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Region 4
U.S. Environmental Protection Agency
Science and Ecosystem Support Division
Athens, Georgia

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Title: Control ofNonconformin Work

Effective Date: Jul 13, 2016 Number: SESDPROC-019-R4

Authors
Name:
Title:

Date: ~ 7 1-b
Approvals
Name: John Deatrick
Title: Chief, Field Services Branch

Si ature: ~G.G Date: 7 /,,

Name: Hunter Johnson
Title: Field Qu lity Manager, Science and Ecosystem Support Division

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Control of Nonconforming Work Control of Nonconforming Work(019}_AF.R4

Effective Date: July 13, 2016

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Revision History

The top row of this table shows the most recent changes to this controlled document. For previous
revision history information, archived versions of this document are maintained by the SESD
Document Control Coordinator on the SESD local area network (LAN).

History Effective Date

SESDPROC-019-R3, Control of Nonconforming Work, replaces, July 13, 2016
SESDPROC-019-R2

General: Corrected any typographical, grammatical, and/or editorial errors.

Throughout the document mention of quality system or SESD quality system was
replaced with Field Branches Quality System or FBQS.

Cover Page: Changed the Author from Bobby Lewis to Hunter Johnson.
Updated cover page to represent SESD reorganization. John Deatrick was not
listed as the Chief of the Field Services Branch

SESDPROC-019-R3, Control of Nonconforming Work, replaces, July 25, 2012

SESDPROC-019-R2
SESDPROC-019-R2, Control of Nonconforming Work, replaces, July 8, 2010
SESDPROC-019-R1
SESDPROC-019-R1, Control of Nonconforming Work, replaces February 11, 2008
SESDPROC-019-R0.
SESDPROC-019-R0, Control of Nonconforming Work, Original October 10, 2007
Issue

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TABLE OF CONTENTS

1 General Information ............................................................................................................. 4

1.1 Purpose .......................................................................................................................... 4

1.2 Scope/Application ......................................................................................................... 4
1.3 Documentation and Verification ................................................................................. 4
1.4 References ...................................................................................................................... 4

2 Methodology .......................................................................................................................... 5

2.1 General ........................................................................................................................... 5

2.2 Control of Nonconforming Work ................................................................................ 5
2.3 Recalled Data................................................................................................................. 6
2.4 Records .......................................................................................................................... 6

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1 General Information

1.1 Purpose

This document defines the procedure used to identify, evaluate, and address any aspect of work
conducted by the SESD field branch or results of work conducted by the SESD field branch which
does not conform to the policies and procedures in the field branches quality system or the agreed
upon requirements of the customer.

1.2 Scope/Application

This procedure applies to all work conducted by personnel within the SESD field branch.

1.3 Documentation and Verification

This procedure was prepared by persons deemed technically competent by SESD management,
based on their knowledge, skills and abilities. The official copy of this procedure resides on the
SESD local area network (LAN). The Document Control Coordinator (DCC) is responsible for
ensuring the most recent version of the procedure is placed on the LAN and for maintaining records
of review conducted prior to its issuance.

1.4 References

Control of Nonconforming Work Form (SESDFORM-027, most recent version)

Corrective Action Form (SESDFORM-006, most recent version)

SESD Operating Procedure for Corrective Action (SESDPROC-009, most recent version)

SESD Operating Procedure for Preventive Action and Quality Improvement (SESDPROC-017,
most recent version)

SESD Operating Procedure for Report Preparation and Distribution (SESDPROC-003, most
recent version)

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2 Methodology

2.1 General

Identification of nonconforming work or problems with the management system or sampling,

measurement or analytical activities can occur at various points within the management system
and technical operations. Nonconforming work may be identified several ways including customer
complaints, quality control, instrument calibration, checking of consumable supplies, staff
observations, report reviews, management reviews and internal and external audits.

2.2 Control of Nonconforming Work

A nonconformance occurs anytime there is a departure from the policies and procedures in the
SESD quality system or technical operations or when there is an absence of a specified
requirement. Nonconformances will require a formal corrective action if 1) there is potential for
the nonconformance to recur somewhere else in the quality system or, 2) if there is an adverse
impact on the quality of the work generated. The corrective action will explore the root cause of
the nonconformance and provide a plan for eliminating the root cause.

Personnel within the field branches will address nonconformances according to the following
procedure.

1. When nonconforming work occurs within the field branches, project leaders,
laboratory analysts, management and the Field Quality Manager (FQM) have the
authority and responsibility to stop work if appropriate.

NOTE 1: Field investigators that identify nonconforming work during field

operations will notify the Project Leader as soon as possible. Project Leaders will
determine if it is necessary to stop work during field operations.

NOTE 2: All field investigators are authorized to stop work due to safety
concerns.

2. Whenever a nonconformance occurs, field and laboratory personnel will take

immediate action to correct the issue if appropriate.

3. The individual who identified the nonconformance will complete the Control of
Nonconforming Work Form (SESDFORM-027) and notify the FQM as soon as
possible.

4. The FQM in consultation with management will evaluate the significance of the
nonconformance.

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5. The FQM will determine if there is potential for the nonconformance to recur
somewhere else in the quality system or if there is an adverse impact on the quality of
the work generated. If so, it will be addressed through formal corrective action.

6. If the nonconformance is not addressed through the corrective action process, it will be
evaluated by the FQM to determine if it is an opportunity for a Preventive Action or
Quality Improvement.

7. Affected management and the FQM in consultation with the project leader or
laboratory analyst will determine if the results generated from the nonconforming work
are acceptable or it the work should be repeated.

8. Affected management and the FQM will also determine if the customer should be
notified of the nonconformance and if any previously released data should be recalled.

9. If work was stopped due to the nonconformance, the FQM or management will
determine when it is appropriate for work to resume.

2.3 Recalled Data

If it is necessary to recall data due to a nonconformance, it will be the responsibility of the affected
management to contact the customer and notify them of the recalled data. This may be done via
email or a memorandum. If it is necessary to issue another report, this will be handled in
accordance with Section 4.2 of the SESD Operating Procedure for Report Preparation and
Distribution (SESDPROC-003). Copies of any correspondence with the customer regarding
recalled data should be forwarded to the FQM.

2.4 Records

Information related to occurrences of nonconforming work will be recorded on the SESD Control
of Nonconforming Work Form (SESDFORM-027). The FQM will maintain all records associated
with occurrences of nonconforming work. These records may include:

1. SESD Control of Nonconforming Work Form (SESDFORM-027)

2. Notification for stopping work (emails, memos, verbal communication)
3. Records of customer notification (emails, memos, verbal communication)
4. Records of recalled data (emails, memos, verbal communication)
5. Notification for resuming work (emails, verbal communication)
6. Corrective Action Form (SESDFORM-006)

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