SIST-TP CEN/TR 15310-1:2007
(Main)Characterization of waste - Sampling of waste materials - Part 1: Guidance on selection and application of criteria for sampling under various conditions
Characterization of waste - Sampling of waste materials - Part 1: Guidance on selection and application of criteria for sampling under various conditions
This Technical Report discusses the statistical principles of sampling, and provides a number of statistical tools to assist in the design of testing programmes for application to sampling under various conditions.
NOTE 1 Given the great variety of waste types, sampling situations and objectives, this Technical Report cannot provide definitive instructions that cover all scenarios. Instead, it discusses the basic statistical approach to be followed, and provides statistical tools that can be applied to determine the amount and type of sampling (e.g. number of samples and sample size) in any given situation to achieve results of adequate reliability (i.e. precision and confidence).
NOTE 2 The document provides considerable detail on current best practice, but is not exhaustive.
NOTE 3 To clarify the text, the document provides a number of worked examples.
Charakterisierung von Abfall - Probenahme - Teil 1: Richtlinien zur Auswahl und Anwendung von Kriterien für die Probenahme unter verschiedenen Bedingungen
Caractérisation des déchets - Prélevement des déchets - Partie 1 : Guide relatif au choix et a l'application des criteres d'échantillonnage dans diverses conditions
Le présent Rapport Technique traite des principes statistiques de l’échantillonnage et propose un certain nombre d’outils statistiques aidant a la conception de programmes d’essai destinés a etre appliqués a un échantillonnage dans diverses conditions.
NOTE 1 En raison de la grande diversité des types de déchets, des situations d’échantillonnage et des objectifs, le présent document ne peut pas fournir des instructions définitives couvrant tous les scénarios. Il décrit plutôt l’approche statistique fondamentale a adopter et il propose des outils statistiques qui peuvent etre utilisés pour déterminer la quantité et le type de l’échantillonnage (par exemple le nombre d’échantillons et leur taille) dans une situation donnée quelconque afin d’obtenir des résultats présentant une fiabilité adéquate (c’est-a-dire fidélité et niveau de confiance).
NOTE 2 Le document est tres détaillé en ce qui concerne les bonnes pratiques actuelles mais il n’est pas exhaustif.
NOTE 3 Afin d’aider a la compréhension du texte, le document comporte un certain nombre d’exemples traités.
Karakterizacija odpadkov - Vzorčenje odpadkov - 1. del: Navodilo za izbiro in uporabo kriterijev za vzorčenje pri različnih pogojih
General Information
Relations
Standards Content (Sample)
SLOVENSKI STANDARD
SIST-TP CEN/TR 15310-1:2007
01-april-2007
.DUDNWHUL]DFLMDRGSDGNRY9]RUþHQMHRGSDGNRYGHO 1DYRGLOR]DL]ELURLQ
XSRUDERNULWHULMHY]DY]RUþHQMHSULUD]OLþQLKSRJRMLK
Characterization of waste - Sampling of waste materials - Part 1: Guidance on selection
and application of criteria for sampling under various conditions
Charakterisierung von Abfall - Probenahme - Teil 1: Richtlinien zur Auswahl und
Anwendung von Kriterien für die Probenahme unter verschiedenen Bedingungen
Caractérisation des déchets - Prélevement des déchets - Partie 1 : Guide relatif au choix
et a l'application des criteres d'échantillonnage dans diverses conditions
Ta slovenski standard je istoveten z: CEN/TR 15310-1:2006
ICS:
13.030.10 Trdni odpadki Solid wastes
13.030.20 7HNRþLRGSDGNL%ODWR Liquid wastes. Sludge
SIST-TP CEN/TR 15310-1:2007 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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TECHNICAL REPORT
CEN/TR 15310-1
RAPPORT TECHNIQUE
TECHNISCHER BERICHT
November 2006
ICS 13.030.10; 13.030.20
English Version
Characterization of waste - Sampling of waste materials - Part 1:
Guidance on selection and application of criteria for sampling
under various conditions
Caractérisation des déchets - Prélèvement des déchets - Charakterisierung von Abfall - Probenahme - Teil 1:
Partie 1 : Guide relatif au choix et à l'application des Richtlinien zur Auswahl und Anwendung von Kriterien für
critères d'échantillonnage dans diverses conditions die Probenahme unter verschiedenen Bedingungen
This Technical Report was approved by CEN on 21 February 2006. It has been drawn up by the Technical Committee CEN/TC 292.
CEN members are the national standards bodies of Austria, Belgium, Cyprus, Czech Republic, Denmark, Estonia, Finland, France,
Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania,
Slovakia, Slovenia, Spain, Sweden, Switzerland and United Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
Management Centre: rue de Stassart, 36 B-1050 Brussels
© 2006 CEN All rights of exploitation in any form and by any means reserved Ref. No. CEN/TR 15310-1:2006: E
worldwide for CEN national Members.
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CEN/TR 15310-1:2006 (E)
Contents
Foreword. 4
Introduction . 5
1 Scope . 7
2 Terms and definitions. 7
3 Specify the objective of the Testing Programme . 12
4 Develop the technical goals from the objective . 13
4.1 General. 13
4.2 Define the population to be sampled. 14
4.2.1 General. 14
4.2.2 Overall population . 14
4.2.3 Population . 14
4.2.4 Sub-population. 14
4.2.5 Examples . 15
4.3 Assess variability. 16
4.3.1 General. 16
4.3.2 Spatial variability . 16
4.3.3 Temporal variability. 17
4.3.4 Random variability. 17
4.4 Select the sampling approach. 17
4.4.1 General. 17
4.4.2 Probabilistic sampling. 18
4.4.3 Judgemental sampling. 18
4.5 Identify the scale. 18
4.6 Choose the required statistical parameter.19
4.7 Choose the desired reliability. 20
4.7.1 General. 20
4.7.2 Precision and Confidence. 20
4.7.3 Errors in the Testing Programme. 20
5 Determine the Practical Instructions . 21
5.1 General. 21
5.2 Sampling pattern. 22
5.2.1 General. 22
5.2.2 Simple random sampling . 23
5.2.3 Stratified random sampling . 23
5.2.4 Systematic sampling . 24
5.2.5 Judgemental sampling. 24
5.3 Determine the increment and sample size (mass / volume). 24
5.3.1 General. 24
5.3.2 Liquids . 25
5.3.3 Powders and sludges. 25
5.3.4 Particulate / granular materials . 25
5.4 The use of composite versus individual samples. 26
5.5 Determine the required number of increments and samples. 26
6 Define the Sampling Plan. 27
Annex A The scale . 28
A.1 Scale. 28
A.2 Fundamental variability. 32
Annex B Statistical methods for characterising a population . 33
B.1 Terms and Definitions . 33
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CEN/TR 15310-1:2006 (E)
B.2 Probability distributions .35
B.3 Statistical parameters .37
Annex C Calculating the required numbers of increments and samples.43
C.1 Notation .43
C.2 Estimating a mean concentration.43
C.3 Estimating a standard deviation .46
C.4 Estimating a percentile .47
C.5 Estimating a percentage compliance with a given limit.48
Annex D Minimum increment and sample size (mass / volume).49
D.1 Estimation of increment and sample size.49
D.2 Determination of the number of increments and/or samples .51
D.3 Calculation of the actual increment and/or sample size .51
Annex E Example sampling scenarios.53
E.1 Sampling scenarios.53
E.2 Example 1: Waste producer to carry out a basic characterisation on the concentration of
6+
Cr in a waste liquid during discharge to the on-site lagoon .57
E.3 Example 2: Waste producer to undertake a regular compliance testing programme to check
conformance with data obtained from the basic characterisation.59
E.4 Example 3: Regulator to undertake an on-site verification of supernatant liquid in the
hazardous waste lagoon.61
E.5 Example 4: Waste producer to carry out a basic characterisation on the concentration of
Cr6+ in a waste liquid held in drum storage at the factory, for disposal purposes .63
E.6 Example 5: Waste producer to carry out a compliance testing of the Cr6+ concentration of
waste liquid held in drums prior to disposal, against a permitted mean limit of 100 mg/l .65
E.7 Example 6: Carrier or Disposal company to carry out an on-site verification of drums
containing Cr-contaminated liquid sludge prior to treatment .67
E.8 Example 7: Carrier or Disposal Company to carry out an on-site verification of the contents
of tankers containing Cr6+ contaminated liquid sludge prior to treatment .68
E.9 Example 8: Treatment plant operator applying basic characterisation to identify variability of
Cr6+ in a treated waste using a two-step leaching test at LS 2 and LS 8.70
E.10 Example 9: Treatment plant operator to perform compliance testing to determine whether
the treated hazardous waste complies with a limit determined on the basis of the basic
characterisation, using a combined one-step leaching test at LS10 .72
E.11 Example 10: On-site verification.74
E.12 Example 11: Compliance testing .74
E.13 Example 12: On-site verification.74
E.14 Example 13: On-site verification.75
E.15 Example 14: Basic characterisation .75
Bibliography.76
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CEN/TR 15310-1:2006 (E)
Foreword
This Technical Report (CEN/TR 15310-1:2006) has been prepared by Technical Committee CEN/TC 292
“Characterization of waste”, the secretariat of which is held by NEN.
This Technical Report has been prepared under a mandate given to CEN by the European Commission and the
European Free Trade Association.
This Technical Report is one of a series of five Technical Reports dealing with sampling techniques and
procedures, and provides essential information and instructions for the application of the EN-standard:
EN 14899 Characterisation of Waste - Sampling of waste materials - Framework for the preparation and
application of a Sampling Plan
The principal component of the EN Standard is the mandatory requirement to prepare a Sampling Plan. This EN
14899 standard can be used to:
− produce standardised sampling plans for use in regular or routine circumstances (i.e. the
elaboration of daughter/derived standards dedicated to well defined sampling scenarios);
− incorporate specific sampling requirements into national legislation;
− design and develop a Sampling Plan on a case by case basis.
The Technical Reports display a range of potential approaches and tools to enable the project manager to tailor
his sampling plan to a specific testing scenario (i.e. a ‘shop shelf’ approach to sampling plan development for
waste testing). This approach allows flexibility in the selection of the sampling approach, sampling point, method
of sampling and equipment used.
This Technical Report describes the statistical principles related to sampling, and provides methods based on
these principles enabling a testing programme to be defined that will produce results sufficiently reliable for the
decision-making process for which they are required.
Wastes arise in a wide variety of types (e.g. pastes, liquids, granular materials, mixes of different materials) and
sampling situations (e.g. during a waste production process, stockpiles, tanks, drums). There can also be a
variety of sampling objectives within each of the three broad categories (basic characterisation, compliance
testing and on-site verification). Consequently the Report cannot provide definitive instructions for each and every
case on the practical details of the testing programme, such as the required number of samples, the size of these
samples, and whether they should be spot or composite samples. Instead, its aim is to expose the factors that
influence the choice of these detailed components of the sampling exercise, and to provide statistical tools that
can then be applied to determine the most appropriate testing programme for any given sampling scenario.
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CEN/TR 15310-1:2006 (E)
Introduction
Wastes are materials, which the holder discards, or intends or is required to discard, and which may
be sent for final disposal, reuse or recovery. Such materials are generally heterogeneous and it will
be necessary therefore to specify in the testing programme the amount of material for which the
characteristics of interest need to be defined. The testing of wastes allows informed decisions to be
made on how they should be treated (or not), recovered or disposed of. In order to undertake valid
tests, some sampling of the waste is required.
The principal component of the standard EN 14899 is the mandatory requirement to prepare a
Sampling Plan, within the framework of an overall testing programme as illustrated in Figure 1 of
EN 14899:2005 and can be used to:
− 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.
The development of a Sampling Plan within this framework involves the progression through three
steps or activities:
1) define the Sampling Plan;
2) take a field sample in accordance with the Sampling Plan;
3) transport the laboratory sample to the laboratory.
This Technical Report provides information to support Key Step 1 of the Sampling Plan process map
and describes the selection of sampling approach that can be used in the recovery of a sample for a
wide variety of waste types and arisings. Specifically this Technical Report provides information to
support 4.2.7 (Select sampling approach) of the Framework Standard. Due consideration and
selection of statistical criteria is of key importance in the production of a Sampling Plan as it provides
the sole means of ensuring that, wherever possible, the type and number of samples taken will
address a clearly identified objective and will provide results that achieve a tolerable level of
reliability.
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CEN/TR 15310-1:2006 (E)
Table 1 - Main statistical steps in defining a sampling plan for a testing programme
Step Subject
Specify the objective of the Testing Programme
1 Specify the objective of the Testing
Programme
Develop the Technical Goals from the objective
2 Define the population to be sampled
3 Assess variability
4 Select the sampling approach
5 Identify the scale
6 Choose the required statistical approach
7 Choose the desired reliability
Determine the practical instructions
8 Choose the sampling pattern
9 Determine the increment/ sample size
10 Determine the use of composite or individual
samples
11 Determine required number of samples
Define the Sampling Plan
12 Define the Sampling Plan
To illustrate the application of these principles, a series of 14 examples of sampling scenarios for a
single waste stream are provided in Annex E.
This Technical Report should be read in conjunction with the Framework Standard for the
preparation and application of a Sampling Plan as well as the other Technical Reports that contain
essential information to support the Framework Standard. The full series comprises:
− EN 14899 Characterization of waste - Sampling of waste materials - Framework for the
preparation and application of a Sampling Plan;
− CEN/TR 15310-1, Characterization of waste – Sampling of waste materials – Part 1: Guidance
on selection and application of criteria for sampling under various conditions;
− CEN/TR 15310-2, Characterization of waste – Sampling of waste materials – Part 2: Guidance
on sampling techniques;
− CEN/TR 15310-3, Characterization of waste – Sampling of waste materials – Part 3: Guidance
on procedures for sub-sampling in the field;
− CEN/TR 15310-4, Characterization of waste – Sampling of waste materials – Part 4: Guidance
on procedures for sample packaging, storage, preservation, transport and delivery;
− CEN/TR 15310-5, Characterization of waste – Sampling of waste materials – Part 5: Guidance
on the process of defining the Sampling Plan.
The Technical Reports contain procedural options (as detailed in Figure 2 of EN 14899:2005) that
can be selected to match the sampling requirements of any testing programme.
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CEN/TR 15310-1:2006 (E)
1 Scope
This Technical Report discusses the statistical principles of sampling, and provides a number of
statistical tools to assist in the design of testing programmes for application to sampling under
various conditions.
NOTE 1 Given the great variety of waste types, sampling situations and objectives, this Technical Report
cannot provide definitive instructions that cover all scenarios. Instead, it discusses the basic statistical approach
to be followed, and provides statistical tools that can be applied to determine the amount and type of sampling
(e.g. number of samples and sample size) in any given situation to achieve results of adequate reliability (i.e.
precision and confidence).
NOTE 2 The document provides considerable detail on current best practice, but is not exhaustive.
NOTE 3 To clarify the text, the document provides a number of worked examples.
2 Terms and definitions
For the purposes of this Technical Report, we have used or adapted the definitions of ISO 3534
Parts 1, 2 and 3 wherever possible. In a minority of cases, however, those definitions are couched in
technical statistical language, which is likely to be unhelpful to the intended readership. In these
instances we have either supplemented the formal definition with an additional note, or provided an
alternative simpler definition.
NOTE In order to keep the list of definitions as compact as possible, some terms that are used only
occasionally in the main text have been omitted. B.1 provides an additional list of definitions that are specifically
relevant to the various annexes.
2.1
analytical error
collective term for the imprecision and bias associated with the analytical method
2.2
characteristic
property, which helps to identify or differentiate between items of a given population
[ISO 3534-1]
NOTE The characteristic may be either quantitative (by variables) or qualitative (by attributes).
2.3
coefficient of variation
for a non-negative characteristic the ratio of the standard deviation to the average
[ISO 3534-1]
2.4
compliance (and non-compliance)
compliance is achieved when the sample values from a monitoring programme meet a pre-defined
set of criteria. Conversely, non-compliance occurs when the sample values fail to meet the pre-
defined criteria
NOTE Examples of compliance criteria are:
− The estimated mean should be ≤ 20 mg/kg;
− Fewer than 3 sample values out of 20 should exceed 50 µg/l.
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CEN/TR 15310-1:2006 (E)
2.5
composite sample
two or more increments / sub-samples mixed together in appropriate proportions, either discretely or
continuously (blended composite sample), from which the average value of a desired characteristic
may be obtained
[ISO 11074-2]
2.6
confidence interval
interval within which a particular population parameter may be stated to lie at a specified confidence
level. The bounds of the confidence interval are termed the upper and lower confidence limits
2.7
fundamental variability
inherent variability shown by a material at the smallest scale of measurement
2.8
heterogeneity
degree to which a property or a constituent is not uniformly distributed throughout a quantity of
material
NOTE 1 A material may be heterogeneous with respect to one analyte or property but not with respect to
another.
NOTE 2 The degree of heterogeneity is a key-determining factor in sampling error.
2.9
increment
individual portion of material collected by a single operation of a sampling device
NOTE 1 Increments may be reduced and tested individually or combined with other increments, with the
resulting composite reduced in size and tested as a single unit.
NOTE 2 Increments are created by the sampling operation and are usually taken from parts of a lot
separated in time or space.
2.10
judgemental sampling
samples collected using at best a partially-probabilistic procedure and at worst a non-probabilistic
approach. Usually these samples are taken from a sub-population which is substantially more
restrictive than the overall population.
2.11
mean (arithmetic mean)
sum of values divided by the number of values
[ISO 3534-1]
NOTE For example, the arithmetic mean of the five values 12, 4, 11, 9 and 6 is 8.4.
2.12
overall population
entire volume of material about which information is required.
NOTE 1 For example, the overall population might be the output of waste over the whole lifetime of the plant.
NOTE 2 See ‘population’.
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CEN/TR 15310-1:2006 (E)
2.13
percentile
P-percentile of a population is the value below which P% of the values in the population fall, and hence is
exceeded by (100-P)% of the population.
NOTE For example, 95 % of the values in a population are less than or equal to the 95-percentile, and 5 %
of the population values exceed it.
2.14
physical sampling error
error attributable to the activity of taking the sample
2.15
population
totality of items under consideration. [ISO 3534-1:1993, definition 2.3]
NOTE The population will generally be a convenient, well-defined subset of the overall population (e.g. a
year’s production of waste) that is believed to be typical of that wider population.
2.16
precision
closeness of agreement between independent test results obtained under stipulated conditions
[ISO 3534-1]
NOTE 1 Precision depends only on the distribution of random errors and does not relate to the true value or
the specified value.
NOTE 2 The measure of precision usually is expressed in terms of imprecision and computed as a standard
deviation of the test results. A lower precision is reflected by a larger standard deviation.
2.17
probabilistic sampling
sampling conducted according to the statistical principles of sampling
NOTE 1 The essential principle of probabilistic sampling is that every individual particle or item in the population has an equal
chance of being sampled.
NOTE 2 Probabilistic sampling results in boundary conditions for the type of sampling equipment used, the method of
sampling (where, when, how) and the minimum size of increments and (composite) samples.
2.18
probability
real number in the scale 0 to 1 attached to a random event
[ISO 3534-1]
NOTE An event with a probability close to zero is very unlikely to happen. For example, the probability of
obtaining ‘heads’ in each of 10 consecutive spins of a coin is about 0.001. Conversely, an event with probability
close to 1 is very likely to happen. For example, the event of obtaining at least one ‘six’ when rolling 25 dice is
about 0.99.
2.19
probability distribution (of a random variable)
function giving the probability that a random variable takes any given value or belongs to a given set
of values
[ISO 3534-1]
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CEN/TR 15310-1:2006 (E)
NOTE The probability distribution is a mathematical description of the relative frequencies with which
different values arise in the population. It is commonly represented graphically, and can be thought of as the
curve that the histogram of random sample values would tend towards as the number of samples becomes
indefinitely large.
2.20
random sample
sample of n sampling units taken from a population in such a way that each of the possible
combinations of n sampling units has a particular (known) probability of being taken
[ISO 3534-1]
2.21
random sampling
process of taking a random sample
[ISO 3534-1]
2.22
reliability
collective term for the degree of precision and confidence achieved by a given sampling scheme
2.23
representative
sample resulting from a sampling plan that can be expected to reflect adequately the properties of
interest in the parent population
[ISO 11
...
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