Material Traceability Lot Genealogy Audit

Inspection template for auditing material traceability from raw materials through work-in-process to finished goods, including label scanning accuracy and FIFO adherence.

Audit Scope and Record Setup

• Audit scope, date range, and product families are documented
• Sample lots selected from raw material, WIP, and finished goods records are identified
• ERP, MES, WMS, or batch record sources used for verification are listed
• Inspector confirms applicable traceability SOP and retention requirements were available
• Audit evidence package is complete and legible

Raw Material Receipt and Identification

• Supplier lot number, internal lot number, and receipt date are captured at receiving
• Receiving labels are present, readable, and match the source documentation
• Material status is clearly identified as approved, hold, or rejected
• Storage location recorded in system matches physical location
• Any relabeling or re-identification events are documented and approved

Label Scan and Material Movement

• Barcode or RFID scans match the correct lot on first attempt
• Scan transaction timestamps align with actual movement timing
• All material moves are recorded in the system without unexplained gaps
• Manual overrides or exception transactions are authorized and traceable
• Observed scan error rate during sampling

Production Consumption and Lot Genealogy

• Consumed raw material lots are linked to the correct production order or batch
• WIP lots or sublots are uniquely identified throughout the process
• Finished goods lot can be traced back to all contributing raw material lots
• Yield, scrap, and rework records reconcile to the genealogy record
• Any lot splits, merges, or rework events are fully documented

FIFO Compliance and Inventory Control

• Materials are issued in FIFO order unless a documented exception exists
• Expired, obsolete, or quarantine stock is segregated from usable inventory
• Oldest available lot was observed at the front of the storage location
• Inventory aging exceptions are approved and documented

Traceability Verification and Sign-Off

• Backward trace from finished goods to raw materials completed within required time
• Forward trace from raw material lot to all affected finished goods completed successfully
• Inspector signature captured