Batch traceability and product recall readiness
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Batch traceability is the ability to follow every batch of a product from its supplier, through your warehouse, to the customers who received it. When something goes wrong, such as contamination, a labelling error or a safety defect, it's what lets you recall only the affected batch, quickly and accurately, instead of pulling your whole range.
It's easy to discover gaps in your traceability only during a real recall, when the pressure is highest. A brand that can name every affected customer within hours protects its customers, its reputation and its relationships with retailers. A brand that can't, may have to recall far more stock than necessary.
This guide covers what batch traceability is, the UK rules on traceability and recalls, the difference between a withdrawal and a recall, how to build traceability into your supply chain, the product recall process step by step, how to test it, and what to ask your Third-Party Logistics (3PL) provider.
What is batch traceability?
A batch, or lot, is a group of units made in the same production run, under the same conditions, from the same raw materials. Each batch has a code printed on the product or packaging. If a problem affects one production run, it usually affects the whole batch, and only that batch.
Batch traceability links each batch code to:
One step back: where the batch came from, including the supplier, manufacturing date and the raw materials or components used.
Where it's been: when it arrived at your warehouse, where it's been stored and under what conditions.
One step forward: which orders, customers, retailers or marketplaces received units from that batch.
The "one step back, one step forward" principle is the minimum standard for food businesses, and good practice for everyone else.
Batch traceability tracks groups of units. For high-value items, you may need to go further and track each individual unit, which we cover in our guide to serial number tracking.
The UK rules on traceability and recalls
The rules depend on what you sell, but the principle is the same everywhere: if a product isn't safe, you must act quickly, tell the right authority and get it back from customers where needed.
Food and supplements: UK general food law requires food businesses to be able to identify who supplied them and who they supplied, the "one step back, one step forward" rule. If food is unsafe, businesses must withdraw it and, if it has reached consumers, recall it and inform the Food Standards Agency (FSA) or Food Standards Scotland. Our guides to HACCP and BRC certification and Natasha's Law cover related food safety requirements.
General consumer products: under the General Product Safety Regulations 2005, producers must only place safe products on the market, monitor safety, and take action, including recalls, if a product turns out to be unsafe. Producers and distributors must notify the authorities when they know a product is unsafe.
Sector-specific rules: cosmetics, toys, electrical goods, medical devices and medicines each have their own requirements for traceability, complaints and recalls. For example, toy importers must keep a register of complaints and recalls, and cosmetics brands must report serious undesirable effects. Our guides to cosmetic regulations and toy safety cover these.
Best practice: PAS 7100, published by the British Standards Institution (BSI), is a code of practice for consumer product safety corrective actions and recalls. It's a useful framework for planning, even where it isn't mandatory.
Product withdrawal or product recall?
Not every problem means asking customers to send products back. The right action depends on how far the product has travelled and how serious the risk is.
Action | What it means | When it's used |
Withdrawal | Removing a product from the supply chain before it reaches consumers | Stock is still in your warehouse, with retailers or with marketplaces |
Recall | Getting a product back from consumers who already have it | Unsafe or non-compliant products have been sold to the public |
Other corrective action | Fixing the problem without a full recall, such as a repair, replacement part, software update or new warning | The risk can be managed safely without returning the product |
A withdrawal is often the first step of a recall: you stop selling and quarantine stock while you decide whether consumers need to act. The faster you can identify which batches are affected and where they've gone, the smaller and faster any recall is likely to be.
How to build batch traceability into your supply chain
Traceability depends on capturing batch data at every point a product changes hands. Gaps at any stage break the chain.
1. Get batch data from suppliers
Ask suppliers to print clear batch codes and dates on every unit and outer carton, and to list batch numbers on delivery notes or an Advance Shipping Notice (ASN). Keep their certificates of analysis or test reports by batch.
2. Record batches at goods-in
Your 3PL should scan or record the batch code and expiry date of every delivery as it's received, and flag any mismatch with the ASN.
3. Store by batch
The Warehouse Management System (WMS) should show which batches sit in each location. For date-sensitive products, stock should be picked on a First Expired, First Out (FEFO) basis.
4. Record batches at dispatch
This step is easy to miss. The WMS needs to record which batch went into each order, so you can trace forward to customers. If your 3PL only records which SKU was sent, you'll have to treat every customer who bought that product as affected.
5. Track business customers too
If you supply retailers, wholesalers or marketplaces, record which batches went to each one, and make sure they can trace onwards.
6. Handle returns and kits carefully
Returned items need their batch recorded when they come back. If your 3PL builds kits or bundles, record the batch of every component that goes into each kit.
7. Keep records long enough
Keep traceability records for at least the shelf life of the product plus a margin, and for any minimum period your sector's rules require.
8. Connect the data
Make sure batch data from your 3PL can be matched to customer details in your store or order management system. A list of order numbers is only useful if you can turn it into contact details quickly.
The product recall process, step by step
A recall plan should be written, agreed with your suppliers and 3PL, and ready to use before anything goes wrong. When it's needed, work through these steps.
1. Investigate and assess the risk
Gather the facts: the problem, how it was found, which batches could be affected and how serious the risk to customers is. Involve your supplier and, where relevant, a technical or regulatory adviser.
2. Stop sales and quarantine stock
Pause the affected products on every sales channel and ask your 3PL to quarantine all stock from the affected batches straight away, keeping it physically separate from sellable stock.
3. Decide on the action
Choose between a withdrawal, a recall or another corrective action, based on the risk and where the product has gone.
4. Notify the authorities
Tell the relevant authority as soon as you know a product is unsafe: the FSA or Food Standards Scotland for food, your local Trading Standards or the Office for Product Safety and Standards (OPSS) for consumer products, and the Medicines and Healthcare products Regulatory Agency (MHRA) for medicines and medical devices.
5. Identify affected customers
Use dispatch records from your 3PL to list every order containing the affected batches, then match them to customer contact details. Include business customers and marketplaces.
6. Tell customers and partners
Contact affected customers directly, explaining the problem, the risk, what to do and how they'll get a refund or replacement. Tell retailers and marketplaces, and publish a recall notice on your website and social channels where needed.
7. Collect and deal with returned stock
Arrange returns or collections, record what comes back by batch, and agree with your 3PL how recalled stock will be stored, reworked or disposed of.
8. Track how effective the recall is
Monitor how much affected stock has been accounted for, and keep the authorities updated. Follow up with customers who haven't responded.
9. Review and improve
Once the recall closes, find the root cause, fix it with your supplier and update your plan based on what you learned.
Test your recall plan before you need it
A mock recall shows whether your traceability works before a real recall puts it under pressure. Food safety certification schemes such as BRCGS expect traceability and recall procedures to be tested at least once a year, and it's good practice for any brand.
To run a mock recall:
Pick a batch: choose a real batch from a recent delivery, ideally one that's been partly sold.
Start the clock: ask your team and your 3PL to trace it as if it were a real recall.
Trace back: confirm the supplier, production date and certificates for that batch.
Trace stock: confirm how many units arrived, how many are still in stock and where they're stored.
Trace forward: produce a list of every order and business customer that received the batch, with contact details.
Reconcile: check that units received equal units in stock plus units dispatched, plus any damaged or returned.
Time it: record how long each step took and where you got stuck.
A good result is a complete, reconciled list within a few hours. If the numbers don't add up, or you can't get dispatch data by batch, fix the gap before you need it for real.
Questions to ask a 3PL about traceability and recalls
Use these questions alongside our questions for a 3PL discovery call when you compare providers.
Goods-in: do you record batch codes and expiry dates for every delivery, and check them against the ASN?
Dispatch: do you record which batch went into each order, or only which SKU?
Stock rotation: do you pick on a FEFO basis, and how do you handle short-dated stock?
Quarantine: how quickly can you block and physically separate a batch once I ask?
Reporting: how quickly can you give me a list of every order containing a specific batch, and in what format?
Business customers: can you report which batches went to each retailer, wholesaler or marketplace?
Returns: do you record batches on returned items?
Kitting: if you build kits or bundles, do you record the batch of every component?
Mock recalls: will you take part in a mock recall, and when did you last run one?
Recalled stock: how would you store, rework or dispose of recalled stock, and what would it cost?
Batch traceability and recall FAQs
What is batch traceability?
Batch traceability is the ability to track each batch of a product from its supplier, through storage, to the customers who received it, so you can identify and recall affected units quickly.
What is the product recall process?
Investigate the problem, stop sales and quarantine stock, decide whether to withdraw or recall, notify the relevant authority, identify and contact affected customers, collect the products, track how effective the recall is and review what caused it.
What's the difference between a withdrawal and a recall?
A withdrawal removes a product from the supply chain before it reaches consumers. A recall asks consumers who already have the product to return it or take other action.
Who do I notify about a product recall in the UK?
It depends on the product. Food recalls go to the Food Standards Agency or Food Standards Scotland, consumer products to Trading Standards or the Office for Product Safety and Standards, and medicines and medical devices to the MHRA.
How quickly should I be able to trace a batch?
Within a few hours. A mock recall will show whether you can produce a complete list of affected orders that quickly.
Does my 3PL need to record batch numbers?
If you sell anything with batch codes, yes. Without batch records at dispatch, you can't trace forward to customers and may have to recall far more stock than necessary.
Find a 3PL that's ready for a recall
Recall readiness comes down to recording batches at every stage, having a written plan, testing it with mock recalls and working with a 3PL that can quarantine stock and trace orders quickly. Compare 3PLs on fulfilment.com and get quotes from providers with full batch traceability.
