50 CFR § 260.61 - Sampling plans and procedures for determining lot compliance.

§ 260.61 Sampling plans and procedures for determining lot compliance.

(a) Except as otherwise provided for in this section in connection with in-plant inspection and unless otherwise approved by the Secretary, samples shall be selected from each lot in the exact number of sample units indicated for the lot size in the applicable single sampling plan or, at the discretion of the inspection service, any comparable multiple sampling plan: Provided, That at the discretion of the inspection service the number of sample units selected may be increased to the exact number of sample units indicated for any one of the larger sample sizes provided for in the appropriate plans.

(b) Under the single sampling plans with respect to any specified requirement:

(1) If the number of deviants (as defined in connection with the specific requirements) in the sample does not exceed the acceptance number prescribed for the sample size the lot meets the requirement;

(2) If the number of deviants (as defined in connection with the specific requirement) in the sample exceeds the acceptance number prescribed for the sample size the lot fails the requirement.

(c) Under the multiple sampling plans inspection commences with the smallest sample size indicated under the appropriate plan and with respect to any specified requirement:

(1) If the number of deviants (as defined in connection with the specific requirement) in the sample being considered does not exceed the acceptance number prescribed for that sample size the lot meets the requirement;

(2) If the number of deviants (as defined in connection with the specific requirement) in the sample being considered equals or exceeds the rejection number prescribed for that sample size the lot fails the requirement; or

(3) If the number of deviants (as defined in connection with the specific requirement) in the sample being considered falls between the acceptance and rejection numbers of the plan, additional sample units are added to the sample so that the sample thus cumulated equals the next larger cumulative sample size in the plan. It may then be determined that the lot meets or fails the specific requirement by considering the cumulative sample and applying the procedures outlined in paragraphs (c)(1) and (2) of this section or by considering successively larger samples cumulated in the same manner until the lot meets or fails the specific requirement.

(d) If in the conduct of any type of in-plant inspection the sample is examined before the lot size is known and the number of sample units exceeds the prescribed sample size for such lot but does not equal any of the prescribed larger sample sizes the lot may be deemed to meet or fail a specific requirement in accordance with the following procedure:

(1) If the number of deviants (as defined in connection with the specific requirement) in the nonprescribed sample does not exceed the acceptance number of the next smaller sample size the lot meets the requirements;

(2) If the number of deviants (as defined in connection with the specific requirement) in the nonprescribed sample equals the acceptance number prescribed for the next larger sample size additional sample units shall be selected to increase the sample to the next larger prescribed sample size;

(3) If the number of deviants (as defined in connection with the specific requirement) in the nonprescribed sample exceeds the acceptance number prescribed for the next larger sample size the lot fails the requirement.

(e) In the event that the lot compliance determination provisions of a standard or specification are based on the number of specified deviations instead of deviants the procedures set forth in this section may be applied by substituting the word “deviation” for the word “deviant” wherever it appears.

(f) Sampling plans referred to in this section are those contained in Tables I, II, III, IV, V, and VI which follow or any other plans which are applicable. For processed products not included in these tables, the minimum sample size shall be the exact number of sample units prescribed in the table, container group, and lot size that, as determined by the inspector, most closely resembles the product, type, container size and amount of product to be samples.

Single Sampling Plans and Acceptance Levels

Table I - Canned or Similarly Processed Fishery Products, and Products Thereof Containing Units of Such Size and Character as to be Readily Separable

Container size group Lot size (number of containers)
group 1
Any type of container of less volume than that of a No. 300 size can (300 × 407) 3,600 or less 3,601-14,400 14,401-48,000 48,001-96,000 96,001-156,000 156,001-228,000 228,001-300,000 300,001-420,000 Over 420,000
group 2
Any type of container of a volume equal to or exceeding that of a No. 300 size can, but not exceeding that of a No. 3 cylinder size can (404 × 700) 2,400 or less 2,401-12,000 12,001-24,000 24,001-48,000 48,001-72,000 72,001-108,000 108,001-168,000 168,001-240,000 Over 240,000
group 3
Any type of container of a volume exceeding that of a No. 3 cylinder size can, but not exceeding that of a No. 12 size can (603 × 812) 1,200 or less 1,201-7,200 7,201-15,000 15,001-24,000 24,001-36,000 36,001-60,000 60,001-84,000 84,001-120,000 Over 120,000
group 4
Any type of container of a volume exceeding that of a No. 12 size can, but not exceeding that of a 5-gallon container 200 or less 201-800 801-1,600 1,601-2,400 2,401-3,600 3,601-8,000 8,001-16,000 16,001-28,000 Over 28,000
group 5
Any type of container of a volume exceeding that of a 5-gallon container 25 or less 26-80 81-200 201-400 401-800 801-1,200 1,201-2,000 2,001-3,200 Over 3,200
Single sampling plans 1
Sample size (number of sample units) 2 3 6 13 21 29 38 48 60 72
Acceptance number 0 1 2 3 4 5 6 7

1 For extension of the single sample sizes beyond 72 sample units, refer to table V of this section; for multiple sampling plans comparable to the various single sampling plans refer to table VI of this section.

2 The sample units for the various container size groups are as follows: Groups 1, 2, and 3 - 1 container and its entire contents. Groups 4 and 5 - approximately 2 pounds of product. When determined by the inspector that a 2-pound sample unit is inadequate, a larger sample unit may be substituted.

Table II - Frozen or Similarly Processed Fishery Products, and Products Thereof Containing Units of Such Size and Character as to be Readily Separable

Container size group Lot size (number of containers)
group 1
Any type of container of 1 pound or less net weight 2,400 or less 2,401-12,000 12,001-24,000 24,001-48,000 48,001-72,000 72,001-108,000 108,001-168,000 168,001-240,000 Over 240,000
group 2
Any type of container over 1 pound but not over 4 pounds net weight 1,800 or less 1,801-8,400 8,401-18,000 18,001-36,000 36,001-60,000 60,001-96,000 96,001-132,000 132,001-168,000 Over 168,000
group 3
Any type of container over 4 pounds but not over 10 pounds net weight 900 or less 901-3,600 3,601-10,800 10,801-18,000 18,001-36,000 36,001-60,000 60,001-84,000 84,001-120,000 Over 120,000
group 4
Any type of container over 10 pounds but not over 100 pounds net weight 200 or less 201-800 801-1,600 1,601-2,400 2,401-3,600 3,601-8,000 8,001-16,000 16,001-28,000 Over 28,000
group 5
Any type of container over 100 pounds net weight 25 or less 26-80 81-200 201-400 401-800 801-1,200 1,201-2,000 2,001-3,200 Over 3,200
Single sampling plans 1
Sample size (number of sample units) 2 3 6 13 21 29 38 48 60 72
Acceptance number 0 1 2 3 4 5 6 7 8

1 For extension of the single sample sizes beyond 72 sample units, refer to table V of this section; for multiple sampling plans comparable to the various single sampling plans refer to table VI of this section.

2 The sample units for the various container size groups are as follows: Groups 1, 2, and 3 - 1 container and its entire contents. Groups 4 and 5 - approximately 3 pounds of product. When determined by the inspector that a 3-pound sample unit is inadequate, a larger sample unit or 1 or more containers and their entire contents may be substituted for 1 or more sample units of 3 pounds.

Table III - Canned, Frozen, or Otherwise Processed Fishery and Related Products, and Products Thereof of a Comminuted, Fluid, or Homogeneous State

Container size group 1 Lot size (number of containers)
group 1
Any type of container of 12 ounces or less 5,400 or less 5,401-21,600 21,601-62,400 62,401-112,000 112,001-174,000 174,001-240,000 240,001-360,000 360,001-480,000 Over 480,000
group 2
Any type of container over 12 ounces but not over 60 ounces 3,600 or less 3,601-14,400 14,401-48,000 48,001-96,000 96,001-156,000 156,001-228,000 228,001-300,000 300,001-420,000 Over 420,000
group 3
Any type of container over 60 ounces but not over 160 ounces 1,800 or less 1,801-8,400 8,401-18,000 18,001-60,000 36,001-60,000 60,001-96,000 96,001-132,000 132,001-168,000 Over 168,000
group 4
Any type of container over 160 ounces but not over 10 gallons or 100 pounds whichever is applicable 200 or less 201-800 801-1,600 1,601-3,200 3,201-8,000 8,001-16,000 16,001-24,000 24,001-32,000 Over 32,000
group 5
Any type of container over 10 gallons or 100 pounds whichever is applicable 25 or less 26-80 81-200 201-400 401-800 801-1,200 1,201-2,000 2,001-3,200 Over 3,200
Single sampling plans 2
Sample size (number of sample units) 3 3 6 13 21 29 38 48 60 72
Acceptance number 0 1 2 3 4 5 6 7 8

1 Ounces pertain to either fluid ounces of volume or avoirdupois ounces of net weight whichever is applicable for the product involved.

2 For extension of the single sample sizes beyond 72 sample units, refer to table V of this section; for multiple sampling plans comparable to the various single sampling plans refer to table VI of this section.

3 The sample units for the various container size groups are as follows: Groups 1, 2, and 3 - 1 container and its entire contents. A smaller sample unit may be substituted in group 3 at the inspector's discretion. Groups 4, 5, and 6 - approximately 16 ounces of product. When determined by the inspector that a 16-ounce sample unit is inadequate, a larger sample unit may be substituted.

Table IV - Dehydrated Fishery and Related Products

Container size group Lot size (number of containers)
group 1
Any type of container of 1 pound or less net weight 1,800 or less 1,801-8,400 8,401-18,000 18,001-36,000 36,001-60,000 60,001-96,000 96,001-132,000 132,001-168,000 Over 168,000
group 2
Any type of container over 1 pound but not over 6 pounds net weight 900 or less 901-3,600 3,601-10,800 10,801-18,000 18,001-36,000 36,001-60,000 60,001-84,000 84,001-120,000 Over 120,000
group 3
Any type of container over 6 pounds but not over 20 pounds net weight 200 or less 201-800 801-1,600 1,601-3,200 3,201-8,000 8,001-16,000 16,001-24,000 24,001-32,000 Over 32,000
group 4
Any type of container over 20 pounds but not over 100 pounds net weight 48 or less 49-400 401-1,200 1,201-2,000 2,001-2,800 2,801-6,000 6,001-9,600 9,601-15,000 Over 15,000
group 5
Any type of container over 100 pounds net weight 16 or less 17-80 81-200 201-400 401-800 801-1,200 1,201-2,000 2,001-3,200 Over 3,200
Single sampling plans 1
Sample size (number of sample units) 2 3 6 13 21 29 38 48 60 72
Acceptance number 0 1 2 3 4 5 6 7 8

1 For extension of the single sample sizes beyond 72 sample units, refer to table V of this section; for multiple sampling plans comparable to the various single sampling plans refer to table VI of this section.

2 The sample units for the various container size groups are as follows: Group 1 - 1 container and its entire contents. Groups 2, 3, 4, and 5 - 1 container and its entire contents or a smaller sample unit when determined by the inspector to be adequate.

Table V - Single Sampling Plans for Use in Increasing Sample Size Beyond 72 Sample Units

Sample size, n 84 96 108 120 132 144 156 168 180 192 204 216 230 244 258 272 286 300 314 328 342 356 370 384 400
Acceptance numbers, c 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33

Multiple Sampling Plans 1

Table VI - Multiple Sampling Plans Comparable to the Indicated Single Sampling Plans

Indicated single sampling plan:
Single sample size, n 6 13 21 29 38 48 60 72
Acceptance numbers, c 1 2 3 4 5 6 7 8
Cumulative sample sizes, n c, and acceptance numbers, c, n c c r n c c r n c c r n c c r n c c r n c c r n c c r n c c r
and rejection numbers, r, for multiple sampling. 4 0 2 8 0 3 10 0 3 12 0 4 14 0 4 16 0 4 18 0 5 22 0 5
6 0 2 10 0 3 14 1 4 16 0 4 20 0 5 24 1 5 28 1 6 32 1 7
8 1 2 12 1 3 18 1 4 20 1 5 26 1 6 32 2 6 38 2 7 42 2 8
14 2 3 22 2 5 24 2 5 32 2 6 40 3 8 48 3 8 52 3 9
26 4 5 28 3 6 38 3 7 48 4 8 58 4 8 62 5 10
32 3 6 44 6 7 56 7 8 68 8 9 72 6 10
36 5 6 82 9 10

1 These multiple sampling plans may be used in lieu of the single sampling plans listed at the heading of each column.

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