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Title 7 Part 42

Title 7 → Subtitle B → Chapter I → Subchapter A → Part 42

Electronic Code of Federal Regulations e-CFR

Title 7 Part 42

e-CFR data is current as of September 19, 2019

Title 7Subtitle BChapter ISubchapter A → Part 42


Title 7: Agriculture


PART 42—STANDARDS FOR CONDITION OF FOOD CONTAINERS


Contents

Subpart A—Definitions

§42.101   Meaning 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.

[31 FR 4687, Mar. 19, 1966; 31 FR 4949, Mar. 25, 1966; Redesignated at 42 FR 32514, June 27, 1977 and at 46 FR 63203, Dec. 31, 1981]

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§42.102   Definitions, 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.

[31 FR 4687, Mar. 19, 1966, as amended at 36 FR 18456, Sept. 15, 1971; 41 FR 42639, Sept. 28, 1976. Redesignated at 42 FR 32514, June 27, 1977, and further amended at 45 FR 69423, Oct. 21, 1980. Redesignated at 46 FR 63203, Dec. 31, 1981; 78 FR 57035, Sept. 17, 2013]

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Subpart B—Procedures for Stationary Lot Sampling and Inspection

§42.103   Purpose 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.

[31 FR 4687, Mar. 19, 1966, as amended at 36 FR 18456, Sept. 15, 1971; 41 FR 42639, Sept. 28, 1976. Redesignated at 42 FR 32514, June 27, 1977, and further amended at 45 FR 69424, Oct. 21, 1980. Redesignated at 46 FR 63203, Dec. 31, 1981]

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§42.104   Sampling 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.

[31 FR 4687, Mar. 19, 1966, as amended at 36 FR 18456, Sept. 15, 1971. Redesignated at 42 FR 32514, June 27, 1977 and 46 FR 63203, Dec. 31, 1981]

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§42.105   Basis 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.

[31 FR 4687, Mar. 19, 1966, as amended at 36 FR 18456, Sept. 15, 1971. Redesignated at 42 FR 32514, June 27, 1977 and 46 FR 63203, Dec. 31, 1981]

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§42.106   Classifying 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.

[31 FR 4687, Mar. 19, 1966, as amended at 36 FR 18456, Sept. 15, 1971. Redesignated at 42 FR 32514, June 27, 1977 and 46 FR 63203, Dec. 31, 1981; 78 FR 57035, Sept. 17, 2013]

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§42.107   Lot 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 classAQL at origin inspectionAQL at other than origin inspection
Critical0.250.25
Major1.52.5
Total6.510.0

(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.

[31 FR 4687, Mar. 19, 1966, as amended at 36 FR 18456, Sept. 15, 1971. Redesignated at 42 FR 32514, June 27, 1977 and 46 FR 63203, Dec. 31, 1981]

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§42.108   Normal, 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.

[31 FR 4687, Mar. 19, 1966, as amended at 36 FR 18456, Sept. 15, 1971. Redesignated at 42 FR 32514, June 27, 1977 and 46 FR 63203, Dec. 31, 1981]

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§42.109   Sampling plans for normal condition of container inspection, Tables I and I-A.

Table I—Single Sampling Plans for Normal Condition of Container Inspection

CodeLot size ranges—
Number of containers
in lot
Type of PlanAcceptable quality levels
Origin InspectionOther Than Origin Inspection
Sample size0.251.56.50.252.510.0
AcReAcReAcReAcReAcReAcRe
CA6,000 or lessSingle84013491001451314
CB6,001-12,000Single1681256161712782324
CC12,001-36,000Single315238928292313144142
CDOver 36,000Single50034121342433418196263
CESingle80045181964654527289596

Ac = Acceptance number.

Re = Rejection number.

eCFR graphic er17se13.004.gif

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[78 FR 57035, Sept. 17, 2013]

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§42.110   Sampling plans for tightened condition of container inspection; Tables II and II-A.

Table II—Single Sampling Plans for Tightened Condition of Container Inspection

CodeLot size ranges—
Number of containers
in lot
Type of PlanAcceptable quality levels
Origin InspectionOther Than Origin Inspection
Sample Size0.251.56.50.252.510.0
AcReAcReAcReAcReAcReAcRe
CB6,000 or lessSingle1680145111201561617
CC6,001-12,000Single3151267192012892829
CD12,001-36,000Single5002391028292312134243
CEOver 36,000Single80034131442433418196465
CFSingle1,25045192063644526279697
eCFR graphic er17se13.005.gif

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[78 FR 57036, Sept. 17, 2013]

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§42.111   Sampling 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

CodeLot size ranges—
Number of containers
in lot
Type of PlanAcceptable quality levels
Origin inspectionOther Than Origin Inspection
Sample Size0.251.56.50.252.510.0
AcReAcReAcReAcReAcReAcRe
CAA6,000 or lessSingle29121245122356
CA6,001-36,000Single84123491012451314
CBOver 36,000Single1681256161712782324
CCSingle315238928292313144142
eCFR graphic er17se13.006.gif

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Table III-B—Limit Numbers for Reduced Inspection

Number of sample units from last 10 lots inspected within 6 monthsAcceptable quality level
0.251.52.56.510.0
320-499(*)141424
500-799(*)372540
800-1,24907144268
1,250-1,9990132469110
2,000-3,14922240115181
3,150-4,99943867186293
5,000-7,999763110302472
8,000-12,49914105181491765
12,500-19,999241692907771207

*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.

[78 FR 57038, Sept. 17, 2013]

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§42.112   Defects of containers: Tables IV, V, VI, VII, VIII, IX, and X.

Table IV—Metal Containers

[Rigid and semi-rigid]

DefectsCategories
CriticalMajorMinor
Type or size of container or component parts not as specifiedNone permitted
Closure incomplete, not located correctly or not sealed, crimped, or fitted properly:
(a) Heat processed primary container1
(b) Non-heat processed primary container101
(c) Other than primary container201
Dirty, stained, or smeared container202
Key opening metal containers (when required):
(a) Key missing102
(b) Key does not fit tab103
(c) Tab of opening band insufficient to provide accessibility to key104
(d) Improper scoring (band would not be removed in one continuous strip)105
Metal pop-top:
(a) Missing or broken pull tab106
(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 tab109
(d) Torn pull tab204
Open top with plastic overcap (when required):
(a) Plastic overcap missing110
(b) Plastic overcap warped (making opening or reapplication difficult)111
Outside tinplate or coating (when required):
(a) Missing or incomplete205
(b) Blistered, flaked, sagged, or wrinkled206
(c) Scratched or scored207
(d) Fine cracks208
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 stain209
(b) Pitted rust112
Wet cans (excluding refrigerated containers)210
Dent:
(a) Materially affecting appearance but not usability211
(b) Materially affecting usability113
Buckle:
(a) Not involving end seam212
(b) Extending into the end seam114
Collapsed container115
Paneled side materially affecting appearance but not usability213
Solder missing when required116
Cable cut exposing seam117
Improper side seam118
Swell, springer, or flipper (not applicable to gas or pressure packed product nor frozen products)2
Leaker or blown container3
Frozen products only:
(a) Bulging ends 316 -inch to 14 -inch beyond lip214
(b) Bulging ends more than 14 -inch beyond lip119
Metal drums: leaking filling seal (bung) swell14120

1Defect 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]

DefectsCategories
CriticalMajorMinor
Type or size of container or component parts not as specifiedNone permitted
Closure incomplete, not located correctly or not sealed, crimped, or fitted properly1
Dirty, stained, or smeared container201
Easy open closure:
(a) Pull tab:
1. Missing or broken pull tab101
2. Missing or incomplete score line102
(b) Membrane top:
1. Poor seal (wrinkle, entrapped matter, etc.)103
2. Short pull tab104
3. Missing pull tab105
4. Torn pull tab106
(c) Open top with plastic overcap (when required):
1. Plastic overcap missing107
2. Plastic overcap warped (making opening or reapplication difficult)108
Outside tinplate or coating on ends (when required):
(a) Missing or incomplete202
(b) Blistered, flaked, sagged, or wrinkled203
(c) Scratched or scored204
(d) Fine cracks205
Collapsed container109
Paneled side materially affecting appearance but not usability206
Leaker2
Wet or damp:
(a) Materially affecting appearance but not usability207
(b) Materially affecting usability110
Crushed or torn area:
(a) Materially affecting appearance but not usability208
(b) Materially affecting usability111

Table VI—Glass Containers

[Bottles, Jars]

DefectsCategories
CriticalMajorMinor
Type or size of container or component parts not as specifiedNone permitted
Closure not sealed, crimped, or fitted properly:
(a) Heat processed1
(b) Non-heat processed101
Dirty, stained, or smeared container201
Chip in glass202
Stone (unmelted material) in glass203
Pits in surface of glass204
Sagging surface205
Bead (bubble within glass):
(a) 18 -inch to 116 -inch in diameter206
(b) Exceeding 18 -inch in diameter102
Checked103
Thin spot in glass104
Blister (structural defect)105
Bird swing (glass appendage inside container)2
Broken or leaking container3
Cap (nonheat processed):
(a) Cross-threaded207
(b) Loose but not leaking208
(c) Pitted rust106
Cap (heat processed):
(a) Cross-threaded or loose4
(b) Pitted rust107
Sealing tape or cello band (when required):
(a) Improperly placed209
(b) Not covering juncture of cap and glass108
(c) Ends overlap by less than 12 -inch109
(d) Loose or deteriorating110
Missing or torn outer safety seal111
Inner safety seal—missing, torn, poor seal112

Table VII—Plastic Containers

[Rigid and Semi-Rigid, Bottles, Jars, Tubs, Trays, Pails, etc.]

DefectsCategories
CriticalMajorMinor
Type or size of container or component parts not as specifiedNone permitted
Closure not sealed, crimped, or fitted properly:
(a) Heat processed1
(b) Non-heat processed101
Dirty, stained, or smeared container201
Chip in plastic202
Un-melted gels in plastic203
Pits in surface of plastic204
Sagging surface205
Air bubble within plastic:
(a) 18 -inch to 116 -inch in diameter206
(b) Exceeding 18 -inch in diameter102
Checked103
Thin spot in plastic104
Blister (structural defect)105
Broken or leaking container2
Cap (non-heat processed):
(a) Cross-threaded207
(b) Loose but not leaking208
Cap (heat processed), cross-threaded or loose3
Security seals:
(a) Closure ring missing106
(b) Missing or torn outer safety seal107
(c) Inner safety seal—missing, torn, or poor seal108
(d) Sealing tape or cello band (when required):
1. Improperly placed209
2. Not covering juncture of cap and plastic109
3. Ends overlap by less than 12 -inch110
4. Loose or deteriorating111

Table VIII—Rigid and Semi-Rigid Containers—Corrugated or Solid Fiberboard, Chipboard, Wood, Paperboard Aseptic Cartons, Polymeric Trays, etc.

[Excluding metal, glass, and plastic]

DefectsCategories
CriticalMajorMinor
Type or size of container or component parts not as specifiedNone permitted
Component part missing101
Closure not sealed, crimped, or fitted properly:
(a) Primary container1
(b) Other than primary container201
Dirty, stained, or smeared container202
Wet or damp (excluding ice packs):
(a) Materially affecting appearance but not usability203
(b) Materially affecting usability102
Moldy area2
Crushed or torn area:
(a) Materially affecting appearance but not usability204
(b) Materially affecting usability103
Separation of lamination (corrugated fiberboard):
(a) Materially affecting appearance but not usability205
(b) Materially affecting usability104
Product sifting or leaking105
Nails or staples (when required):
(a) Not as required, insufficient number or improperly positioned206
(b) Nails or staples protruding106
Glue or adhesive (when required); not holding properly, not covering area specified, or not covering sufficient area to hold properly:
(a) Primary container107
(b) Other than primary container207
Flap:
(a) Projects beyond edge of container more than 14 -inch208
(b) Does not meet properly, allowing space of more than 14 -inch209
Sealing tape or strapping (when required):
(a) Missing108
(b) Improperly placed or applied210
Missing component (straw, etc.)211
Paperboard Aseptic Cartons:
(a) Missing re-sealable cap or tab109
(b) Inner or outer safety seal—missing, torn, poor seal3
Thermostabilized polymeric trays:
Tray body:
(a) Swollen container4
(b) Tear, crack, hole, abrasion through more than one layer of multi-layer laminate for the tray5
(c) Presence of delamination in multi-layered laminate212
(d) Presence of any permanent deformation, such that deformed area is discolored or roughened in texture213
Lid material:
(a) Closure seal not continuous along tray flange surface6
(b) Foldover wrinkle in seal area extends into the closure seal such that the closure seal is reduced to less than 18 -inch7
(c) Any impression or design on the seal surfaces which conceals or impairs visual detection of seal defects110
(d) Areas of “wave-like” striations or wrinkles along the seal area that spans the entire width of seal214
(e) Abrasion of lid material:
1. Within 116 -inch of food product edge of seal such that barrier layer is exposed8
2. Greater than 116 -inch from food product edge of seal that barrier layer is exposed215
(f) Presence of entrapped matter within 116 -inch of the food product edge of seal or entrapped moisture or vapor with 116 -inch of the food product edge of seal that results in less than 116 -inch of defect free seal width at the outside edge9
(g) Presence of any seal defect or anomaly (for example, entrapped moisture, gases, etc.) within 116 -inch of food product edge of seal111
(h) Closure seal width less than 18 -inch216

Table IX—Flexible Containers

[Plastic, Cellophane, Paper, Textile, Laminated Multi-Layer Pouch, Bag, etc.]

DefectsCategories
CriticalMajorMinor
Type or size of container or component parts not as specifiedNone permitted
Closure not sealed, crimped, stitched, or fitted properly:
(a) Heat processed primary container1
(b) Non-heat processed primary container101
(c) Other than primary container201
Dirty, stained, or smeared container202
Unmelted gels in plastic203
Torn or cut container or abrasion (non-leaker):
(a) Materially affecting appearance but not usability204
(b) Materially affecting usability102
Moldy area2
Individual packages sticking together or to shipping case (tear when separated)103
Not fully covering product104
Wet or damp (excluding ice packs):
(a) Materially affecting appearance but not usability205
(b) Materially affecting usability105
Over wrap (when required):
(a) Missing106
(b) Loose, not sealed, or closed206
(c) Improperly applied207
Sealing tape, strapping, or adhesives (when required):
(a) Missing107
(b) Improperly placed, applied, torn, or wrinkled208
Tape over bottom and top closures (when required):
(a) Not covering stitching108
(b) Torn (exposing stitching)109
(c) Wrinkled (exposing stitching)110
(d) Not adhering to bag:
1. Exposing stitching111
2. Not exposing stitching209
(e) Improper placement210
Product sifting or leaking:
(a) Non-heat processed112
(b) Heat processed3
Flexible pop-top:
(a) Poor seal (wrinkle, entrapped matter, etc.) reducing intact seal to less than 116 -inch4
(b) Short pull tab (materially affecting usability)212
(c) Missing pull tab113
(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 torn215
(b) Poly liner:
1. Missing5
2. Improper closure114
Missing “zip lock” (re-sealable containers)216
Loss of vacuum (in vacuum-packed)115
Pre-formed containers:
(a) Dented or crushed area217
(b) Deformed container218
Missing re-sealable cap116
Inner or outer safety seal—missing, torn, poor seal6
Air bubble in plastic117
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 116 -inch7
(b) Does not extend through all plies and effective seal is 116 -inch or greater219
Incomplete seal (thermostabilized pouches)8
Non-bonding seal (thermostabilized pouches)9
Laminate separation in body of pouch or in seal within 116 -inch of food product edge:
(a) If food contact layer is exposed10
(b) If food contact surface is exposed after manipulation or laminate separation expands after manipulation118
(c) If lamination separation is limited to isolated spots that do not propagate with manipulation or is outer ply separation in seal within 116 -inch of food product edge of seal220
Flex cracks (cracks in foil layer only)221
Swollen container11
Blister (in seal) reducing intact seal to less than 116 -inch12
Compressed seal (overheated to bubble or expose inner layer) reducing intact seal to less than 116 -inch13
Stringy seal (excessive plastic threads showing at edge of seal area)222
Contaminated seal (entrapped matter) reducing intact seal to less than 116 -inch14
Seal creep (product in pouch “creeping” into seal) reducing intact seal to less than 116 inch15
Misaligned or crooked seal reducing intact seal to less than 116 -inch16
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]

DefectsCategories
MajorMinor
Not specified method101
Missing tray (when required)102
Missing shrink wrap (when required)103
Loose or improperly applied wrap201
Torn or mutilated202
Off-center wrap (does not overlap both ends)203

[78 FR 57041, Sept. 17, 2013]

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§42.113   Defects of label, marking, or code.

Table XI—Label, Marking, or Code

DefectsCategories
MajorMinor
Not specified method101
Missing (when required)102
Loose or improperly applied201
Torn or mutilated202
Torn or scratched, obliterating any markings on the label103
Text illegible or incomplete203
Incorrect104
In wrong location204

[78 FR 57046, Sept. 17, 2013]

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§42.114   Procedures 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

DefectsCategories
MajorMinor
De-tinning in metal container materially affecting usability101
De-tinning in metal container not materially affecting usability201
Black spots in metal container202
Enamel missing (when required) in metal container102
Enamel breakdown in metal container material affecting usability103
Enamel breakdown in metal container material not affecting usability203
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 usability104
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 usability204

Table XIII—Acceptance Numbers for Internal Container Defects

Sample Size (n = number of containers)MajorTotal
Interior DefectsInterior Defects
AcReAcRe
n—130123
n—211234
n—291245
n—382356
n—482367
n—602378

[78 FR 57046, Sept. 17, 2013]

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Subpart C—Skip Lot Sampling and Inspection Procedures

Source: 41 FR 42639, Sept. 28, 1976, unless otherwise noted. Redesignated at 42 FR 32514, June 27, 1977, and further redesignated at 46 FR 63203, Dec. 31, 1981.

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§42.120   Description 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.

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§42.121   Sampling 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.

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§42.122   Applicability 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.

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§42.123   Flow diagram for skip lot sampling and inspection.

eCFR graphic ec02se91.000.gif

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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.

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Subpart D—On-Line Sampling and Inspection Procedures

Authority: Sec. 203, 205, 60 Stat. 1087, as amended, 1090, as amended (7 U.S.C. 1622, 1624).

Source: 45 FR 69428, Oct. 21, 1980, unless otherwise noted. Redesignated at 46 FR 63203, Dec. 31, 1981.

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§42.130   Description 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.

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§42.131   Selection 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.

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§42.132   Determining 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 levelsType of inspection
NormalTightenedReduced
TLSTLSTLS
0.250.050.950.350.10.90.3000
1.50.5210.81.60.40.50.50
6.52312.531121

(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”).

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§42.133   Portion 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.

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§42.134   Disposition 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.

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§42.135   Normal, 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 levelsLimit No.
0.250
1.59
6.554

(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.

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§42.136   Applicability 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.

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Subpart E—Miscellaneous

Authority: Agricultural Marketing Act of 1946, as amended (7 U.S.C. 1621 et seq.).

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§42.140   Operating 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 plansIdentification number of OC curve
R1R2R3R4N4N5N6N7N8
ncAcRencAcRencAcRencAcRencAcRencAcRencAcRencAcRencAcRe
Single291284121260131512168122641250023800341,25045
Double1802360212002174022520345604
   3612961218012336125402386434

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.001.gif

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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 plansIdentification number of OC curves
1234
ncAcRencAcRencAcRencAcRe
Single2640150012800231,25034
Double360024560357603
   51612864231,29634

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.002.gif

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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 plansIdentification number OC curves
R1N2R3N and R4N and R5N6N7
ncAcRencAcRencAcRencAcRencAcRencAcRencAcRe
Single29128401841216812315235003480045
Double18023602120021680322803
   18129612180123482351634

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.003.gif

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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 plansIdentification number of OC curves
12345
ncAcRencAcRencAcRencAcRencAcRe
Single168013151250023800341,25045
Double168022280345604
   348125162386434

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.004.gif

View or download PDF

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 plansIdentification number of OC curves
R1N and R2N and R3N and R4N5N6
ncAcRencAcRencAcRencAcRencAcRencAcRe
Single2912841216823315345005680078
Double18023602120031680422805
   36129612180233483451656

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.005.gif

View or download PDF

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 plansIdentification number of OC curves
12345
ncAcRencAcRencAcRencAcRencAcRe
Single168123152350034800451,25067
Double12002168032280345615
   18012348235163486445

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.006.gif

View or download PDF

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 plansIdentification number of OC curves
R1N and R2N and R3N and R4N5N6
ncAcRencAcRencAcRencAcRencAcRencAcRe
Single2912842316845315675009108001314
Double18023603120251681522827
   361296231804534878516910

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.007.gif

View or download PDF

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 plansIdentification number of OC curves
12345
ncAcRencAcRencAcRencAcRencAcRe
Single168233153450056800781,2501011
Double12003168042280545626
   18023348345165686489

nc = Cumulative sample size   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.008.gif

View or download PDF

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 plansIdentification number of OC curves
R1N and R2N and R3N and R4N5N6
ncAcRencAcRencAcRencAcRencAcRencAcRe
Single29128434168563158950012138001819
Double18023604120261682722839
   36129634180563489105161213

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.009.gif

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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 plansIdentification number of OC curves
12345
ncAcRencAcRencAcRencAcRencAcRe
Single168453156750091080013141,2501920
Double120251681522827456510
   18045348785169108641415

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.010.gif

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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 plansIdentification number of OC curves
R1N and R2N and R3N and R4N5N6
ncAcRencAcRencAcRencAcRencAcRencAcRe
Single2923844516878315131450018198002728
Double1803360412037168510228511
   362396451808934814155161920

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.011.gif

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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 plansIdentification number of OC curves
12345
ncAcRencAcRencAcRencAcRencAcRe
Single1685631589500121380018191,2502627
Double120261682722839456813
   1805634891051612138641920

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.012.gif

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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 plansIdentification number of OC curves
R1N and R2N and R3N and R4N5N6
ncAcRencAcRencAcRencAcRencAcRencAcRe
Single293484671681112315192050028298004243
Double18133605120610168713228817
   36459678180121334821225162930

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.013.gif

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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 plansIdentification number of OC curves
12345
ncAcRencAcRencAcRencAcRencAcRe
Single168783151314500181980027281,2504142
Double120371685102285114561219
   18089348141551619208642930

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.014.gif

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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 plansIdentification number of OC curves
R1N and R2N and R3N and R4N5N6
ncAcRencAcRencAcRencAcRencAcRencAcRe
Single2945849101681617315282950042438006465
Double18143627120101416812182281524
   3656961011180171834831325164344

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.015.gif

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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 plansIdentification number of OC curves
12345
ncAcRencAcRencAcRencAcRencAcRe
Single16811123151920500282980042431,2506364
Double1206101687132288174562128
   1801213348212251629308644445

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.016.gif

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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 plansIdentification number of OC curves
R1N and R2N and R3N and R4N5N6
ncAcRencAcRencAcRencAcRencAcRencAcRe
Single29568413141682324315414250062638009596
Double18253639120141916819262282334
   3667961516180252634845465166465

nc = Cumulative sample size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.017.gif

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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 plansIdentification number of OC curves
12345
ncAcRencAcRencAcRencAcRencAcRe
Single16816173152829500424380064651,2509697
Double1201014168121822815244563241
   1801718348313251643448646970

nc = Cumulative sampling size.   Ac = Acceptance number.   Re = Rejection number.

eCFR graphic ec02se91.018.gif

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[31 FR 4687, Mar. 19, 1966; 31 FR 4949, Mar. 25, 1966, as amended at 36 FR 18457, Sept. 15, 1971. Redesignated at 41 FR 42640, Sept. 28, 1976 and 42 FR 32514, June 27, 1977, further redesignated at 45 FR 69424, Oct. 21, 1980 and 46 FR 63203, Dec. 31, 1981]

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§42.141   Obtaining 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, 100p, 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 981 percent for skip lot sampling and inspection.

1This 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.

[41 FR 42641, Sept. 28, 1976. Redesignated at 42 FR 32514, June 27, 1977 and 45 FR 69424, Oct. 21, 1980 and further redesignated at 46 FR 63203, Dec. 31, 1981]

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§42.142   Curve for obtaining Operating Characteristic (OC) curve information for skip lot sampling and inspection.

eCFR graphic ec02se91.019.gif

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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.

[41 FR 42641, Sept. 28, 1976. Redesignated at 42 FR 32514, June 27, 1977 and further redesignated at 45 FR 69424, Oct. 21, 1980 and 46 FR 63203, Dec. 31, 1981]

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§42.143   Operating 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
ReducedNormalTightened
ngTLSngTLSngTLS
13000250.050.950.35500.10.90.3

ng = Number of sample units in a subgroup. T = Subgroup tolerance.   L = Acceptance limit.   S = Starting value.

eCFR graphic ec02se91.020.gif

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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
ReducedNormalTightened
ngTLSngTLSngTLS
130.50.50250.521500.81.60.4

ng = Number of sample units in a subgroup. T = Subgroup tolerance. L = Acceptance limit. S = Starting value.

eCFR graphic ec02se91.021.gif

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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
ReducedNormalTightened
ngTLSngTLSngTLS
1312125231502.531

ng = Number of sample units in a subgroup. T = Subgroup tolerance. L = Acceptance limit. S = Starting value.

eCFR graphic ec02se91.022.gif

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[45 FR 69424; Oct. 21, 1980. Redesignated at 46 FR 63203, Dec. 31, 1981]

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