ESMA Product Traceability Checklist
Covers supplier records, invoice matching, batch/serial number traceability, certificate mapping, storage location, and recall support.
Sample Audit Programs
For the complete checklist, and scoring criteria download the file
1. Is a supplier register maintained, listing all active suppliers with their ESMA registration or conformity approval status for each product category supplied?;
2. Are purchase invoices retained for every product shipment received, and matched to the corresponding delivery note and conformity certificate before stock is accepted?;
3. Is the product data on the invoice (part number, description, quantity, batch reference) reconciled against the physical delivery before stock is put into the system?;
4. Are discrepancies between invoice data and physical delivery documented, escalated, and resolved before the affected stock is released for sale or use?;
5. Is a batch or serial number recorded in the inventory system for every traceable product received, allowing individual units to be identified within the stock?;
6. Is batch information recorded at the point of sale or fitment, linking the specific batch used to the vehicle, customer, and job card?;
7. Are serialised products (diagnostic tools, safety equipment, high-value assemblies) tracked by serial number from receipt through to sale, fitment, or disposal?;
8. Is the traceability system tested periodically by performing a sample trace — selecting a batch number and confirming all units from that batch can be located within the system?;
9. Is every conformity certificate mapped to the specific product categories, brands, and specifications it covers — not applied generically across a broader product range?;
10. Are certificates cross-referenced to the products currently in stock, confirming that every stocked regulated product has an in-scope, current certificate?;
Customizable Audit Programs to Suit Your Business Needs
يتيح لك نظامنا المرن إنشاء قوائم أسئلة مخصصة، وتجميعها في برامج مفيدة، وضمان الامتثال عبر مختلف الأقسام. قم بمعاينة نماذج البرامج وقوائم الأسئلة لفهم كيف يمكنك تحسين عملية التدقيق بسهولة.