Synthetic example. Not a client case. All names, parts, documents and dates are invented.
Synthetic example · structure of a lot record
Sample dossier: one lot, one open question
This example shows how the record of a lot assessment would be organized and what it does not allow you to conclude. It follows a single question from the first version of the record to an update after the supplier answers.
It shows structure only. It contains no risk score, tier, weights or thresholds, and it does not describe a completed project or a service available now.
Dossier EX-0001 · version 1
1. Action page
| Lot | EX-LOT-0001 · version v1 · Day 3 |
|---|---|
| Client task | Example Manufacturer X, an EMS provider, has to decide what evidence it needs before releasing this lot of EXAMPLE-MPN-001 to production. The parts replace an allocation from an authorized channel that cannot be delivered in time. |
| Confirmed facts |
|
| Open question and why it matters | Q1. Were the 20 tested samples taken from the reel now offered? The report identifies its samples by part number and lot code only. One lot code can cover several reels and shipments, so a matching code does not show that the tested parts and the offered parts share the same handling history. Until this link is documented, the report cannot be related to this lot. |
| Next step | Request the sampling and sample-receipt records from Example Distributor B (draft in section 5). |
| Owner | Example Analyst |
| Closing condition | Q1 closes when records show who drew the samples, from which reel and when, and the laboratory’s sample-receipt record matches them; or when the supplier states that such records do not exist; in that case the record states that the link cannot be documented and the report is given no weight for this reel. |
2. Lot identification
| Part number | EXAMPLE-MPN-001 (invented), surface-mount integrated circuit |
|---|---|
| Quantity offered | 2,480 pieces on one reel, EX-REEL-07 |
| Lot code / date code on the reel label | EX-LC-2231 / EX-DC-21 |
| Source | Example Distributor B, an independent distributor |
| Documented source path | Manufacturer → Example Distributor C (authorized) → Example Trader D → Example Distributor B; each hand-off backed by an invoice and a packing list (E3) |
| Client application | Industrial control board; criticality class set by the client at intake |
3. Evidence register
| # | Item | From | Received | What was checked |
|---|---|---|---|---|
| E1 | Offer and quotation | Example Distributor B | Day 0 | Part number, quantity, lot and date codes compared with the reel-label photographs (E4) on Day 1. |
| E2 | Distributor’s certificate of conformance | Example Distributor B | Day 0 | Issued for this lot; signatory and date recorded. It does not identify any test samples. |
| E3 | Invoices and packing lists for each hand-off | Example Distributor B | Day 1 | Part number, quantity and lot code consistent at every hand-off. |
| E4 | Photographs of the reel label and of sample parts | Example Distributor B | Day 1 | Label and markings legible; codes match E1. |
| E5 | Test report EX-LR-0001 | Example Distributor B | Day 1 | Part number, lot code and methods read. The 20 tested samples are identified by part number and lot code only. |
| E6 | Confirmation that EX-LR-0001 was issued | Example Lab A, replying directly to the analyst | Day 3 | The laboratory confirms it issued the report and that the copy received matches its record. The methods in the report were checked against the laboratory’s published scope of accreditation. |
Each item carries its provenance, date, source authority and version. File hashes show that a file is unchanged, not that its content is true or who wrote it.
4. Gaps and conflicts
This example follows one question. An actual record lists every gap found, for example certificates from each intermediary and the handling of the reel after it was opened for sampling.
- G1 (Q1). No record connects the 20 tested samples with reel EX-REEL-07. The report was ordered by Example Trader D before the reel passed to Example Distributor B. The offered quantity (2,480) would fit 20 pieces drawn from a 2,500-piece reel, but no document shows it.
- Conflicts. None found between the documents received.
5. Next step and draft request to the supplier
Owner: Example Analyst. To be sent on Day 3; closing condition as on the action page.
Subject: EXAMPLE-MPN-001, lot code EX-LC-2231: sample records for report EX-LR-0001
Report EX-LR-0001 from Example Lab A identifies the tested samples by part number and lot code only. To relate the report to the reel you offer (EX-REEL-07, 2,480 pieces), please send:
- the sampling record: who drew the 20 samples, from which reel or container, and on which date;
- the laboratory’s sample-receipt record for this report, or the sample identifiers it used;
- a statement whether EX-REEL-07 is the reel the samples were drawn from, and whether any parts were added to or removed from it since.
If any of these records does not exist, please say so; your answer will be recorded as given.
6. Limits
What this record does not allow you to conclude:
- It does not show that the parts are fit for the client’s application; that decision stays with the client.
- A confirmed report shows what was tested on the samples; it says nothing about parts that were not tested.
- External visual and X-ray inspection do not include electrical testing or destructive analysis (L3); whether more testing is needed is a separate recommendation to the client.
- It is not a certification of the parts or of the supplier.
7. Quality control
| Prepared by | Example Analyst |
|---|---|
| Reviewed by | Example Reviewer, who did not prepare this record |
| Current version | v1, Day 3. Corrections are appended; earlier versions are kept unchanged. |
Version 2 (fragment): after the supplier’s answer
Summary of changes, v1 → v2 (Day 9)
- Changed: Q1 closed on the documentary record; evidence items E7 and E8 added; gap G1 closed; one limit added (section 6); next step and owner updated.
- Unchanged: lot identification; confirmed facts 1–4; evidence items E1–E6; the limits of v1, which still apply. No new conflicts.
1. Action page (changed rows only)
| Lot | EX-LOT-0001 · version v2 · Day 9 |
|---|---|
| Q1 | Q1 closed on the documentary record on Day 9. The sampling record (E7) and the laboratory’s sample-receipt record (E8) both identify reel EX-REEL-07 as the source of the 20 tested samples. Report EX-LR-0001 can now be related to this lot, within the limits in section 6. |
| Next step | The client decides the disposition and whether further verification or testing is needed for its application. |
| Owner | Example Manufacturer X |
| Closing condition | The client records its disposition of the lot. |
3. Evidence register (added items)
| # | Item | From | Received | What was checked |
|---|---|---|---|---|
| E7 | Sampling record and supplier statement | Example Distributor B (record made by Example Trader D) | Day 8 | 20 pieces drawn from reel EX-REEL-07 on Day −41 by Example Trader D; signed and dated. Statement: the reel held 2,500 pieces; nothing was added or removed except these samples. |
| E8 | Sample-receipt record for EX-LR-0001 | Example Lab A, directly | Day 9 | 20 pieces received on Day −40, identified as taken from reel EX-REEL-07; matches E7. |
6. Limits (added item; the limits of v1 still apply)
- The sampling record (E7) comes from a party in the supply chain, and the laboratory’s receipt record (E8) shows how the samples were labeled on arrival. Together they document the stated origin of the samples; they do not physically establish that the tested pieces came from this reel. Whether to verify the received parts against the report, for example by comparing markings, is a separate recommendation to the client according to the application’s criticality.
7. Quality control
| Prepared by | Example Analyst |
|---|---|
| Reviewed by | Example Reviewer, who did not prepare this record |
| Current version | v2, Day 9. Version v1 is kept unchanged. |
For specialists
At which step of your process would a record like this help, and what information is missing?
Feedback is recorded separately from purchase interest. Please do not include confidential, export-controlled or defense-related information.