Batch Traceability

Batch traceability is the control system that keeps your paperwork tied to the physical goods. If you don’t have it, you don’t have compliance—
you have opinions. This page defines a conservative, EU-focused wholesale traceability standard for THCA procurement.
This is not legal advice.

The traceability rule (simple, strict, effective)

Rule: One batch/lot ID, copied exactly, across COA, invoice, packing list, and labels.
If the ID changes format anywhere, treat it as a mismatch until proven otherwise.

Why traceability matters in EU wholesale

Inspections: document mismatch is a common trigger for holds (see customs inspections).
Disputes: if you can’t prove “this COA matches this shipment,” you lose leverage.
Internal approvals: finance/compliance teams need a repeatable file, not a story.
Receiving control: traceability prevents mixing lots and creating unresolvable QA problems.

What a “batch file” should contain

Think of the batch file as a single folder that explains one lot. If it’s spread across email threads, it’s not controlled.

Minimum batch file contents

Batch/Lot ID (canonical format; the “source of truth”)
COA linked to that lot ID (COA requirements)
Lab verification note (lab verification)
Product identifier and controlled description (consistent across documents)
Packaging/label check record (batch ID placement verified)

Documentation hub: /documentation/.

Standardize your lot IDs (stop the formatting drift)

Most traceability failures come from basic sloppiness: different spacing, abbreviations, and “close enough” IDs.
Treat lot IDs like financial account numbers—exact match only.

Lot ID standards (recommended)

One canonical format (e.g., LOT-YYYYMMDD-XXXX)
No special characters that get altered in PDFs or label printers
Case-sensitive policy (choose and enforce one approach)
No “friendly names” used as a substitute for lot IDs

Packaging rules that protect IDs: /compliance/packaging-labeling/.

Map lot IDs across documents (the four-point match)

For every lot in an order, you must be able to point to the lot ID in these places:

COA (lot ID printed on the report)
Invoice (line item references the lot ID or a controlled mapping reference)
Packing list (lot ID and quantities/weights mapped to physical units)
Labels (outer + inner packaging, consistent placement)

Shipping document standards: /compliance/shipping-documents/.

Multi-lot shipments (where buyers lose control)

Multi-lot shipments require a lot-to-physical-unit map. Without it, you can’t prove what arrived where.

Minimum multi-lot mapping record

Shipment ID (internal reference)
Lot ID list (all lots included)
Lot-to-carton/case/pallet map (which lots in which units)
Unit identifiers (carton/case numbers if used)
Total counts/weights per lot and per shipment

Build the flow using /documentation/shipping-flow/.

Receiving controls (traceability continues after delivery)

If your warehouse mixes lots, traceability ends. Receiving must preserve lot identity.

Receiving checklist (traceability-critical)

Photo log: outer cartons, labels, seals, damage
Lot ID match check against invoice, packing list, and COA set
Quarantine triggers for mismatches or missing documentation
Storage segregation by lot ID (where relevant to your SOP)

Storage/handling guidance: /compliance/storage-handling/.

How traceability reduces customs friction

Customs holds often escalate when identity is unclear. Traceability gives you a controlled response: one shipment packet, one story.

Prepare shipment packets before dispatch (invoice + packing list + lot map + COAs).
Do not send conflicting descriptions mid-hold.
Log what was sent, when, and by whom.

Inspection context: /insights/thca-customs-inspections/.

FAQ

Can a COA be “close enough” if the lot ID is slightly different?

Not if you want professional compliance. Lot IDs must match exactly. “Close enough” is how holds and disputes happen.
Start at /compliance/certificate-of-analysis/.

What if a supplier uses different lot IDs on different documents?

Require a controlled mapping document and treat the shipment as higher risk until resolved. Don’t accept informal explanations.
Reference: /compliance/shipping-documents/.

Do we need a lot map for single-lot shipments?

It’s less critical, but still useful. Multi-lot shipments require it. The larger the shipment, the more valuable the map becomes.
See /documentation/shipping-flow/.

Where should traceability records live?

In your batch file system (centralized), and in the shipment packet assembled before dispatch.
Use /documentation/ as your structural hub.

Is this legal advice?

No. This is documentation and process guidance for procurement discipline.