Appendix 1 — Sampling Plan and Record

Parent procedure: 12 – Sampling

Purpose

To document the sampling plan before collection and to record the details of the sampling event as it occurs. This record ensures traceability from the test result back to the specific sampling conditions.

Instructions

1. The Technical Manager completes or approves Part A (Sampling Plan) before sampling begins. For routine sampling covered by a standard SOP, enter the SOP reference instead of completing Part A in full.
2. Sampling personnel complete Part B (Sampling Record) at the time of collection — not retrospectively.
3. Part C (Chain of Custody) is completed when custody tracking is required by the customer or regulatory framework.
4. The completed record is filed per Procedure 00 — Document and Record Control.

Sampling Plan and Record

Part A — Sampling plan

Field	Entry
Sampling plan reference	[Enter unique ID]
Customer name	[Enter]
Job / request reference	[Enter]
Material description	[e.g., NMC 811 cathode powder, Lot 2025-0442, 20 × 25 kg drums]
Purpose of sampling	[e.g., Lot acceptance testing — elemental composition, moisture, PSD]
Sampling standard or SOP followed	[Enter reference, or "Custom plan — see below"]
Plan prepared by	[Name]
Date prepared	[Enter]
Approved by (Technical Manager)	[Name and signature]

Sampling strategy

Field	Entry
Number of containers / units in lot	[Enter]
Number of containers to sample	[Enter, with basis — e.g., "6 drums (√N + 1)"]
Container selection method	☐ All containers · ☐ Random selection · ☐ Systematic (every Nth) · ☐ Stratified · ☐ Customer-specified
Increments per container	[Enter — e.g., "3 (top, middle, bottom)"]
Total increments	[Enter]
Compositing	☐ All increments into one composite · ☐ One composite per container · ☐ Increments analyzed individually · ☐ Other: [specify]
Sub-sampling method	☐ Riffling · ☐ Quartering · ☐ Scooping from homogenized composite · ☐ Other: [specify]

Equipment and containers

Item	Specification
Sampling tool	[e.g., Stainless steel powder thief, 25 mm diameter]
Sample containers	[e.g., 250 mL HDPE wide-mouth jars, pre-cleaned]
Cleaning procedure for tools	[e.g., Rinse with DI water, dry with lint-free wipe; acid-wash for trace analysis]
Labels	[e.g., Pre-printed adhesive labels, solvent-resistant]

Preservation and transport

Field	Entry
Atmosphere control	☐ None required · ☐ Seal under argon · ☐ Seal under nitrogen · ☐ Other: [specify]
Temperature control	☐ Ambient · ☐ Cooled (2–8 °C) · ☐ Frozen · ☐ Other: [specify]
Light protection	☐ None required · ☐ Amber containers · ☐ Opaque wrapping
Maximum holding time before analysis	[Enter]
Transport method	[e.g., Hand-carried in insulated cooler; courier with temperature monitor]

Sample quantity

Analysis requested	Test portion required	Number of portions	Total material needed	Archive portion?
[e.g., ICP-OES]	[e.g., 0.3 g]	[e.g., 2 (original + duplicate)]	[e.g., 0.6 g]	[Yes / No]
[e.g., Karl Fischer]	[e.g., 50 mg]	[e.g., 3]	[e.g., 150 mg]	[Yes / No]
[e.g., Laser diffraction]	[e.g., 1 g]	[e.g., 2]	[e.g., 2 g]	[Yes / No]
Total sample required (with margin)			[Enter]

---

Part B — Sampling record

Completed at the time of sampling.

Field	Entry
Sampling date	[Enter]
Sampling time (start – end)	[Enter]
Sampling location	[e.g., Customer warehouse, Building 3, Bay 7]
Sampled by	[Name(s)]

Environmental conditions at sampling

Parameter	Value
Temperature	[°C]
Relative humidity	[% RH]
Weather / conditions (if outdoors)	[Enter or N/A]

Increment log

Increment #	Container / unit ID	Location within container	Time	Observations
1	[e.g., Drum 01 of 20]	[e.g., Top (0–10 cm depth)]	[Enter]	[e.g., Powder free-flowing, uniform color]
2	[e.g., Drum 01 of 20]	[e.g., Middle (12–15 cm depth)]	[Enter]	[Enter]
3	[e.g., Drum 01 of 20]	[e.g., Bottom (25–30 cm depth)]	[Enter]	[e.g., Slight agglomeration noted]
4	[Enter]	[Enter]	[Enter]	[Enter]
5	[Enter]	[Enter]	[Enter]	[Enter]
6	[Enter]	[Enter]	[Enter]	[Enter]

Add rows as needed.

Sample identification

Sample ID	Description	Containers collected	Composited from increments	Archive portion ID
[Enter]	[e.g., Lot composite — Drums 01, 07, 14]	[e.g., 2 × 250 mL HDPE]	[e.g., #1–9]	[Enter or N/A]
[Enter]	[Enter]	[Enter]	[Enter]	[Enter]

Deviations from sampling plan

Deviation	Reason	Approved by	Impact assessment
[e.g., Sampled 4 drums instead of 6 — drums 12 and 18 were unopened/sealed and customer did not authorize opening]	[Enter]	[Name]	[e.g., Reduced representativeness — noted in report; customer informed]

Enter "None" if no deviations occurred.

---

Part C — Chain of custody (when required)

#	Action	Person	Date	Time	Signature
1	Sample collected	[Name]	[Date]	[Time]	[Sign]
2	Transferred to transport	[Name]	[Date]	[Time]	[Sign]
3	Received at laboratory	[Name]	[Date]	[Time]	[Sign]
4	Placed in storage	[Name]	[Date]	[Time]	[Sign]
5	Released for analysis	[Name]	[Date]	[Time]	[Sign]

Field	Entry
Storage conditions on receipt	[e.g., Ambient storage, Room 104, 21 °C]
Sample condition on receipt	[e.g., Containers intact, labels legible, no signs of damage or leakage]
Seal integrity	☐ Intact · ☐ Broken — noted: [details]