Warehouse Lot Code Traceability Audit

Inspection template for auditing warehouse lot code traceability from receiving through picking, staging, shipping, and recall readiness.

Audit Scope and Record Setup

• Audit scope identifies facility, date, auditor, and sampled SKUs/lots
• Receiving, inventory, picking, staging, shipping, and recall records are available for the sampled lots
• System access is available to verify lot genealogy in WMS/ERP
• Sample size and selection method are documented
• Any known exceptions, holds, or prior traceability issues are identified before field verification

Receiving Lot Capture

• Supplier lot code is recorded on receiving documents or in the WMS at receipt
• Received quantity matches the inbound document and system receipt quantity
• Lot code format is legible, complete, and consistent with supplier documentation
• Receiving label or pallet tag includes item identifier, lot code, quantity, and receipt date
• Any relabeling or exception handling is documented and approved

Storage and Label Integrity

• Storage location records preserve the lot code association
• Pallet, case, or bin labels remain readable and match the WMS record
• Mixed-lot storage is controlled and clearly identified where permitted
• FIFO/FEFO rules are followed where applicable
• Damaged or unreadable labels are replaced through a controlled process

Picking, Staging, and Shipping Traceability

• Picked lot code matches the order requirements and allocation record
• Picker scan or manual verification confirms the correct lot at pick
• Staging area maintains separation of orders and lots to prevent mix-ups
• Shipping documents, ASN, or bill of lading include the shipped lot code(s) where required
• Shipment seal, trailer load, or dispatch record can be tied back to the shipped lot(s)

System Traceability and Record Accuracy

• A lot code can be traced from receipt to final shipment in the system without missing links
• Inventory adjustments, transfers, and relabel events retain the original lot genealogy
• Manual logs, spreadsheets, or offline records are controlled and reconciled to the system of record

Recall and Stop-Ship Readiness

• Affected lots can be identified and quarantined within the required response time
• Hold, quarantine, or stop-ship status is visible in the WMS and physically marked in the warehouse
• Recall contact list, escalation path, and customer notification process are current