EN 14899 2005 64 e stf BRITISH STANDARD BS EN 14899 2005 Characterization of waste — Sampling of waste materials — Framework for the preparation and application of a Sampling Plan The European Standar[.]
Principle
A Sampling Plan shall be completed prior to undertaking any sampling
The principles laid out in this European Standard can be used to produce a Sampling Plan for any testing programme
When defining a Sampling Plan, it is essential to address the key elements of the testing program This standardized process results in a Sampling Plan that can be effectively utilized.
produce standardised sampling plans for use in regular or routine circumstances (elaboration of daughter / derived standards dedicated to well defined sampling scenarios);
incorporate the specific sampling requirements of European and national legislation;
design and develop a Sampling Plan for use on a case by case basis
In order to translate the requirements of the testing programme into a Sampling Plan, input on the following issues shall be available:
population and sub-population to be sampled to meet the testing objective;
desired reliability for the selected sampling approach
The Sampling Plan provides clear and practical instructions for the sampler, outlining the boundaries and logistics of the sampling process within the testing program It must fulfill the requirements of other key steps in the testing program, establish a proposed sampling design through consultation with relevant parties, and document specific instructions regarding the timing, location, personnel, and quantity of increments to be collected Additionally, it is essential to record all necessary safety precautions to ensure the sampler's protection.
NOTE 1 The specific details contained within any Sampling Plan will differ according to the objectives of the overall testing programme
A Sampling Plan translates the specific objectives of a sampling program into practical instructions for the sampler, detailing all relevant information for the sampling exercise It specifies how to achieve the testing program's objectives for the specific situation and material type being investigated However, the plan typically does not list these objectives, as they are often only loosely connected to the essential instructions for the sampler Additionally, informative Technical Reports provide procedural options that can be tailored to meet the sampling requirements of any testing program, as referenced in Figure 2, which is crucial for applying this European Standard.
Key elements defined in sampling plan
Identify objectives and define technical goals
Determine generic level of testing required (with reference to objectives)
-basic characterisation -compliance testing -on-site verification
-target parameters -physical -chemical -biological
Define -location of arisings -production process -variability process -waste characteristics
Ref: TR1: Selection and application of criteria for sampling under various conditions
-identify sampling population -no.of samples
-sampling pattern, location -sample size
Identify constituents to be tested
Research background information on waste
Identify most appropriate sampling technique to address sampling requirements
If necessary undertake sample pretreatment to produce laboratory sample Ref: TR3
Take a sample in accordance with sampling plan
Select sampling approach Identify type or sampling probabilistic v judgemental
Ref: TR4 Procedures for sample packaging, storage, preservation, transport and delivery
Transport the sample to the laboratory
Ref:TR5 Guidance on the process of defining a Sampling Plan
Figure 2 — Key elements of a Sampling Plan
Key elements of a Sampling Plan
Involved parties
The Sampling Plan will be developed under the guidance of a project manager, in collaboration with all relevant stakeholders, including the sampler, analyst, client, regulator, and material producer.
NOTE 1 The level and category of waste to be tested dictate pertinent involved parties
NOTE 2 In cases where the level of complexity is low, a number or all of these roles can be the responsibility of one individual, although responsibilities may still differ For example the Project Manager may be from the facility undertaking the testing, and may act as the sampler.
Objectives of the Testing Programme
When developing a Sampling Plan, it is crucial to identify the objectives of the testing program through consultation with all relevant parties This definition is a vital step in determining the type and quality of information to be gathered through sampling.
NOTE 1 In some circumstances it may be possible to meet a number of testing objectives using a single Sampling Plan, however, more commonly a separate Sampling Plan will be defined for each objective
NOTE 2 The objectives of the Testing Programme may include:
necessity to compare the quality of the test material with quality levels defined in (inter)national legislation;
change in ownership of the material and as a consequence the need to characterise the material;
determining the (re)usability of the material;
determining the leachability/ total composition of the material;
assessing the human health and / or environmental risks posed by the material
The testing programme's defined objective is crucial for creating the Sampling Plan, which translates this objective into practical technical goals These goals consider the material's physical state, accessibility, and quantity, and are linked to specific data analysis requirements A selection of statistical analytical tools is employed to consistently assess and interpret testing data, ultimately verifying whether the testing objectives have been achieved.
NOTE 3 This diversity of technical goals affects the location and minimum requirements for the sampling exercise as well as the number and volume of the samples and it is therefore important that both the objective and derived technical goals of the testing programme are clearly identified to ensure that the collected samples meet the objective
The Sampling Plan must outline any expected restrictions or limitations associated with the sampling steps depicted in Figure 2, as these factors may affect the reliability of the testing data.
Testing level
The Sampling Plan outlines the necessary testing levels to achieve the technical objectives of the Testing Programme, determining the types and frequency of investigations required It may also define a specific level of uncertainty regarding how the sampling steps contribute to the overall uncertainty of the Testing Programme.
NOTE Examples of testing levels could include:
basic (comprehensive) characterization, consisting of a thorough determination of the behaviour and properties of interest of the material (for example, Level 1 testing in the Landfill Directive);
compliance testing, consisting of (periodic) testing to determine compliance with specific conditions or reference conditions e.g legislation or contract (for example, Level 2 testing in the Landfill Directive);
on-site verification, consisting of ‘quick check’ methods to establish consistency with other tests or other formulated documentation (for example, Level 3 testing in the Landfill Directive).
Identify constituents to be tested
The Sampling Plan shall, within the boundary conditions of the appropriate test level, identify the characteristics or constituents to be investigated, based when applicable on:
origin of the material and therefore relevant target constituents;
intended end-use of the material;
total volume of material (the population) to be assessed;
requirement to conform to local and national regulations;
information and requirements specified in contract;
information ascertained from knowledge of process or material involved;
information agreed between involved parties
The target constituents shall be specified in the Sampling Plan.
Background information on material
The Sampling Plan must outline the site location and any access restrictions Any access issues encountered during sampling should be documented in the Sampling Record to assess their impact on the quality of the collected samples.
4.2.5.2 Process or nature of arising
The Sampling Plan shall contain, unless it can not be obtained, a general description of the circumstances in which the material occurs, based on either:
direct knowledge of the primary process to which the material is related;
inspection of the process / nature of arising to which the material is related
The Sampling Plan shall identify all known information relating to the type of material and dimensions of the sub-population to be sampled, e.g.:
moving stream (e.g on a conveyor) or static;
if static, contained or in heaps;
if static, type of container: drum, silo etc.;
moving stream (e.g in a pipe) or contained;
if contained, type of container, bottle, drum, tank, lagoon etc.;
size, i.e litres or cubic metres;
The Sampling Plan must detail all known physical and chemical characteristics of the material, along with any potential hazards It should also outline operational procedures that may influence the chemical, biological, or physical properties of the material, while adhering to the requirements set forth in other European Standards for the comprehensive Testing Programme.
NOTE 1 In the absence of sufficient information, a 'preliminary investigation' should be instigated
NOTE 2 The commissioning company (client - see 4.2.1) may supply general information on the material to be sampled This information includes details on whether the material is granular, monolithic, shaped; liquids etc is available in stream or static form, etc Some indication of the liquid content/ physical condition of the material, e.g a sludge, can be helpful in the development of a Sampling Plan.
Health and safety
The Sampling Plan shall identify all safety precautions that shall be adhered to by the sampler For further information on general health and safety aspects on sampling see ISO 10381-3:2001
Where the process producing the waste is known the Safety Data Sheet shall be used to provide information on the expected constituents in the waste
Compliance with (inter)national legislation and site-specific protocols is essential for managing workers' exposure to hazardous substances Given the inherent risks associated with sampling activities, a thorough risk assessment must be conducted before commencing work, identifying necessary precautions to safeguard the sampler and reduce potential hazards.
Every organization engaged in sampling must establish a safety policy that outlines the necessary requirements for safe operations Compliance with this policy should be integrated into the employment conditions for all staff members.
The policy must be backed by standard procedures that outline safe working requirements, particularly in specific areas like confined spaces These procedures should detail the necessary protective clothing and equipment, as well as the minimum personnel required for site work Additionally, they should specify how to inform local emergency services, establish communication methods, and outline washing and decontamination processes.
NOTE Compliance with this European Standard does not in itself confer immunity from (inter)national heath and safety regulations and site specific regulations.
Select sampling approach
The Sampling Plan must consider the variability within the sub-population and the acceptable degree of uncertainty in the results, which should be agreed upon by all parties if not pre-specified The chosen sampling approach will determine the timing, location, and method of sample collection to ensure a representative and manageable quantity that fulfills all testing requirements.
The Sampling Plan shall specify either ‘probabilistic’ sampling or ‘judgemental’ sampling, depending on the sampling objective
NOTE 1 Further information and worked examples using the decision making process are provided in CEN/TR 15310-1 and CEN/TR 15310-5
NOTE 2 The Sampling Plan includes a justification for the selected sampling approach
The basis of probabilistic sampling is that each element within the population to be assessed – has an equal chance of being selected by the sampling process
Simple random sampling involves making selections independently, while systematic sampling is another type of probabilistic sampling where samples are regularly spaced after the initial random selection.
NOTE 1 For further information on the choice of an appropriate sampling approach refer to 4.4.2 in CEN/TR 15310-1 For information on the selection of an appropriate sampling pattern see 5.2.4 in CEN/TR 15310-1
Probabilistic sampling is necessary to obtain a quantifiable level of reliability of the results for the population being tested Therefore the use of probabilistic sampling is preferred
NOTE 2 Probabilistic sampling may be performed stepwise: if the results exhibit too high an uncertainty, it is possible to take additional random samples that will result in an improved measure of uncertainty, at an additional testing cost
NOTE 3 In the case of a sub-population exhibiting segregation and consisting of several wastes, it is more efficient to consider each of the different strata separately
Judgemental sampling differs from probabilistic sampling as it relies on a partially-probabilistic or non-probabilistic approach to collect samples This method is often chosen because obtaining a representative sample from the entire population is practically unfeasible due to constraints in time and budget.
NOTE 1 Further information on the use of judgemental sampling is provided in 4.4.3 in CEN/TR 15310-1
NOTE 2 For specific sampling situations there might be a preference to judgemental sampling deviating basically from probabilistic sampling, for example in spot sampling
Judgemental sampling often leads to samples drawn from a sub-population, which is more limited than the entire population However, within this sub-population, probabilistic sampling may still be possible If the sampling is probabilistic for that sub-group, the results can accurately represent that specific segment of the population, although there remains a risk of greater uncertainty when generalizing to the entire population.
When sampling from a sub-population based on factors like accessibility, cost, or efficiency, it becomes impossible to evaluate the uncertainty of the resulting data.
NOTE 3 The adoption of judgemental sampling at this level therefore may have severe financial and/or environmental consequences
NOTE 4 The term “convenience or ad hoc sampling” is sometimes applied to this type of sampling
The uncertainty in judgemental sampling is significantly influenced by the quality of background information regarding waste materials, which forms the basis for expert judgement and the Sampling Plan This issue becomes particularly critical in new sampling situations where relevant information or validation results are lacking.
The Sampling Plan must detail the timing, location, personnel, and methods for sample collection to ensure the samples align with the sampling objectives It is essential that the quantity of material sampled meets the criteria outlined in the Testing Programme standards Additionally, the Sampling Plan should include provisions for replicate samples if necessary.
The sampling approach shall address, as a minimum:
use of individual samples or composite samples;
sampling frequency (when valid) (with dates clearly specified)
NOTE 1 Individual sample size is dictated by the grain size, heterogeneity and the volume of material to be sampled
NOTE 2 The size of the sample submitted to the laboratory “the laboratory sample” is dependent on the requirements specified in the European Standards covering other steps of the overall Testing Programme Where several target constituents are identified it is vital to design the sampling operation so that the constituents most affected by the adopted sampling have the largest influence If this is not possible e.g the required precision for each constituent cannot be achieved, the identification of separate sampling operations for each group of constituents is recommended
NOTE 3 Information on the determination of the increment and sample size, and the number of samples linked to a specified level of uncertainty is given in CEN/TR 15310-1.
Identify sampling technique
The Sampling Plan shall identify the technique(s) selected to collect the sample, and shall identify the consequences of deviation from the designated sampling technique or equipment
NOTE Information on the type and use of sampling techniques is given in CEN/TR 15310-2
4.2.8.2 Procedures for sub-sampling in the field
The Sampling Plan must outline the requirements for creating composite samples from incremental samples and detail the sub-sampling procedures in the field It should also specify the methods necessary to produce the laboratory samples effectively.
NOTE Information on methods to reduce the sample size for presentation to the laboratory is given in CEN/TR 15310-3
4.2.8.3 Procedures for packaging, preservation, storage, transport and delivery
The Sampling Plan must outline the chosen procedures for packaging, preservation, storage, and transport of laboratory samples, ensuring compliance with the requirements detailed in the relevant standards for the Testing Programme.
NOTE Information on methods for sample packaging, preservation, storage, transport and delivery is given in CEN/TR 15310-4
Taking the sample
Prior to initiating the sampling process, it is essential to verify all components of the Sampling Plan The sampler must also provide a visual description of the material to be sampled, ensuring it aligns with the details outlined in the Sampling Plan.
A record shall be made of the location and status of the material to be sampled The most appropriate method may be to photograph the sampling location
Sampling shall not be undertaken in the absence of a Sampling Plan detailing the intended Testing Programme
During sampling, two types of changes to the Sampling Plan may be necessary, each with varying consequences The first type involves changes that do not impact the Testing Programme's objectives, ensuring that the required samples remain representative at the predefined level Such alterations can be made by the sampler in the field but must have prior written agreement, as outlined in section 4.2.1 If unforeseen circumstances arise that necessitate changes during sampling, any verbal confirmations should be documented in the sampling record and authorized upon return from the field, as specified in section 4.2.1.
Unforeseen practical considerations may necessitate changes to the Sampling Plan during the sampling activity It is crucial for the individual conducting the sampling to understand which modifications can be made without compromising the Testing Programme.
The sample(s) shall then be taken and collected in accordance with all instructions provided in the Sampling Plan
NOTE 2 All identified safety requirements should be adhered to during the sampling exercise
Having obtained the sample, it should be either directly stored in a suitable sample container (see 4.2.8.3) or stored after appropriate sub-sampling in the field (see 4.2.8.2)
On completion of sampling a Sampling Record and chain of Custody Form shall be completed by the Sampler (see 6.2).
Delivery
Samples must be delivered to the designated testing laboratory as outlined in the Sampling Plan, accompanied by the Chain of Custody Form and a copy of the Sampling Record For detailed procedures on sample delivery, refer to CEN/TR 15310-4.
Document Sampling Plan
The Project Manager shall document the Sampling Plan
The complexity of the Sampling Plan depends on the specific objectives of the testing program At a minimum, it should document information that enables the interpretation of results in the appropriate context, allowing for the possibility of repeating a comparable program in the future if necessary.
NOTE 2 The Sampling Plan will include a justification for the selected sampling approach This is extremely important if judgemental sampling has been adopted
An example Sampling Plan is provided in Annex A
Any changes to the agreed final Sampling Plan shall be recorded in the Sampling Record.
Sampling Record
On completion of sampling, a Sampling Record shall be completed by the Sampler An example is provided in Annex B
The Sampling Plan must ensure that the Sampling Record includes essential information such as a copy of the initial Sampling Plan, detailed procedures and observations from the sampling exercise, any deviations from the original plan, a unique sampling number reflecting the site location, material, and date, as well as the date and time of sampling Additionally, it should document the specific place and point of sampling, the names and addresses of any witnesses present, challenges encountered during access, and the condition of the material sampled.
consistency/homogeneity/grain size (uniform or diverse);
During the sampling process, it is crucial to document observations such as gassing out, reactions, heat development, and odour Additionally, on-site determinations like pH and conductivity measurements should be recorded It is important to identify the sample amount by estimating both volume and mass If sub-sampling is conducted, the methodology must be detailed, including which samples are mixed, their respective volumes, and the time and date of mixing Finally, the names of the sampling personnel, along with the place, date, and signature, should be included for proper documentation.
The Sampling Plan shall specify that any measurements carried out on the sample in the field shall be recorded in the Field Data and appended to the Sampling Record
A sampling record is essential for documenting all procedures and outcomes from the sampling exercise It reiterates key elements of the Sampling Plan while providing space for noting visual observations made in the field and any deviations from the established procedures.
It is essential for the Sampling Plan to include the requirement for completing a Chain of Custody Form during each sampling exercise An example of this form can be found in Table B.2.
NOTE 3 It is good practice that the Sampling Plan specifies that a copy of the completed Sampling Record and Chain of Custody Form be made available with each sample
It is essential for the Sampling Plan to require the completion of an Analytical Request Form to accompany each set of samples submitted for testing, as outlined in the testing program An example of this form can be found in Table B.3.
Table A.1 — An example of the type of information that should be documented in a Sampling
Sampling Plan completed by: On behalf of:
Contact: Contact: Other involved parties:
Sampling to be carried out by (Company): Specify name of sampler:
Type of material: Location: (address)
Source and origin of the material (e.g form and nature of arising):
Process/activity producing the material:
Identify access problems that may affect sampling programme:
Specify detailed sampling location: (e.g a specific chute or conveyor or pile)
Define sub-population or consignment to be sampled:
Define place and point of sampling:
Specify date and time(s) of sampling:
Specify persons to be present (record name and address):
Identify sampling technique (CEN/TR 15310-2):
Specify no of increments/samples to be collected (CEN/TR 15310-1):
Specify increment size/sample size (CEN/TR 15310-1):
Detail requirements for on-site determinations:
PACKAGING, PRESERVATION, STORAGE AND TRANSPORT REQUIREMENTS (CEN/TR 15310-4)
Table B.1 — An example of the type of information that should be recorded in the Sampling
Sample code: (Reflect site location, material type and date of collection)
Location of sampling: Carried out by (Company):
Type of Material: Estimated moisture content:
Description:(colour, odour, consistency/homogeneity/grain size – uniform or diverse)
Describe/define sub-population or consignment sampled:
Place and point of sampling:
Access problems that affected areas or volumes of material sampled:
Date and time of sampling:
Persons present (record name and address of witnesses present where appropriate):
Number of increments/samples collected:
Observations during sampling (e.g gassing out, reactions, development of heat):
Details of on-site determinations: (if undertaken complete field record sheet and append to
SUB-SAMPLING AND PRE-TREATMENT
Identify location: e.g on-site or fixed laboratory facility (describe whether open air or enclosed)
PACKAGING, PRESERVATION, STORAGE AND TRANSPORT DETAILS
Table B.2 — An Example Chain of Custody Form
External laboratories: Please attach a copy of this form with reported results
Quotation ref No.: Contact name:
Sampling delivered by: Samples accepted at laboratory by:
Sample description: Sample hazard rating: (Use relevant national standard)
External laboratory sample job no:
The EN 14899:2005 (E) outlines a sample analysis request form protocol, which includes essential details such as the reference number, title, and issuing authority It specifies the analysis required, client name, and date, along with the sample codes and determinants The form also indicates the minimum detection limits, bottle types, and any pre-treatment undertaken, such as filtering or preservation, with options for glass or polyethylene containers Additionally, it includes a section for comments and is to be completed by the responsible party.
[1] ISO 3534-1:1993, Statistics — Vocabulary and symbols — Part 1: Probability and general statistical terms
[2] ISO 10381-3:2001, Soil quality — Sampling — Part 3: Guidance on safety
[3] ISO 11074-2:1998, Soil quality — Vocabulary — Part 2: Terms and definitions relating to sampling