Handling a non-conforming lot

In short

A non-conforming lot must be quarantined, documented and assessed against a written disposition procedure — accept, accept with adjustment, rework, return or dispose — before any commercial conversation begins, because uncontrolled material generates a second problem on top of the first.

Key points

Quarantine physically and in the system before notifying the supplier.
Document the deviation with sampling evidence and photographs.
Notify within the contractual claim window, in the contractual form.

Contain first

Physically segregate the lot, block it in the inventory system and identify any material already released into production. Containment failures turn a single non-conforming lot into a much wider traceability exercise.

Build the evidence file

Sampling records, laboratory report with method references, photographs, transport documents and the certificate of analysis. The credibility of a claim rests almost entirely on whether the sampling was documented and representative.

Disposition and root cause

Decide disposition against the written procedure, then pursue root cause with the supplier. A claim closed with a credit note and no root-cause analysis usually produces the same deviation again.

How to do it

Quarantine the lot physically and in the inventory system.
Identify and trace any material already used.
Assemble the evidence file including sampling documentation.
Notify the supplier within the contractual window and form.
Agree disposition and, where relevant, refer to the umpire laboratory.
Close with documented root cause and corrective action.

What to verify

Quarantine effective in both physical and system terms
Evidence file complete before notification
Notification within the contractual claim window

Risks to manage

Claim time-barred because notification was late
Retention sample unavailable, leaving the result unsupported
Material consumed during the investigation, destroying evidence

Common mistakes

Calling the supplier before the evidence file exists
Accepting a credit note without root-cause analysis
Releasing quarantined material under production pressure

Frequently asked questions

Can a non-conforming lot ever be used?

Where the deviation is nutritional rather than safety-related, a documented concession with reformulation and a price adjustment is common practice. Safety-related deviations should not be resolved by concession.

When should an umpire laboratory be used?

When the supplier's result and yours conflict materially and the contract provides for it. Refer within the contractual time limit using the sealed sample.

Need this applied to a specific purchase?

Send your requirement and we will structure the specification, supplier shortlist and verification plan around it.

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