Failed lot disposition options (batch 2 guide 15)

Key takeawaysDecide the visit objective first, because failed lot handling visits answer different questions depending on whether the lot is new, borderline, or already failed. · The RoHS framework restricts hazardous substances such as lead, mercury, and cadmium in electrical and electronic equipment^[1]. · Freeze the specification version, the defect classification, and the packing list before the inspector travels, so checking every unit stays anchored to agreed criteria. · Behind a CE mark sits a conformity assessment route, technical documentation, and a signed declaration by the responsible party^[2]. · File the defect breakdown with the purchase order so failed lot handling history accumulates into usable supplier knowledge.

Sorting makes sense when defects are visible and separable, because trained sorters can remove the nonconforming units while keeping the conforming ones, and a follow-up verification confirms the separation worked.

A failed sampling result does not automatically condemn the whole lot; it means the number of defects found in the sample exceeded the acceptance number for the agreed AQL, so the lot cannot be accepted on sampling evidence alone.

The sections below follow the order buyers actually encounter the task, from planning through the visit to the follow-up.

Evidence the factory needs from you

The defect breakdown from the visit is the anchor of this discussion, since it ties each defect to a criterion, a sample reference, and a photograph, which keeps the negotiation about facts rather than impressions. The RoHS framework restricts hazardous substances such as lead, mercury, and cadmium in electrical and electronic equipment^[1].

Whatever path is chosen, the decision should be written down with the defect codes, the quantities affected, photographs of representative defects, and the agreed next verification step, so the factory and the buyer act on the same record.

After the visit, treat the findings as the starting point for supplier development rather than a one-off verdict: share the defect photographs with the factory's production supervisor, agree which workstation or material input produced each issue, and set a date for the factory to report back on the countermeasure.

Consistency across orders matters more than perfection in any single lot, so keep the same defect classification and the same sampling logic from one shipment to the next; when the yardstick stays fixed, trends in the reports actually mean something and both sides can see whether quality is improving.

Where the purchase order involves several models or assortments, confirm the breakdown before the visit day so the sample can be allocated proportionally; mixed lots checked against a single blended criterion are a frequent source of disputes that a short clarification message would have prevented.

Keeping the shipment plan intact

Use the table as a pre-visit checklist: when every row has an owner and a confirmation time, the failed lot handling visit usually runs to plan. Consistency across orders matters more than perfection in any single lot, so keep the same defect classification and the same sampling logic from one shipment to the next; when the yardstick stays fixed, trends in the reports actually mean something and both sides can see whether quality is improving.

Disposition paths buyers really use

For regulated characteristics, such as restricted substances or safety functions, disposition options narrow sharply: the lot must either be brought into conformity through verified correction or held back, because paperwork alone cannot cure a substantive failure.

Time pressure often pushes teams toward a quick concession, yet accepting a known defect without understanding its distribution across the lot tends to move the problem to the destination warehouse, where fixing it costs far more. If the purchase order has special checkpoints, UTS Inspection adds them to the working checklist before the visit.

End the visit with a short closing discussion at the factory floor, confirming what was found and what happens next, while the evidence is still on the table.

How sorting and rework decisions compare

1. Confirm readinessAsk the factory to confirm finished quantity, staging, and the contact person for the visit day.
2. Freeze the criteriaLock the specification version, the defect classification, and any buyer-specific checkpoints in writing.
3. Run the visitDraw samples randomly, work through the checklist, and photograph each defect type with its reference.
4. Decide on evidenceCompare the findings with the acceptance criteria and choose among ship, hold, sort, or rework.
5. File and follow upStore the defect breakdown with the order documents and track any corrective action to closure.

What a failed result actually means

Frequently asked questions