects referenced in § 42.104 or any alternative plan which is approved by the Administrator. In addition, any other sampling plan in the tables with a larger first sample size than that indicated by the lot size range may be specified when approved by the Administrator. This subpart or approved alternative plan will be applied when a Government agency or private user of the inspection or grading services requests that filled primary containers or shipping cases, or both, be certified for condition. Unless the request for certification specifically asks that only the primary container or only the shipping case be examined, both containers will be examined.
(b) Unless otherwise specified by the user of service, this subpart will not apply to inspection lots of less than 50 shipping cases or to inspection lots of less than 300 primary containers. When the primary container is the shipping case, the shipping case limit will apply. When the lot size exceeds either the 50 shipping case limit or the 300 primary container limit or both, the provisions of paragraph (a) of this section will apply.
(c) Under certain conditions, special procedures (Skip Lot Sampling and Inspection) may be used to determine the condition of containers in stationary lots of packaged foods. Subpart C sets forth the requirements and procedures for Skip Lot Sampling and Inspection.
§ 42.104Sampling plans and defects.
(a) Sampling plans. Sections 42.109 through 42.111 show the number of containers to examine for condition in relation to lot size ranges. The tables provide acceptance (Ac) and rejection (Re) numbers for lot acceptance (or rejection) based on the number, class, and type of defects present in the sample.
(b) Defects. The tables in § 42.112 enumerate and classify defects according to the degree to which the individual defect affects the serviceability, including appearance as well as usability, of the container for its intended purpose. The table in § 42.113 enumerates and classifies defects of the label, marking, or code.
§ 42.105Basis for selection of sample.
(a) Identification of lot. Selection of proper samples requires sufficient information to identify the lot; such information includes, but is not limited to:
(1) The lot size (see § 42.103 for restriction on small lots);
(2) The type and size of container;
(3) The code marks or other identification marks and the number of containers represented by each mark.
(4) The history of the lot regarding previous inspections; and
(5) The inspection status (normal, tightened, or reduced).
(b) Preliminary scanning. Prior to drawing the sample, the lot should be scanned to determine if any segments or portions are abnormal with respect to wet cases, blown cans, top layer rust, leaking bags, etc. If such segments or portions noted are of any consequence, the lot may be rejected for condition of containers without sampling.
(c) Sample size. Determination of the number of containers to check for condition:
(1) Refer to the table in §§ 42.109 through 42.111 (sampling plans) and find where the lot size (number of individual containers) fits into the column headed “Lot Size Ranges.”
(i) Tables I-A (normal), II-A (tightened), or III-A (reduced), as applicable, will apply to origin inspections, unless the contractor requests that corresponding single sampling plans be used.
(ii) The appropriate double sampling plans in Table I will apply to other than origin inspections, unless the contractor requests that corresponding single sampling plans be used.
(2) Select the appropriate sample size for the corresponding lot size range as indicated in the appropriate column headed “Sample Size.”
(3) Lots rejected for unsatisfactory condition of containers may be subsequently sampled after being reconditioned or reworked. Such lots or resulting portion of a lot may be sampled as a reoffered lot providing the reoffered portion is separately identifiable. When making such inspections, the appropriate sampling plan for tightened inspection shall be used. Except in the case of an appeal inspection, it is not permissible to reinspect a previously rejected lot until it has been reconditioned or reworked.
(d) Sample selection. Select samples from the lot presented in accordance with either of the following two procedures as may be applicable. (A lot offered for inspection will be accepted or rejected in its entirety with either sampling procedure used to select the sample.)
(1) Proportional random sampling. When the number of codes or other identifying marks within the lot and the approximate number of cases or containers per code are known, select sample units at random within each mark and in a number proportionate to the number of containers represented by such mark.
(2) Simple random sampling. When there are no code or other identifying marks, or when the number of codes or identifying marks within the lot and/or approximate number of cases or containers per mark are not known, select sample units at random from the entire lot.
(e) Maximum sample units per case. If the lot is cased, predetermine the number of containers to draw from each sampled case as well as the position within the case. Do not restrict the sampling to the top or bottom layers or to the corners. The best sample is one selected from all the various positions in the shipping case. It is desirable but not mandatory to limit the number of sample units to a single container from any one case. Multiple sample units may be taken from a single case but not in excess of the following plan:
(1) When containers are packed 12 or less to a case, draw a maximum of 6 sample units from any one case; and
(2) When containers are packed more than 12 to a case but not more than 60, draw a maximum of 12 sample units from any one case; and
(3) When containers are packed more than 60 to a case but not more than 250, draw a maximum of 16 sample units from any one case; and
(4) When containers are packed more than 250 in a case, draw a maximum of 24 sample units from any one case.
§ 42.106Classifying and recording defects.
(a) Classifying defects. Examine each sample unit for the applicable type of defects listed in the table covering the container being inspected in §§ 42.112 and 42.113. Other defects, not specifically listed, shall be classified according to their effect on the intended use of the container.
(1) Related defects are defects on a single container that are related to a single cause. If the initial incident causing one of the defects had not occurred, none of the other related defects on the container would be present. As an example of related defects, a can may be a leaker and the exterior may also be seriously rusted due to the leakage of the contents. In this case, the container is scored only once for these two defects since the rust condition can be attributed to the leak. Score the container according to whichever condition is the most serious. In this example, score as a “leaker” (a critical defect) and not as “pitted rust” (a major defect).
(2) Unrelated defects are defects on a single container that result from separate causes. If the incident that caused one of the defects had not occurred, the other unrelated defects on the container would still be present. As an example of unrelated defects, a can may be seriously rusted, may have a bad dent along the seam, and the label may also be detached from the can because of improper gluing. In this case it is unlikely that any of the three defects exist because of a common cause. Therefore, they are considered unrelated defects and should be scored as three defects.
(3) The lot acceptance portion of this procedure is based on the number of defects per 100 containers. It is necessary to determine if the defects on any one container are “related” defects or “unrelated” defects. A container is scored for the most serious of related defects, and is also scored for each unrelated defect.
(b) Recording defects. Record on a worksheet the number, type, and class (critical, major, or minor) of defects on each sample unit.
(c) Totaling defects. Add the number of defects in each class, then add the number of minor, major, and critical defects to obtain the total defects.
§ 42.107Lot acceptance criteria.
(a) The acceptability of the lot is determined by relating the number and class of defects enumerated on the worksheet to the acceptance and rejection numbers shown in §§ 42.109 through 42.111 for the respective sample size and Acceptable Quality Level (AQL).
(b) Unless otherwise specified, use the following AQL's for the respective class of defects:
Defect class
AQL at origin inspection
AQL at other than origin inspection
Critical
0.25
0.25
Major
1.5
2.5
Total
6.5
10.0
(c) Refer to the appropriate sample size and AQL and compare the number of defects found in the sample with the acceptance (Ac) and rejection (Re) numbers in the sampling plan.
(1) Accept the lot after examining the single sample or first sample of a double sampling plan when all of the following conditions are met:
(i) The number of critical defects does not exceed the applicable acceptance number (Ac) for critical defects, and
(ii) The number of major defects does not exceed the applicable acceptance number (Ac) for major defects, and
(iii) The total number of critical, major, and minor defects does not exceed the applicable acceptance number (Ac) for total defects.
(2) Reject the lot after examining the single sample or first sample of a double sampling plan when any one or more of the following conditions occur:
(i) The number of critical defects equals or exceeds the applicable rejection number (Re) for critical defects, or
(ii) The number of major defects equals or exceeds the applicable rejection number (Re) for major defects, or
(iii) The total number of critical, major, and minor defects equals or exceeds the applicable rejection number (Re) for total defects.
(3) If the lot can neither be accepted nor rejected on the first sample, when a double sampling plan is used, select and examine the prescribed second sample. Accept the lot if the accumulated defects of the first and second sample meet conditions of paragraph (c)(1) of this section, otherwise, reject the lot.
§ 42.108Normal, tightened, or reduced inspection.
(a) Normal inspection. Sampling plans for normal inspection are those in Tables I and I-A. These plans shall be used except when the history of inspection permits reduced inspection or requires tightened inspection.
(b) Tightened inspection. Sampling plans for tightened inspection are those in Tables II and II-A.
(c) Reduced inspection. Sampling plans for reduced inspection are those in Tables III and III-A.
(d) Switching rules. The normal inspection procedure shall be followed except when conditions in paragraph (d) (1) or (3) of this section are applicable or unless otherwise specified. Application of the following switching rules will be restricted to the inspection of lots for one applicant at a single location (plant, warehouse, etc.), and will be based upon records of original inspections of lots (excluding resubmitted lots) at that same location.
(1) Normal inspection to reduced inspection. When normal inspection is in effect, reduced inspection shall be instituted providing that reduced inspection is considered desirable by the Administrator and further provided that all of the following conditions are satisfied for each class of defect:
(i) The preceding 10 inspection lots (or more, as indicated by the note to Table III-B) which have been inspected within the preceding 6 months have been on normal inspection and none has been rejected on original inspection; and
(ii) The total number of defects in the samples from the preceding 10 inspection lots (or such other number of lots used for condition in paragraph (d)(1)(i) of this section) is equal to or less than the applicable number given in Table III-B. If a double sampling plan is used, all samples inspected should be included, not “first” samples only; and
(2) Reduced inspection to normal inspection. When reduced inspection is in effect, normal inspection shall be reinstituted if any of the following occur:
(i) An inspection lot is rejected on original inspection; or
(ii) Production becomes irregular (delayed or accelerated); or
(iii) Other valid conditions warrant that normal inspection shall be reinstituted.
(3) Normal inspection to tightened inspection. When normal inspection is in effect, tightened inspection shall be instituted when 2 out of 5 consecutive inspection lots have been rejected on original inspection.
(4) Tightened inspection to normal inspection. When tightened inspection is in effect, normal inspection shall be reinstituted when five consecutive inspection lots have been considered acceptable on original inspection.
(e) When the rules require a switch in the inspection status because of one or more classes of defects, all classes of defects shall be inspected under the new inspection criteria. At the option of the user of the service and when approved by the Administrator, such user may elect to remain on normal inspection when qualified for reduced inspection, or on tightened inspection when qualified for normal inspection.
(f) Appeal inspection —(1) Appeal request. Any interested party who is not satisfied with the results of a condition inspection on packaged food containers, as stated on an official certificate, may request an appeal inspection.
(2) How to file an appeal. A request for an appeal inspection may be made orally or in writing. If made orally, written confirmation may be required. The applicant shall clearly state the reasons for requesting the appeal service and a description of the product to be appealed.
(3) When an application for an appeal inspection may be refused. When it appears that: (i) The reasons given in the request are frivolous or not substantial; or (ii) the condition of the containers has undergone a material change since the original inspection; or (iii) the original lot is no longer intact, the applicant's request for the appeal inspection may be refused. In such case, the applicant shall be promptly notified of the reason(s) for such refusal.
(4) Who shall perform the appeal. An appeal inspection shall be performed by a person(s) other than the person who made the inspection being appealed.
(5) Sampling procedures. The sampling plan for an appeal inspection shall be the next larger sampling plan from the plan in the table used in the original inspection.
(6) Appeal certificate. Immediately after an appeal inspection is completed, an appeal certificate shall be issued to show that the original inspection was sustained or was not sustained. Such certificate shall supersede any previously issued certificate for the inspection involved and shall clearly identify the number and date of the superseded certificate. The issuance of the appeal certificate may be withheld until the previously issued certificate and all copies have been returned when such action is deemed necessary to protect the interest of the Government.
§ 42.109Sampling plans for normal condition of container inspection, Tables I and I-A.
Table I—Single Sampling Plans for Normal Condition of Container Inspection
Code
Lot size ranges— Number of containers in lot
Type of Plan
Acceptable quality levels
Origin Inspection
Other Than Origin Inspection
Sample size
0.25
1.5
6.5
0.25
2.5
10.0
Ac
Re
Ac
Re
Ac
Re
Ac
Re
Ac
Re
Ac
Re
CA
6,000 or less
Single
84
0
1
3
4
9
10
0
1
4
5
13
14
CB
6,001-12,000
Single
168
1
2
5
6
16
17
1
2
7
8
23
24
CC
12,001-36,000
Single
315
2
3
8
9
28
29
2
3
13
14
41
42
CD
Over 36,000
Single
500
3
4
12
13
42
43
3
4
18
19
62
63
CE
Single
800
4
5
18
19
64
65
4
5
27
28
95
96
Ac = Acceptance number.
Re = Rejection number.
§ 42.110Sampling plans for tightened condition of container inspection; Tables II and II-A.
Table II—Single Sampling Plans for Tightened Condition of Container Inspection
Code
Lot size ranges— Number of containers in lot
Type of Plan
Acceptable quality levels
Origin Inspection
Other Than Origin Inspection
Sample Size
0.25
1.5
6.5
0.25
2.5
10.0
Ac
Re
Ac
Re
Ac
Re
Ac
Re
Ac
Re
Ac
Re
CB
6,000 or less
Single
168
0
1
4
5
11
12
0
1
5
6
16
17
CC
6,001-12,000
Single
315
1
2
6
7
19
20
1
2
8
9
28
29
CD
12,001-36,000
Single
500
2
3
9
10
28
29
2
3
12
13
42
43
CE
Over 36,000
Single
800
3
4
13
14
42
43
3
4
18
19
64
65
CF
Single
1,250
4
5
19
20
63
64
4
5
26
27
96
97
§ 42.111Sampling plans for reduced condition of container inspection, Tables III and III-A; and limit number for reduced inspection, Table III-B.
Table III—Single Sampling Plans for Reduced Condition of Container Inspection
Code
Lot size ranges— Number of containers in lot
Type of Plan
Acceptable quality levels
Origin inspection
Other Than Origin Inspection
Sample Size
0.25
1.5
6.5
0.25
2.5
10.0
Ac
Re
Ac
Re
Ac
Re
Ac
Re
Ac
Re
Ac
Re
CAA
6,000 or less
Single
29
1
2
1
2
4
5
1
2
2
3
5
6
CA
6,001-36,000
Single
84
1
2
3
4
9
10
1
2
4
5
13
14
CB
Over 36,000
Single
168
1
2
5
6
16
17
1
2
7
8
23
24
CC
Single
315
2
3
8
9
28
29
2
3
13
14
41
42
Table III-B—Limit Numbers for Reduced Inspection
Number of sample units from last 10 lots inspected within 6 months
Acceptable quality level
0.25
1.5
2.5
6.5
10.0
320-499
(*)
1
4
14
24
500-799
(*)
3
7
25
40
800-1,249
0
7
14
42
68
1,250-1,999
0
13
24
69
110
2,000-3,149
2
22
40
115
181
3,150-4,999
4
38
67
186
293
5,000-7,999
7
63
110
302
472
8,000-12,499
14
105
181
491
765
12,500-19,999
24
169
290
777
1207
* Denotes that the number of sample units from the last 10 inspection lots is not sufficient for reduced inspection for this AQL. In this instance more than 10 inspection lots may be used for the calculations if; the inspection lots used are the most recent ones in sequence within the last 6 months, they have all been on normal inspection, and none has been rejected on original inspection.
§ 42.112Defects of containers: Tables IV, V, VI, VII, VIII, IX, and X.
Table IV—Metal Containers
[Rigid and semi-rigid]
Defects
Categories
Critical
Major
Minor
Type or size of container or component parts not as specified
None permitted
Closure incomplete, not located correctly or not sealed, crimped, or fitted properly:
(a) Heat processed primary container
1
(b) Non-heat processed primary container
101
(c) Other than primary container
201
Dirty, stained, or smeared container
202
Key opening metal containers (when required):
(a) Key missing
102
(b) Key does not fit tab
103
(c) Tab of opening band insufficient to provide accessibility to key
104
(d) Improper scoring (band would not be removed in one continuous strip)
105
Metal pop-top:
(a) Missing or broken pull tab
106
(b) Missing or incomplete score line (not conforming to a relevant product specification)
107
Flexible pop-top:
(a) Poor seal (wrinkle, entrapped matter, etc.)
108
(b) Short pull tab (not conforming to a relevant product specification)
203
(c) Missing pull tab
109
(d) Torn pull tab
204
Open top with plastic overcap (when required):
(a) Plastic overcap missing
110
(b) Plastic overcap warped (making opening or reapplication difficult)
111
Outside tinplate or coating (when required):
(a) Missing or incomplete
205
(b) Blistered, flaked, sagged, or wrinkled
206
(c) Scratched or scored
207
(d) Fine cracks
208
Rust (rust stain confined to the top or bottom double seam or rust that can be removed with a soft cloth is not scored a defect):
(a) Rust stain
209
(b) Pitted rust
112
Wet cans (excluding refrigerated containers)
210
Dent:
(a) Materially affecting appearance but not usability
211
(b) Materially affecting usability
113
Buckle:
(a) Not involving end seam
212
(b) Extending into the end seam
114
Collapsed container
115
Paneled side materially affecting appearance but not usability
213
Solder missing when required
116
Cable cut exposing seam
117
Improper side seam
118
Swell, springer, or flipper (not applicable to gas or pressure packed product nor frozen products)
2
Leaker or blown container
3
Frozen products only:
(a) Bulging ends 3 ⁄ 16 -inch to 1 ⁄ 4 -inch beyond lip
214
(b) Bulging ends more than 1 ⁄ 4 -inch beyond lip
119
Metal drums: leaking filling seal (bung) swell 1
4
120
1 Defect classification depends on the severity of the defect.
Table V—Composite Containers
[Fiberboard body with metal lids or metal bottoms, plastic or foil top with cap]
Defects
Categories
Critical
Major
Minor
Type or size of container or component parts not as specified
None permitted
Closure incomplete, not located correctly or not sealed, crimped, or fitted properly
1
Dirty, stained, or smeared container
201
Easy open closure:
(a) Pull tab:
1. Missing or broken pull tab
101
2. Missing or incomplete score line
102
(b) Membrane top:
1. Poor seal (wrinkle, entrapped matter, etc.)
103
2. Short pull tab
104
3. Missing pull tab
105
4. Torn pull tab
106
(c) Open top with plastic overcap (when required):
1. Plastic overcap missing
107
2. Plastic overcap warped (making opening or reapplication difficult)
108
Outside tinplate or coating on ends (when required):
(a) Missing or incomplete
202
(b) Blistered, flaked, sagged, or wrinkled
203
(c) Scratched or scored
204
(d) Fine cracks
205
Collapsed container
109
Paneled side materially affecting appearance but not usability
206
Leaker
2
Wet or damp:
(a) Materially affecting appearance but not usability
207
(b) Materially affecting usability
110
Crushed or torn area:
(a) Materially affecting appearance but not usability
208
(b) Materially affecting usability
111
Table VI—Glass Containers
[Bottles, Jars]
Defects
Categories
Critical
Major
Minor
Type or size of container or component parts not as specified
None permitted
Closure not sealed, crimped, or fitted properly:
(a) Heat processed
1
(b) Non-heat processed
101
Dirty, stained, or smeared container
201
Chip in glass
202
Stone (unmelted material) in glass
203
Pits in surface of glass
204
Sagging surface
205
Bead (bubble within glass):
(a) 1 ⁄ 8 -inch to 1 ⁄ 16 -inch in diameter
206
(b) Exceeding 1 ⁄ 8 -inch in diameter
102
Checked
103
Thin spot in glass
104
Blister (structural defect)
105
Bird swing (glass appendage inside container)
2
Broken or leaking container
3
Cap (nonheat processed):
(a) Cross-threaded
207
(b) Loose but not leaking
208
(c) Pitted rust
106
Cap (heat processed):
(a) Cross-threaded or loose
4
(b) Pitted rust
107
Sealing tape or cello band (when required):
(a) Improperly placed
209
(b) Not covering juncture of cap and glass
108
(c) Ends overlap by less than 1 ⁄ 2 -inch
109
(d) Loose or deteriorating
110
Missing or torn outer safety seal
111
Inner safety seal—missing, torn, poor seal
112
Table VII—Plastic Containers
[Rigid and Semi-Rigid, Bottles, Jars, Tubs, Trays, Pails, etc.]
Defects
Categories
Critical
Major
Minor
Type or size of container or component parts not as specified
None permitted
Closure not sealed, crimped, or fitted properly:
(a) Heat processed
1
(b) Non-heat processed
101
Dirty, stained, or smeared container
201
Chip in plastic
202
Un-melted gels in plastic
203
Pits in surface of plastic
204
Sagging surface
205
Air bubble within plastic:
(a) 1 ⁄ 8 -inch to 1 ⁄ 16 -inch in diameter
206
(b) Exceeding 1 ⁄ 8 -inch in diameter
102
Checked
103
Thin spot in plastic
104
Blister (structural defect)
105
Broken or leaking container
2
Cap (non-heat processed):
(a) Cross-threaded
207
(b) Loose but not leaking
208
Cap (heat processed), cross-threaded or loose
3
Security seals:
(a) Closure ring missing
106
(b) Missing or torn outer safety seal
107
(c) Inner safety seal—missing, torn, or poor seal
108
(d) Sealing tape or cello band (when required):
1. Improperly placed
209
2. Not covering juncture of cap and plastic
109
3. Ends overlap by less than 1 ⁄ 2 -inch
110
4. Loose or deteriorating
111
Table VIII—Rigid and Semi-Rigid Containers—Corrugated or Solid Fiberboard, Chipboard, Wood, Paperboard Aseptic Cartons, Polymeric Trays, etc.
[Excluding metal, glass, and plastic]
Defects
Categories
Critical
Major
Minor
Type or size of container or component parts not as specified
None permitted
Component part missing
101
Closure not sealed, crimped, or fitted properly:
(a) Primary container
1
(b) Other than primary container
201
Dirty, stained, or smeared container
202
Wet or damp (excluding ice packs):
(a) Materially affecting appearance but not usability
203
(b) Materially affecting usability
102
Moldy area
2
Crushed or torn area:
(a) Materially affecting appearance but not usability
204
(b) Materially affecting usability
103
Separation of lamination (corrugated fiberboard):
(a) Materially affecting appearance but not usability
205
(b) Materially affecting usability
104
Product sifting or leaking
105
Nails or staples (when required):
(a) Not as required, insufficient number or improperly positioned
206
(b) Nails or staples protruding
106
Glue or adhesive (when required); not holding properly, not covering area specified, or not covering sufficient area to hold properly:
(a) Primary container
107
(b) Other than primary container
207
Flap:
(a) Projects beyond edge of container more than 1 ⁄ 4 -inch
208
(b) Does not meet properly, allowing space of more than 1 ⁄ 4 -inch
209
Sealing tape or strapping (when required):
(a) Missing
108
(b) Improperly placed or applied
210
Missing component (straw, etc.)
211
Paperboard Aseptic Cartons:
(a) Missing re-sealable cap or tab
109
(b) Inner or outer safety seal—missing, torn, poor seal
3
Thermostabilized polymeric trays:
Tray body:
(a) Swollen container
4
(b) Tear, crack, hole, abrasion through more than one layer of multi-layer laminate for the tray
5
(c) Presence of delamination in multi-layered laminate
212
(d) Presence of any permanent deformation, such that deformed area is discolored or roughened in texture
213
Lid material:
(a) Closure seal not continuous along tray flange surface
6
(b) Foldover wrinkle in seal area extends into the closure seal such that the closure seal is reduced to less than 1 ⁄ 8 -inch
7
(c) Any impression or design on the seal surfaces which conceals or impairs visual detection of seal defects
110
(d) Areas of “wave-like” striations or wrinkles along the seal area that spans the entire width of seal
214
(e) Abrasion of lid material:
1. Within 1 ⁄ 16 -inch of food product edge of seal such that barrier layer is exposed
8
2. Greater than 1 ⁄ 16 -inch from food product edge of seal that barrier layer is exposed
215
(f) Presence of entrapped matter within 1 ⁄ 16 -inch of the food product edge of seal or entrapped moisture or vapor with 1 ⁄ 16 -inch of the food product edge of seal that results in less than 1 ⁄ 16 -inch of defect free seal width at the outside edge
9
(g) Presence of any seal defect or anomaly (for example, entrapped moisture, gases, etc.) within 1 ⁄ 16 -inch of food product edge of seal
111
(h) Closure seal width less than 1 ⁄ 8 -inch
216
Table IX—Flexible Containers
[Plastic, Cellophane, Paper, Textile, Laminated Multi-Layer Pouch, Bag, etc.]
Defects
Categories
Critical
Major
Minor
Type or size of container or component parts not as specified
None permitted
Closure not sealed, crimped, stitched, or fitted properly:
(a) Heat processed primary container
1
(b) Non-heat processed primary container
101
(c) Other than primary container
201
Dirty, stained, or smeared container
202
Unmelted gels in plastic
203
Torn or cut container or abrasion (non-leaker):
(a) Materially affecting appearance but not usability
204
(b) Materially affecting usability
102
Moldy area
2
Individual packages sticking together or to shipping case (tear when separated)
103
Not fully covering product
104
Wet or damp (excluding ice packs):
(a) Materially affecting appearance but not usability
205
(b) Materially affecting usability
105
Over wrap (when required):
(a) Missing
106
(b) Loose, not sealed, or closed
206
(c) Improperly applied
207
Sealing tape, strapping, or adhesives (when required):
(a) Missing
107
(b) Improperly placed, applied, torn, or wrinkled
208
Tape over bottom and top closures (when required):
(a) Not covering stitching
108
(b) Torn (exposing stitching)
109
(c) Wrinkled (exposing stitching)
110
(d) Not adhering to bag:
1. Exposing stitching
111
2. Not exposing stitching
209
(e) Improper placement
210
Product sifting or leaking:
(a) Non-heat processed
112
(b) Heat processed
3
Flexible pop-top:
(a) Poor seal (wrinkle, entrapped matter, etc.) reducing intact seal to less than 1 ⁄ 16 -inch
4
(b) Short pull tab (materially affecting usability)
212
(c) Missing pull tab
113
(d) Torn pull tab (materially affecting usability)
213
Missing component (straw, etc.)
214
Two part container (poly lined box or bag in box):
(a) Outer case torn
215
(b) Poly liner:
1. Missing
5
2. Improper closure
114
Missing “zip lock” (re-sealable containers)
216
Loss of vacuum (in vacuum-packed)
115
Pre-formed containers:
(a) Dented or crushed area
217
(b) Deformed container
218
Missing re-sealable cap
116
Inner or outer safety seal—missing, torn, poor seal
6
Air bubble in plastic
117
Thermostabilized products (includes but not limited to tubes, pouches, etc.):
Foldover wrinkle in seal area (thermostabilized pouches):
(a) Extends through all plies across seal area or reduces seal less than 1 ⁄ 16 -inch
7
(b) Does not extend through all plies and effective seal is 1 ⁄ 16 -inch or greater
219
Incomplete seal (thermostabilized pouches)
8
Non-bonding seal (thermostabilized pouches)
9
Laminate separation in body of pouch or in seal within 1 ⁄ 16 -inch of food product edge:
(a) If food contact layer is exposed
10
(b) If food contact surface is exposed after manipulation or laminate separation expands after manipulation
118
(c) If lamination separation is limited to isolated spots that do not propagate with manipulation or is outer ply separation in seal within 1 ⁄ 16 -inch of food product edge of seal
220
Flex cracks (cracks in foil layer only)
221
Swollen container
11
Blister (in seal) reducing intact seal to less than 1 ⁄ 16 -inch
12
Compressed seal (overheated to bubble or expose inner layer) reducing intact seal to less than 1 ⁄ 16 -inch
13
Stringy seal (excessive plastic threads showing at edge of seal area)
222
Contaminated seal (entrapped matter) reducing intact seal to less than 1 ⁄ 16 -inch
14
Seal creep (product in pouch “creeping” into seal) reducing intact seal to less than 1 ⁄ 16 inch
15
Misaligned or crooked seal reducing intact seal to less than 1 ⁄ 16 -inch
16
Seal formed greater than 1-inch from edge of pouch (unclosed edge flaps)
223
Waffling (embossing on surface from retort racks; not scorable unless severe)
224
Poor or missing tear notch (when required)
225
Table X—Unitizing
[Plastic or other type of casing/unitizing]
Defects
Categories
Major
Minor
Not specified method
101
Missing tray (when required)
102
Missing shrink wrap (when required)
103
Loose or improperly applied wrap
201
Torn or mutilated
202
Off-center wrap (does not overlap both ends)
203
§ 42.113Defects of label, marking, or code.
Table XI—Label, Marking, or Code
Defects
Categories
Major
Minor
Not specified method
101
Missing (when required)
102
Loose or improperly applied
201
Torn or mutilated
202
Torn or scratched, obliterating any markings on the label
103
Text illegible or incomplete
203
Incorrect
104
In wrong location
204
§ 42.114Procedures for evaluating interior container defects.
(a) Sections 42.101-42.136 provide procedures for determining lot conformance with the U.S. Standards for Condition of Food Containers. This determination is based on the examination of the external characteristics of the food containers.
(b) As an option, if a user of the inspection service requests to have the interior characteristics of containers examined, and apply these results in the determination of lot acceptability, the defects listed in Table XII may be used.
(c) The determination of lot acceptability based on internal container defects shall be independent of the determination of lot acceptability for U.S. Standards for Condition of Food Containers. A user of the inspection service may choose to require inspection for internal can defects as well as inspection for U.S. Standards for Condition of Food Containers.
(d) If a user of the inspection service requests an examination for internal container defects in addition to an official USDA/USDC inspection for product quality and/or U.S. grade, the containers opened by the official inspection service for inspection of product quality and/or U.S. grade will be used for examination of interior container defects. The minimum sample size for evaluation of interior container defects will be 13 containers. As a result, additional containers will be required if the inspection for quality or U.S. grade calls for fewer than 13 containers. Table XIII provides acceptance numbers for internal container defects for selected sample sizes.
Table XII—Interior Container Defects
Defects
Categories
Major
Minor
De-tinning in metal container materially affecting usability
101
De-tinning in metal container not materially affecting usability
201
Black spots in metal container
202
Enamel missing (when required) in metal container
102
Enamel breakdown in metal container material affecting usability
103
Enamel breakdown in metal container material not affecting usability
203
Other defect(s) of the interior of the container (metal, plastic, paper, rigid, etc.) e.g., interior damage, tear, delamination, missing layer, off-odor, interior blisters, etc. that materially affects usability
104
Defect(s) of the interior of the container (metal, plastic, paper, rigid, etc.) e.g., interior damage, tear, delamination, missing layer, off-odor, interior blisters, etc. that materially affects appearance but not usability
204
Table XIII—Acceptance Numbers for Internal Container Defects
Sample Size (n = number of containers)
Major
Total
Interior Defects
Interior Defects
Ac
Re
Ac
Re
n—13
0
1
2
3
n—21
1
2
3
4
n—29
1
2
4
5
n—38
2
3
5
6
n—48
2
3
6
7
n—60
2
3
7
8
§ 42.120Description and qualification.
Skip lot sampling and inspection are special procedures for inspecting stationary lots in which only one-half or one-fourth of the lots offered for inspection are formally inspected. Skip lot sampling and inspection procedures may be instituted only when all of the following conditions are met:
(a) When authorized by the Administrator and acceptable to the user and producer, if different from the user.
(b) When inspection is origin inspection (see § 42.102).
(c) When all lots can be expected to be of essentially the same quality.
(d) When lots from the producer are currently on, or eligible to be on, either normal or reduced inspection.
§ 42.121Sampling and inspection procedures.
(a) Following skip lot procedure authorization, inspect every lot consecutively offered for inspection using normal inspection procedures as set forth in Subpart B of this part. When 10 consecutive lots are acceptable, inspect only one-half of the lots offered for inspection using normal inspection procedures. While on the one-half inspection rate, when 10 consecutively inspected lots are acceptable, inspect only one-fourth of the lots offered for inspection using normal inspection procedures. While on the one-half or one-fourth inspection rate, if any formally inspected lot is unacceptable, revert immediately to the inspection of every lot using normal inspection procedures and recommence the above procedure. See § 42.123 for a flow diagram of the skip lot sampling plan.
(b) Two exceptions to the procedures in paragraph (a) of this section are as follows:
(1) The skip lot sampling and inspection rate of one-half can be instituted immediately if the lots from the producer are currently on, or eligible to be on, reduced inspection and all other conditions in § 42.120 are met. After skip lot sampling and inspection begins, however, only normal inspection is permitted.
(2) While inspecting every lot consecutively as offered for inspection, i.e., while not on the one-half or one-fourth sampling and inspection rate, if requirements for switching from normal to tightened inspection are met as specified in § 42.108 then skip lot procedures terminate, tightened inspection is initiated, and stationary lot sampling and inspection procedures in Subpart B are instituted. Skip lot procedures may be instituted again only when all conditions of § 42.120 are met.
(c) All lot selections for the one-half and one-fourth inspection rates must be strictly random (for example, not every other lot or every fourth lot). Use of random number tables, coin flipping, or numbered cards is encouraged.
(d) Preliminary scanning procedures (see § 42.105) shall be used on all lots scheduled for formal inspection and also shall be used on lots not scheduled for inspection (“skipped” lots) whenever the inspector feels such action is prudent to further insure the acceptability of such lots.
§ 42.122Applicability of other procedures.
Whenever appropriate, the procedures for classifying and recording defects in § 42.106 and for appeal inspections in § 42.108 also apply to skip lot sampling and inspection.
§ 42.123Flow diagram for skip lot sampling and inspection.
Notes:
1. Only normal inspection is permitted.
2. All lot selections for the one-half and one-fourth sampling rates must be strictly random (for example, not every other lot or every fourth lot).
3. Two exceptions to the procedures shown above are as follows:
(a) The skip lot sampling and inspection rate of one-half can be instituted immediately if the lots from the producer are currently on, or eligible to be on, reduced inspection and all other conditions in § 42.120 are met. When skip lot inspection begins, however, only normal inspection is permitted.
(b) While inspecting every lot consecutively as offered for inspection, i.e., while not on the one-half or one-fourth rate, if requirements for switching from normal to tightened inspection are met as specified in § 42.108 then skip lot procedures terminate, tightened inspection is initiated, and stationary lot sampling and inspection procedures in Subpart B are instituted. Skip lot procedures may be instituted again only when all conditions of § 42.120 are met.
§ 42.130Description and qualifications.
(a) In many instances, food containers are loaded directly into carriers immediately after final packaging. This situation makes stationary lot sampling and inspection impractical. For such circumstances, the optional procedure for on-line sampling and inspection using cumulative sum sampling plans is provided. On-line sampling and inspection is a procedure in which subgroups of sampling units are selected randomly from predesignated portions of production. The acceptability of the portions of production is determined by inspecting, at the time of the sampling, the subgroups which represent these portions. On-line sampling and inspection contrasts with stationary lot procedures in which sample units are selected randomly and inspected and lot acceptability determinations are made only after lot production is completed.
(b) On-line sampling and inspection procedures may be instituted only when all of the following conditions are met:
(1) When authorized by the Administrator and acceptable to the user and producer, if different from the user.
(2) When inspection is origin inspection (see § 42.102).
(3) When previous production lots from the producer are currently on, or eligible to be on, either normal or reduced inspection. (When shifting from stationary lot sampling and inspection to on-line sampling and inspection, normal on-line inspection shall be initially used.)
(4) When inspection of the containers is performed at a point after which all condition of container related characteristics are fixed and will not be subject to change during final handling.
§ 42.131Selection of samples.
(a) Prior to commencement of on-line sampling and inspection, the total amount of production for a given day or shift is predicted and is then subdivided into conveniently designated portions of production approximately equal in size. Portions may be designated by sequential numbers (e.g., containers 1 through 500 are portion 1, containers 501 through 1000 are portion 2, etc.) or by time intervals (e.g., the first half hour of production is portion 1, the second half hour of production is portion 2, etc.) during which the containers are identified by individual production codes for each time interval.
(b) Determine the number of sample units in a subgroup as follows:
Type of Inspection and Number of Sample Units
Normal—25
Tightened—50
Reduced—13
(c) Subgroups are drawn randomly from portions of production throughout the production process and are inspected for defects. The drawing of sampling units may be done in either of two ways: (1) The number of sample units (13, 25 or 50) comprising a subgroup may be drawn at the same time from a randomly chosen point in the production of each portion, or (2) sample units may be drawn individually, but in a random manner, throughout the production of each portion. At least 6 subgroups must be obtained during each basic inspection period regardless of the system used to designate portions of production.
(d) A shift to on-line sampling plans from stationary lot sampling plans (or vice versa) during a basic inspection period is not permitted.
§ 42.132Determining cumulative sum values.
(a) The parameters for the on-line cumulative sum sampling plans for AQL's applicable to origin inspection are as follows:
Acceptable quality levels
Type of inspection
Normal
Tightened
Reduced
T
L
S
T
L
S
T
L
S
0.25
0.05
0.95
0.35
0.1
0.9
0.3
0
0
0
1.5
0.5
2
1
0.8
1.6
0.4
0.5
0.5
0
6.5
2
3
1
2.5
3
1
1
2
1
(b) At the beginning of the basic inspection period, the CuSum value is set equal to the starting value (“S”) for the specified CuSum plan. The CuSum value is then determined for each consecutive subgroup as follows:
(1) Add the number of defects for the present subgroup to the CuSum value of the previous subgroup.
(2) Subtract the subgroup tolerance (“T”).
(3) The CuSum value is reset in the following situations; however, determine portion of production acceptability (see § 42.133) prior to resetting the CuSum value:
(i) Reset the CuSum value to zero (0) if the CuSum value is less than zero (0).
(ii) Reset the CuSum value to the acceptance limit (“L”) if the CuSum value exceeds the acceptance limit (“L”).
§ 42.133Portion of production acceptance criteria.
(a) The acceptability of a portion of production is determined by comparing the calculated CuSum value with the acceptance limit (“L”) for the specified AQL.
(b) A portion of production is acceptable if the CuSum value, calculated from the subgroup representing that portion, is equal to or less than the acceptance limit (“L”) for all classes of defects.
(c) A portion of production is rejected if the CuSum value, calculated from the subgroup representing that portion, exceeds the acceptance limit (“L”) for one or more classes of defects.
§ 42.134Disposition of rejected portions of production.
Rejected portions of production from the same basic inspection period may be reworked, combined together to form a lot, and resubmitted for inspection under the criteria for tightened inspection using stationary lot sampling procedures described in subpart B of this part.
§ 42.135Normal, tightened or reduced on-line inspection.
(a) Normal, tightened and reduced on-line sampling plans are specified in § 42.132 (Determining cumulative sum values). Normal plans shall be used except when the history of inspection permits reduced inspection or requires tightened inspection.
(b) Switching rules: Normal on-line inspection procedures shall be followed except when conditions in paragraph (b) (1) or (3) of this section are applicable or unless otherwise specified. Application of the following switching rules will be restricted to the inspection of production for one applicant at a single production location and will be based upon records of original inspections of production (excluding resubmitted portions previously rejected and reworked) at that same location.
(1) Normal inspection to reduced inspection. When normal inspection is in effect, reduced inspection shall be instituted provided that reduced inspection is considered desirable by the Administrator and further provided that all of the following conditions are satisfied for each class of defect:
(i) The preceding 40 consecutive portions of production have been on normal inspection and no more than one of these portions has been rejected on original inspection; and
(ii) The total number of defects in the subgroups (1000 sample units) from these preceding 40 consecutive portions of production is less than or equal to the following limit numbers for the specified AQL's:
Acceptable quality levels
Limit No.
0.25
0
1.5
9
6.5
54
(2) Reduced inspection to normal inspection. When reduced inspection is in effect, normal inspection shall be reinstituted if any of the following occurs:
(i) More than one portion of production in any 40 consecutive portions of production is rejected on original inspection; or
(ii) Production becomes irregular (delayed or accelerated); or
(iii) Other valid conditions warrant that normal inspection shall be reinstituted.
(3) Normal inspection to tightened inspection. When normal inspection is in effect, tightened inspection shall be instituted when two out of five consecutive portions of production have been rejected.
(4) Tightened inspection to normal inspection. When tightened inspection is in effect, normal inspection shall be reinstituted when five consecutive portions of production have been considered acceptable.
(c) When the rules require a switch in the inspection status because of one or more classes of defects, all classes of defects shall be inspected under the new inspection criteria. At the option of the user of the service, and when approved by the Administrator, such user may elect to remain on normal inspection when qualified for reduced inspection, or on tightened inspection when qualified for normal inspection.
§ 42.136Applicability of other procedures.
When appropriate, the procedures for classifying and recording defects in § 42.106 and for appeal inspections in § 42.108 also apply to on-line sampling and inspection.
§ 42.140Operating Characteristic (OC) curves for on-line sampling and inspection.
(a) This section contains the Operating Characteristic (OC) curve for each of the sampling plans given in Tables I, I-A, II, II-A, III, and III-A. The OC curve and the corresponding sampling plans are listed by AQL.
(b) Different acceptance and rejection criteria are provided for each AQL. The criteria for each AQL must be obtained from the applicable sampling plan tables.
(c) The curves show the ability of the various sampling plans to distinguish between good and bad lots. This can be illustrated by examining OC curve 6 for an AQL of 0.25 defects per hundred units in the Reduced and Normal Inspection Plans. If the quality of the lots submitted for inspection is poorer than the AQL of 0.25 defects per hundred units, fewer lots will be accepted. For example, OC curve 6 shows that when the quality of lots submitted for inspection is 1.0 defects per hundred units, only 26 percent of the lots are expected to be accepted. Conversely when the quality of the lots submitted for inspection is better than the AQL of 0.25 defects per hundred units, most lots are expected to be accepted. For example, the same OC curve 6 shows that when the quality of lots submitted for inspection is 0.10 defects per hundred units, about 99 percent of the lots are expected to be accepted.
(d) The table of sampling plans that correspond to OC curve 6 can be found over the curves for an AQL of 0.25 defects per hundred units in the Reduced and Normal Inspection Plan. An examination of this table reveals that there is one single and one double sampling plan that have OC curves comparable to OC curve 6. The first plan listed is a single plan requiring the inspection of 500 individual containers. Under this plan the lot is accepted as meeting the requirements for an AQL of 0.25 if there are 3 or less defects in the sample or rejected if there are 4 or more defects in the sample.
(e) The next plan that is listed in the column headed 6 for an AQL of 0.25 is a double sampling plan that requires the initial inspection of 228 individual containers. The lot will be accepted as meeting the requirements of an AQL of 0.25 if there are no defects in the sample, and rejected if there are 3 or more defects in the sample. In the event that the number of defects is between the acceptance (0) and rejection (3) numbers, additional containers must be inspected. In this case, the table indicates that a total of 516 containers must be inspected before a decision can be made to either accept or reject the lot. This will require the inspection of 288 more containers (516 − 228 = 288).
If there are 3 or less defects in the total sample, the lot will be accepted. If there are 4 or more defects in the total sample, the lot will be rejected. The other double sampling plans operate in a similar manner with the only differences being the sample sizes and acceptance and rejection numbers.
Reduced and Normal Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 0.15 Defects per Hundred Units
[Sampling plans—AQL = 0.15]
Comparable sampling plans
Identification number of OC curve
R1
R2
R3
R4
N4
N5
N6
N7
N8
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
29
1
2
84
1
2
126
0
1
315
1
2
168
1
2
264
1
2
500
2
3
800
3
4
1,250
4
5
Double
18
0
2
36
0
2
120
0
2
174
0
2
252
0
3
456
0
4
36
1
2
96
1
2
180
1
2
336
1
2
540
2
3
864
3
4
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Tightened Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 0.15 Defects per Hundred Units
[Sampling plans—AQL = 0.15]
Comparable sampling plans
Identification number of OC curves
1
2
3
4
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
264
0
1
500
1
2
800
2
3
1,250
3
4
Double
360
0
2
456
0
3
576
0
3
516
1
2
864
2
3
1,296
3
4
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Reduced and Normal Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 0.25 Defects per Hundred Units
[Sampling plans—AQL = 0.25]
Comparable sampling plans
Identification number OC curves
R1
N2
R3
N and R4
N and R5
N6
N7
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
29
1
2
84
0
1
84
1
2
168
1
2
315
2
3
500
3
4
800
4
5
Double
18
0
2
36
0
2
120
0
2
168
0
3
228
0
3
18
1
2
96
1
2
180
1
2
348
2
3
516
3
4
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Tightened Inspection Plans—Sampling Plans and Operation Characteristics (OC) Curves for AQL = 0.25 Defects per Hundred Units
[Sampling plans—AQL = 0.25]
Comparable sampling plans
Identification number of OC curves
1
2
3
4
5
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
168
0
1
315
1
2
500
2
3
800
3
4
1,250
4
5
Double
168
0
2
228
0
3
456
0
4
348
1
2
516
2
3
864
3
4
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Reduced and Normal Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 0.50 Defects per Hundred Units
[Sampling plans—AQL = 0.50]
Comparable sampling plans
Identification number of OC curves
R1
N and R2
N and R3
N and R4
N5
N6
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
29
1
2
84
1
2
168
2
3
315
3
4
500
5
6
800
7
8
Double
18
0
2
36
0
2
120
0
3
168
0
4
228
0
5
36
1
2
96
1
2
180
2
3
348
3
4
516
5
6
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Tightened Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 0.50 Defects per Hundred Units
[Sampling plans—AQL = 0.50]
Comparable sampling plans
Identification number of OC curves
1
2
3
4
5
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
168
1
2
315
2
3
500
3
4
800
4
5
1,250
6
7
Double
120
0
2
168
0
3
228
0
3
456
1
5
180
1
2
348
2
3
516
3
4
864
4
5
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Reduced and Normal Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 1.00 Defects per Hundred Units
[Sampling plans—AQL = 1.00]
Comparable sampling plans
Identification number of OC curves
R1
N and R2
N and R3
N and R4
N5
N6
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
29
1
2
84
2
3
168
4
5
315
6
7
500
9
10
800
13
14
Double
18
0
2
36
0
3
120
2
5
168
1
5
228
2
7
36
1
2
96
2
3
180
4
5
348
7
8
516
9
10
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Tightened Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 1.00 Defects per Hundred Units
[Sampling plans—AQL = 1.00]
Comparable sampling plans
Identification number of OC curves
1
2
3
4
5
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
168
2
3
315
3
4
500
5
6
800
7
8
1,250
10
11
Double
120
0
3
168
0
4
228
0
5
456
2
6
180
2
3
348
3
4
516
5
6
864
8
9
n c = Cumulative sample size Ac = Acceptance number. Re = Rejection number.
Reduced and Normal Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 1.50 Defects per Hundred Units
[Sampling plans—AQL = 1.50]
Comparable sampling plans
Identification number of OC curves
R1
N and R2
N and R3
N and R4
N5
N6
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
29
1
2
84
3
4
168
5
6
315
8
9
500
12
13
800
18
19
Double
18
0
2
36
0
4
120
2
6
168
2
7
228
3
9
36
1
2
96
3
4
180
5
6
348
9
10
516
12
13
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Tightened Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 1.50 Defects per Hundred Units
[Sampling plans—AQL = 1.50]
Comparable sampling plans
Identification number of OC curves
1
2
3
4
5
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
168
4
5
315
6
7
500
9
10
800
13
14
1,250
19
20
Double
120
2
5
168
1
5
228
2
7
456
5
10
180
4
5
348
7
8
516
9
10
864
14
15
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Reduced and Normal Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 2.50 Defects per Hundred Units
[Sampling plans—AQL = 2.50]
Comparable sampling plans
Identification number of OC curves
R1
N and R2
N and R3
N and R4
N5
N6
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
29
2
3
84
4
5
168
7
8
315
13
14
500
18
19
800
27
28
Double
18
0
3
36
0
4
120
3
7
168
5
10
228
5
11
36
2
3
96
4
5
180
8
9
348
14
15
516
19
20
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Tightened Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 2.50 Defects per Hundred Units
[Sampling plans—AQL = 2.50]
Comparable sampling plans
Identification number of OC curves
1
2
3
4
5
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
168
5
6
315
8
9
500
12
13
800
18
19
1,250
26
27
Double
120
2
6
168
2
7
228
3
9
456
8
13
180
5
6
348
9
10
516
12
13
864
19
20
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Reduced and Normal Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 4.00 Defects per Hundred Units
[Sampling plans—AQL = 4.00]
Comparable sampling plans
Identification number of OC curves
R1
N and R2
N and R3
N and R4
N5
N6
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
29
3
4
84
6
7
168
11
12
315
19
20
500
28
29
800
42
43
Double
18
1
3
36
0
5
120
6
10
168
7
13
228
8
17
36
4
5
96
7
8
180
12
13
348
21
22
516
29
30
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Tightened Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 4.00 Defects per Hundred Units
[Sampling plans—AQL = 4.00]
Comparable sampling plans
Identification number of OC curves
1
2
3
4
5
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
168
7
8
315
13
14
500
18
19
800
27
28
1,250
41
42
Double
120
3
7
168
5
10
228
5
11
456
12
19
180
8
9
348
14
15
516
19
20
864
29
30
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Reduced and Normal Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 2.50 Defects per Hundred Units
[Sampling plans—AQL = 6.50]
Comparable sampling plans
Identification number of OC curves
R1
N and R2
N and R3
N and R4
N5
N6
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
29
4
5
84
9
10
168
16
17
315
28
29
500
42
43
800
64
65
Double
18
1
4
36
2
7
120
10
14
168
12
18
228
15
24
36
5
6
96
10
11
180
17
18
348
31
32
516
43
44
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Tightened Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 6.50 Defects per Hundred Units
[Sampling plans—AQL = 6.50]
Comparable sampling plans
Identification number of OC curves
1
2
3
4
5
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
168
11
12
315
19
20
500
28
29
800
42
43
1,250
63
64
Double
120
6
10
168
7
13
228
8
17
456
21
28
180
12
13
348
21
22
516
29
30
864
44
45
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Reduced and Normal Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 10.00 Defects per Hundred Units
[Sampling plans—AQL = 10.00]
Comparable sampling plans
Identification number of OC curves
R1
N and R2
N and R3
N and R4
N5
N6
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
29
5
6
84
13
14
168
23
24
315
41
42
500
62
63
800
95
96
Double
18
2
5
36
3
9
120
14
19
168
19
26
228
23
34
36
6
7
96
15
16
180
25
26
348
45
46
516
64
65
n c = Cumulative sample size. Ac = Acceptance number. Re = Rejection number.
Tightened Inspection Plans—Sampling Plans and Operating Characteristic (OC) Curves for AQL = 10.00 Defects per Hundred Units
[Sampling plans—AQL = 10.00]
Comparable sampling plans
Identification number of OC curves
1
2
3
4
5
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
n c
Ac
Re
Single
168
16
17
315
28
29
500
42
43
800
64
65
1,250
96
97
Double
120
10
14
168
12
18
228
15
24
456
32
41
180
17
18
348
31
32
516
43
44
864
69
70
n c = Cumulative sampling size. Ac = Acceptance number. Re = Rejection number.
§ 42.141Obtaining Operating Characteristic (OC) curve information for skip lot sampling and inspection.
The Operating Characteristic (OC) curve information (probability of acceptance) for skip lot sampling and inspection procedures described in § 42.121 is easily obtained from the single curve in § 42.142. The procedure for using the curve in § 42.142 is as follows:
(a) Select any sampling plan for normal condition of container inspection from Table I or Table I-A of § 42.109.
(b) For a given Quality of Submitted Lots, 100 p , find the Percent of Lots Expected to be Accepted, Pa from the respective OC curve in § 42.140.
(c) Refer to § 42.142 with this Percent of Lots Expected to be Accepted, Pa, and read the new Percent of Lots Expected to be Accepted, Pas, which results when using these skip lot procedures.
For example, let's assume the lot size is 6,001 to 12,000 containers, and we use the single sampling plan of size 168 for normal inspection (Table I of § 42.109) along with an AQL for total defects of 6.5. The OC curve for this sampling plan is curve N and R3. Also, assume that the quality of the lot is 6.5 defects per hundred units. From curve N and R3, then, the Pa is determined to be 95 percent. Then refer to the graph in § 42.142 and locate Pa of 95 percent along the horizontal axis. From this point, proceed vertically to the curve and then horizontally to the left to the vertical axis. From this point on the vertical axis, Pas is determined to be approximately 98
1
percent for skip lot sampling and inspection.
1 This slight increase of Pas over Pa results because all the lots offered for inspection are no longer being inspected. Some lots are being “skipped”, and thereby accepted, which would have been rejected if inspected. The largest increase in Pa which will occur using skip lot sampling is approximately 4 percent. It is for this reason that skip lot sampling procedures are applied only in instances where past production quality has been consistently high—as evidenced by the requirement to have 10 consecutively acceptable lots prior to a reduction in sampling rate—and where all requirements in § 42.120 also have been met.
§ 42.142Curve for obtaining Operating Characteristic (OC) curve information for skip lot sampling and inspection.
Notes:
1. This curve applies only to the specific skip lot sampling and inspection plan described in §§ 42.121 and 42.123.
2. Pa and Pas are essentially equal for values under 50 percent.
§ 42.143Operating Characteristic (OC) curves for on-line sampling and inspection.
(a) This section contains the Operating Characteristic (OC) curve for each of the on-line cumulative sum sampling plans provided in subpart D. The OC curve and the corresponding cumulative sum sampling plans are listed by AQL.
(b) Different plan parameters used to make acceptance and rejection decisions are provided for each AQL.
(c) The curves show the ability of the various cumulative sum sampling plans to distinguish between good and bad portions of production. The interpretation of these curves for portions of production is similar to the interpretation of the OC curves for stationary lots as illustrated in § 42.140(c).
Reduced, Normal and Tightened Inspection Plans—Cumulative Sum Sampling Plans and Operating Characteristic (OC) Curves for AQL = 0.25 Defects per Hundred Units
[Sampling plans—AQL = 0.25]
Identification name of OC curves
Reduced
Normal
Tightened
n g
T
L
S
n g
T
L
S
n g
T
L
S
13
0
0
0
25
0.05
0.95
0.35
50
0.1
0.9
0.3
n g = Number of sample units in a subgroup. T = Subgroup tolerance. L = Acceptance limit. S = Starting value.
Reduced, Normal, and Tightened Inspection Plans—Cumulative Sum Sampling Plans and Operating Characteristic (OC) Curves for AQL = 1.5 Defects per Hundred Units
[Sampling plans—AQL = 1.5]
Identification name of OC curves
Reduced
Normal
Tightened
n g
T
L
S
n g
T
L
S
n g
T
L
S
13
0.5
0.5
0
25
0.5
2
1
50
0.8
1.6
0.4
n g = Number of sample units in a subgroup. T = Subgroup tolerance. L = Acceptance limit. S = Starting value.
Reduced, Normal, and Tightened Inspection Plans—Cumulative Sampling Plans and Operating Characteristic (OC) Curves for AQL = 6.5 Defects per Hundred Units
[Sampling Plans—AQL = 6.5]
Identification name of OC curves
Reduced
Normal
Tightened
n g
T
L
S
n g
T
L
S
n g
T
L
S
13
1
2
1
25
2
3
1
50
2.5
3
1
n g = Number of sample units in a subgroup. T = Subgroup tolerance. L = Acceptance limit. S = Starting value.
29 sections
Cite this law
STANDARDS FOR CONDITION OF FOOD CONTAINERS (U.S.C.). Retrieved via LawPlayer, https://lawplayer.com/us/act/cfr-title-7-part-42
United States government works (U.S. Code, Code of Federal Regulations) are in the public domain under 17 U.S.C. § 105.
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