Module 1 Sampling Plan & AQL

Module No. 1
Sampling Plan & AQL
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Prepared by: GTS
Approved by: Technical Manager
Date: Sep 7, 2018
BV CPS-IAC Revision: 02

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Bureau Veritas - 2015
© - Copyright 2015 Bureau Veritas – All rights reserved
Module 1: Session Agenda
1. Terms & Definition Introduction
2. Carter’s AQL Table
3. How to Achieve Random Sampling
4. Test Your Knowledge & Exercises
5. Questions and Answers

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After this session, you will be able …
1. To know what’s Inspection, Defect, Sampling Plan, Sample Size, AQL
and Unit of product
2. To use Carter’s AQL table to determine the Sample Size, and
maximum accepted nonconformity quantity, use guidelines to identify
acceptance or rejection of product lot
3. To understand how to count multiple defects in one sample
4. To apply systematic guidelines on how to draw the samples randomly

Chapter 1
Terms & Definition
written permission.

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►What is Inspection?
Inspection is the process of measuring, examining, testing or
other comparing the unit of product against the requirements.
Usually what we do is a Random Inspection - to draw samples
from a lot or batch, inspect them to find defects, then determine
the quality of the lot or batch. The sample selected should be at
random without regard to their quality.
►What is Done During Inspection?
Definition of Inspection
 Product quantity check
 Packing check
 Product conformity check
 Workmanship check
 On site tests (Focus on safety,
measurements etc.)

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►What is Defect?
A departure of a quality characteristic from its intended level or
state that occurs with a severity sufficient to cause a product not
to satisfy intended normal, or foreseeable, usage requirements. It
is also called Non-conformity.
Note:
What is Quality - The degree to which a set of inherent characteristics of a
product fulfils requirements.
What is Requirement - Requirement is the customer’s expectation for
quality or all internal process and product attributes that indicate whether the
customer’s expectation are being satisfied.
E.g. Carter’s DCL, product specification etc.
Definition of Defect

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Definition of Defect Classification
►Classification of Defects
 Critical Defect: a defect which is likely to result in a hazardous or
unsafe condition for an individual when using the product or fails to
meet mandatory regulations.
 Major Defect: a defect that which is likely to result in failure, reduce
the usability & salability and can easily be detected by the customer.
 Minor Defect: a defect which does not reduce the usability of the
product, can be noticed only after a careful examination, and may
reduce the salability, or a workmanship defect which is beyond the
defined quality standard.
Note: For Carter’s, refer to defect classification (major and minor ) in
Carter’s specific DCL.

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Definition of Lot Size, Sample Size & Unit
►What is Lot or Batch Size?
A collection of units of products from which samples are to be drawn and
inspected. Usually, it’s Shipment Quantity or Presented Quantity.
► What is Sample Size?
The number of samples selected from a lot or batch.
► How to count the number of samples, what is Unit?
The unit of sample is the unit of inspected in order to determine its
classification of defect and count the number of defects. It may be a
piece, a pair, a set, a carton, a end product itself.
Usually, unit of product is the same as the unit of purchase, production,
shipment or sale.

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Definition of Sampling Plan
►Sampling Plan
A sampling plan indicates the number of units of sample from each
lot or batch which are to be inspected (Sample size). It’s also
specified as Inspection Level.
The inspection level to be used for any particular requirement will be
proscribed by the responsible authority.
3 inspection levels: I, II and III are given in the standard (ANSI/ASQ
Z1.4 2013) for general use.
4 additional special levels: S-1, S-2, S-3 and S-4 are given in the
same table and may be used where relatively small sample sizes
are necessary and large sampling risks can be tolerated.

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►What is the AQL?
Acceptance Quality Limit. AQL is the quality level that is the worst
tolerable when a lot or batch is submitted for acceptance
sampling.
►Guidelines of identifying acceptance or rejection of
product lots:
 Reject - If the number of defectives found in one inspection is
greater than the acceptance number on the AQL table.
 Accept - If the number of defectives found in one inspection is
equal to or less than the acceptance number on the AQL table.
Definition of AQL

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Defect Counting of Multiple Defects on Same Sample
►If one sample has several defects, we should count them as
1 defective according to the seriousness.
 If one sample has several major defects, we should count them as 1
major defective.
 If one sample has 1 critical and 1 major defects, we should count them
as 1 critical defective.
 If one sample has 1 major defect and 1 minor defect, we should count
as 1 major defective.
 If 3 or more minor defects are found within the same sample, the
sample is then counted as 1 major defective.
Special Attention:
If you find 1 defect in the sample during inspection, do not stop, complete
checking to find all defects in the sample.

Chapter 2
Carter’s AQL Table
written permission.

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Carter’s AQL Table
FRI: Single sampling plan for normal inspection level II
AQL Level: Critical not allowed, Major 1.5, Minor 2.5
Note: “Critical not allowed” means the maximum number of acceptable defectives
for critical defects is “0”.
Lot Size Sample Size
Major 1.5
Accept / Reject
Minor 2.5
Accept / Reject
0 To 150 20 0 / 1 1 / 2
151 To 280 32 1 / 2 2 / 3
281 To 500 50 2 / 3 3 / 4
501 To 1200 80 3 / 4 5 / 6
1201 To 3200 125 5 / 6 7 / 8
3201 To 10000 200 7 / 8 10 / 11
10001 To 35000 315 10 / 11 14 / 15
35001 To 150000 500 14 / 15 21 / 22
150001 To 500000 500 14 / 15 21 / 22

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Carter’s AQL Table - Usage Example
For example:
►If the shipment quantity is 3,000 units, the sample size should be 125
units, Major accept 5, Minor accept 7.
►If the shipment quantity is 12,000 units, the sample size should be 315
units, Major accept 10, Minor accept 14.

Chapter 3
What is Random Sampling?
written permission.

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Guidelines of Drawing Samples Randomly
►What is Random sample?
Each sample of the batch or lot has the same probability of being
selected, eventually the samples selected can present the same
quality as others and the batch or lot.
►What does Random Sampling mean?
Inspection samples should include all product features: colors,
sizes etc. in proportion to the order (more samples inspected per
color, size, etc. for large lot sizes)
Samples must be from different pallets/cartons/sizes

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Guidelines of Drawing Samples Randomly
►How to Achieve Random Sampling?
1. All cartons must be accessible to the inspector
2. Select cartons stacked in various areas or various layers /
corners within the inspection area.
3. Carton numbers shall not be close to one another.
4. Cartons shall include all shipping destinations.
5. Samples shall be taken in proportion to the number of cartons
selected.
6. Samples shall be drawn from top, middle and bottom of the
cartons.

Test Your Knowledge & Exercise
written permission.

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Test Your Knowledge 1:
Sampling Plan & AQL
True False TRUE or FALSE ?
1 Critical Defect means a defect which is likely to result in a
hazardous or unsafe condition for an individual when using
the product or fails to meet mandatory regulations.
2 To achieve a random carton selection, we should select
cartons in various areas or various layers / corners within
the inspection area.
3 If one defective sample has 3 major defects, we should
count them as 3 major defects.
TRUE or FALSE ?

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Exercise 1- Question
Criteria:
Final Random Inspection per Carter’s AQL table
Single Sampling Plans for Normal Inspection,
Inspection level: General Inspection level II
Acceptable Quality Level (AQL) for:
Critical: Not allowed, Major: 1.5, Minor: 2.5
Shipment quantity: 1000 pieces.10 pieces/carton, 6 sizes * 2 colors and packed in solid
color and solid size.
Questions:
1. Sample size for workmanship check: ______.
2. Maximum defect allowed: Major: _____, Minor:______.
3. Sample size for carton selection:______.
Note: Test question for carton selection must be finished after module 2 training.
Test Your Knowledge 2:
Sampling Plan & AQL

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Exercise 1- Answer
1. Sample size for workmanship check: 80
2. Maximum defect allowed: Major: 3, Minor: 5
3. Sample szie for carton selection: 12 cartons

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Exercise 2- Question
Criteria:
Final Random Inspection per Carter’s AQL table
Single Sampling Plans for Normal Inspection,
Inspection level: General Inspection level II
Acceptable Quality Level (AQL) for:
Critical: Not allowed, Major 1.5, Minor 2.5.
Shipment quantity: 6,000 pieces, 15 pieces/carton, 5 sizes * 4 colors and packed in assort
size and solid color.
Questions:
1. Sample size for workmanship check: ______.
2. Maximum defect allowed: Major: _____, Minor:______.
3. Sample size for carton selection:______.

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Exercise 2- Answer
1. Sample size for workmanship check: 200
2. Maximum defect allowed: Major: 7, Minor: 10
3. Sample szie for carton selection: 20 cartons

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10 Minutes!
Q & A Session

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Why BVCPS? Competitive Advantage
A committed
partnership based
on integrity,
teamwork, and
customer focus.

26

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Revision History
Version No. Revised By (Full Name) Description of Change(s) Approved By Date
00 Bruce Wu Initial Released Hill Xi 3/20/2018
01 Bruce Wu / Alice Li
Slide 2：Revised module No to 1, and
removed trainees;
Slide 20. 21: Updated title to “Sampling
Plan & AQL”;
Slide 21: New added note for carton
selection question.
NA 5/21/2018
02 Bruce Wu
Slide 7: Changed note for the Defect
Definition per Carter’s DCL.
Alice Li
9/07/2018
Slide 13. 14: Updated the AQL level
from non-critical 2.5 to Major 1.5 & Minor
2.5, and related AQL table and examples.
Slide 21,22,23,24: Updated the excersie
(inclueded Shipment quantity, size and
color quantity) per the AQL level
changed.

Module 1 Sampling Plan & AQL

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