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Lot / Serial Numbers

Overview

Lot and Serial Number tracking provides comprehensive product traceability throughout your supply chain. This system enables you to track individual items or batches from receipt through final disposition, supporting regulatory compliance, quality control, recall procedures, and warranty management while maintaining complete audit trails.

Lot / Serial Numbers

To access Lot / Serial Numbers:

  1. Click Inventory in the left sidebar menu
  2. Click Lot / Serial Numbers
  3. Or use direct URL: https://main.smartb.co/action?name=stock_lot

Key Features

Action Buttons

  • New Lot / Serial Number - Create a new lot or serial number record
  • Import - Import lot/serial data from external systems
  • Update Lot Expiry Transactions - Bulk update expiration information
  • Update Lot Status - Change status of multiple lots

Status Filters

Track lots and serials through their lifecycle:

  • Active - Currently available lots/serials
  • Inactive - Expired, consumed, or retired lots/serials
  • All - Complete history of all lots/serials

Column Descriptions

Column Description
Number Unique lot or serial number identifier
Received Date Date when lot/serial was first received
Manufacturing Date Date when product was manufactured
Expiry Date Expiration or use-by date
Shelf Life Remain (%) Percentage of shelf life remaining
Weight Net weight of the lot
Description Additional descriptive information
Product Associated product code and description
Status Current status (Active, Inactive)

Lot vs. Serial Number Management

Lot Numbers (Batch Tracking)

Characteristics: - Track groups of products produced together - Same lot number applied to multiple units - Useful for raw materials and bulk products - Support batch-level quality control

Use Cases: - Raw material batches - Production runs - Chemical lots - Food batches with shared expiration dates

Serial Numbers (Individual Tracking)

Characteristics: - Unique identifier for each individual item - One-to-one relationship with products - Support individual warranty tracking - Enable precise recall capabilities

Use Cases: - Electronic equipment - High-value assets - Medical devices - Machinery and equipment

Creating and Managing Lots/Serials

Manual Creation

  1. Click New Lot / Serial Number
  2. Enter basic information:
  3. Number - Unique identifier
  4. Product - Associated product
  5. Manufacturing Date - Production date
  6. Expiry Date - Expiration date (if applicable)
  7. Add optional details:
  8. Weight - Physical weight
  9. Description - Additional notes
  10. Status - Active/Inactive designation
  11. Save the record

Automatic Generation

System Generation: - Auto-generate based on configurable patterns - Include date stamps, sequence numbers - Support multiple numbering schemes - Ensure uniqueness across system

Import from External Systems: - Batch import from manufacturing systems - Synchronize with supplier data - Import from quality control systems - Maintain data integrity

Advanced Features

Expiration Management

Shelf Life Tracking: - Monitor remaining shelf life percentage - Calculate expiration dates automatically - Alert for approaching expiration - Support FEFO (First Expired, First Out)

Expiration Alerts: - Automated notifications for expiring products - Configurable warning periods - Integration with inventory management - Support for regulatory compliance

Quality Control Integration

Quality Status Tracking: - Link lots to quality test results - Track inspection status - Support quarantine procedures - Document quality decisions

Defect and Recall Management: - Track defective lots or serials - Support product recall procedures - Maintain recall history - Document corrective actions

Compliance and Traceability

Regulatory Compliance: - Support FDA, GMP, and other regulations - Maintain required documentation - Generate compliance reports - Support audit requirements

Supply Chain Traceability: - Track supplier information - Document receiving details - Support forward and backward tracing - Maintain chain of custody

Common Use Cases

Product Receipt Processing

  1. Receive products from supplier
  2. Create or assign lot/serial numbers
  3. Record manufacturing and expiry dates
  4. Link to quality inspection results
  5. Update inventory with traceability info

Production and Manufacturing

  1. Issue raw materials by lot numbers
  2. Create new lots for finished products
  3. Track production genealogy
  4. Document manufacturing conditions
  5. Link to quality control records

Customer Shipments

  1. Select appropriate lots for shipment
  2. Apply FIFO or FEFO rotation rules
  3. Document shipped lot information
  4. Maintain customer delivery records
  5. Support warranty and service tracking

Recall and Quality Issues

  1. Identify affected lots or serials
  2. Trace forward to customers
  3. Trace backward to suppliers
  4. Coordinate recall activities
  5. Document resolution actions

Best Practices

Numbering Schemes

  • Consistent Format - Use standardized numbering patterns
  • Meaningful Information - Include relevant data in numbers
  • Unique Identification - Ensure no duplicate numbers
  • System Integration - Coordinate with other business systems

Data Management

  • Complete Information - Capture all relevant traceability data
  • Timely Entry - Record information at time of transaction
  • Regular Updates - Maintain current status information
  • Data Validation - Verify accuracy of entered information

Compliance Management

  • Regulatory Requirements - Stay current with applicable regulations
  • Documentation Standards - Maintain complete records
  • Training Programs - Educate staff on procedures
  • Regular Audits - Conduct periodic compliance reviews

Troubleshooting

Lot/Serial Creation Issues

Duplicate Numbers: - Check for existing lot/serial numbers - Verify numbering scheme configuration - Review import data for duplicates - Update numbering sequences if needed

Missing Information: - Verify required fields are completed - Check product setup for tracking requirements - Ensure proper permissions for data entry - Review field validation settings

Expiration Management Problems

Incorrect Dates: - Verify manufacturing date entry - Check shelf life calculations - Review expiration date formulas - Update product master data if needed

Missing Alerts: - Check expiration alert configuration - Verify notification settings - Review user preferences - Test alert delivery methods

Traceability Issues

Incomplete Records: - Review transaction history - Check for missing lot assignments - Verify receipt documentation - Update incomplete records

System Integration: - Test data synchronization - Check interface configurations - Verify data mapping - Monitor error logs

Integration Points

Inventory Transactions

Goods Receipt: - Assign lots during receiving - Capture supplier lot information - Record expiration dates - Link to quality inspections

Goods Issue: - Select appropriate lots for shipment - Apply rotation rules - Document shipped lots - Update inventory balances

Quality Management

Inspection Results: - Link test results to lots - Track quality status - Document non-conformances - Support corrective actions

Certificate of Analysis: - Generate COA documents - Include test results - Support customer requirements - Maintain compliance records

Customer Service

Warranty Tracking: - Link serial numbers to warranties - Track service history - Support claims processing - Maintain service records

Return Processing: - Identify returned lots/serials - Process return authorizations - Update status information - Document return reasons

Tips

  • Automation - Use automatic lot generation where possible
  • Integration - Connect with manufacturing and quality systems
  • Training - Educate staff on traceability importance
  • Regular Reviews - Monitor lot status and expiration dates
  • Compliance - Stay current with regulatory requirements