What this checklist covers
The ESMA Product Traceability Checklist is a 15-point scorecard for supplier records, invoice matching, batch traceability, certificate mapping, and recall support. Each criterion is scored from 1 to 5 on what the auditor sees on the day, and every gap goes into an action plan with an owner and a close date.
AutoSmart tip: Product traceability is most commonly tested in practice during a recall event — and that is exactly when gaps in batch records, certificate mapping, or storage location data become critical. Conduct a traceability drill annually: select a product batch at random and time how long it takes to identify all units, their location, and the customers or vehicles they were used on.
The checks
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Supplier records and invoice matching
- Is a supplier register maintained, listing all active suppliers with their ESMA registration or conformity approval status for each product category supplied?
- Are purchase invoices retained for every product shipment received, and matched to the corresponding delivery note and conformity certificate before stock is accepted?
- 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?
- Are discrepancies between invoice data and physical delivery documented, escalated, and resolved before the affected stock is released for sale or use?
Batch and serial number traceability
- 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?
- Is batch information recorded at the point of sale or fitment, linking the specific batch used to the vehicle, customer, and job card?
- Are serialised products (diagnostic tools, safety equipment, high-value assemblies) tracked by serial number from receipt through to sale, fitment, or disposal?
- 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?
Certificate mapping
- Is every conformity certificate mapped to the specific product categories, brands, and specifications it covers — not applied generically across a broader product range?
- Are certificates cross-referenced to the products currently in stock, confirming that every stocked regulated product has an in-scope, current certificate?
- Is the certificate register updated when new products are added to stock or when existing certificates expire or are superseded, with no gaps in coverage?
Storage location and recall support
- Is the storage location of each product batch recorded in the inventory system, allowing physical retrieval of all units within a specific batch without a manual search?
- Is the traceability data sufficient to support a regulatory recall — identifying, locating, and withdrawing all affected units within a defined timeframe if instructed by ESMA or a supplier?
- Has the dealership participated in or supported a product recall in the past 24 months, and if so, was the recall handled within the required timeframe with records maintained?
- Is a documented recall response procedure in place, defining who is notified, what actions are taken, and how withdrawn products are handled?
How to run it
How the scoring works
Before the visit, fill in the dealer or centre, the auditor, the date and the audit cycle. Then score each of the 15 checks from 1 to 5 on what you see on the day, not on what the site aims for, and add them up out of 75.
- 1Not in place
- 2Attempted
- 3Defined
- 4Managed
- 5Fully sustained
- Green60–75 · 80–100%Compliant. Keep the standard.
- Amber38–59 · 50–79%Improvement needed: a structured action plan within 30 days.
- Red0–37 · Below 50%Priority intervention, escalated to regional management.
Then close every gap
Each gap goes into the action plan tracker and moves through four stages until the auditor closes it.
- 1PendingOwner and close date set
- 2In progressWork under way, evidence gathered
- 3CompletedEvidence submitted for review
- 4ApprovedVerified and closed by the auditor
