How to Run a Lot Trace and Recall in Epicor Prophet 21
A lot trace answers two questions fast when a supplier recalls a batch: where did it come from, and where did it go. You freeze what is still on hand, confirm the batch against the receipt and certificate, then follow every transfer and shipment to the customers who received it, until every piece is accounted for.
This guide follows a recorded supplier recall in Epicor Prophet 21: putting the lot on hold, the upstream trace, the downstream transaction history and shipments, an Excel manifest, carrier delivery checks, an audit pack, manager approval and the customer recall notices.
- Who does itQuality / inventory control, with the quality manager approving recall notices
- How oftenOn demand, when a recall or customer quality question arrives
- Steps13 steps · 5 systems
- By hand8–30 hours per day across receiving and inventory
Watch the full workflow
every click in this recording is an AI agent — no one is touching the keyboard.
In the recording, an AI agent picks up a supplier recall from Summit Fastener Co. for heat treat batch SF-77315 (Grade 8 hex cap screws, core hardness 29 HRC vs 33 minimum). In Epicor Prophet 21 it finds 2,100 of 5,000 pieces on hand in three bins and sets the lot On Hold at all locations. It traces upstream to PO 40318, receipt 1103127 and the certificate of conformance, then downstream through Inventory Transaction History and Customer Shipment Records to four customers who received 2,900 pieces. It builds a manifest in Excel showing zero unaccounted, checks the four PRO numbers on the Buckeye Freight Lines portal (three delivered, one in transit with an intercept requested), merges an 8-page audit pack, and after the quality manager approves, sends four recall notices and logs each one in the customer activity log.
- 0:54Read the supplier recall notice
- 1:24Look up the lot and its on-hand by bin
- 1:36Put the lot on hold everywhere
- 1:54Trace upstream to the receipt and supplier
- 2:12Does the certificate confirm this is the recalled batch?
- 2:42Trace downstream through transactions
- 2:48List affected customers and shipments
- 3:12Build the recall manifest
- 3:36Has each shipment been delivered?
- 3:48Assemble the audit traceability pack
- 4:12Quality manager approves the recall notices
- 4:30Send customer recall notices
- 4:42Log each notice in the customer activity log
Systems involved
You need access to each of these before you start. In the recording the agent works in all of them from one desktop, signed in as the user.
- Epicor Prophet 21Serial/Lot Trace Inquiry, Bin/Lot Status Management, Inventory Transaction History, Customer Shipment Records and Customer Activity Log
- OutlookSupplier recall notice in, customer recall notices out
- ExcelLot traceability and recall manifest (Traceability and Recall template)
- Buckeye Freight Lines portalCarrier tracking, proof of delivery and intercept request
- PDFCertificate of conformance and the merged audit traceability pack
What you start with
- Supplier recall notice with batch number
- Lot SF-77315 records in Prophet 21
- Supplier certificate of conformance and packing slip
- Carrier PRO numbers
What you end with
- Lot On Hold at all bins
- Lot trace manifest (Excel)
- Audit traceability pack (8-page PDF)
- Customer recall notices
- Customer activity log entries
The workflow at a glance
Action Decision Human review Select a step to jump to how it's done.
- 01 Action · Outlook Read the supplier recall notice
- 02 Action · Epicor Prophet 21 Look up the lot and its on-hand by bin
- 03 Action · Epicor Prophet 21 Put the lot on hold everywhere
- 04 Action · Epicor Prophet 21 Trace upstream to the receipt and supplier
- 05 Decision · PDF Does the certificate confirm this is the recalled batch? Yes Lot confirmed; continue the downstream trace. No Stop and resolve the mismatch with the supplier before notifying customers.
- 06 Action · Epicor Prophet 21 Trace downstream through transactions
- 07 Action · Epicor Prophet 21 List affected customers and shipments
- 08 Action · Excel Build the recall manifest
- 09 Decision · Buckeye Freight Lines portal Has each shipment been delivered? Yes Download the signed POD for the audit pack. No Request an intercept and word that customer's notice as 'refuse or set aside'.
- 10 Action · PDF Assemble the audit traceability pack
- 11 · Human review · LaunchAI Portal Quality manager approves the recall notices
- 12 Action · Outlook Send customer recall notices
- 13 Action · Epicor Prophet 21 Log each notice in the customer activity log
Step-by-step: how to do it
-
Action · Outlook · 0:54 in the video
Read the supplier recall notice
Open the recall email and capture the batch number, part, your PO, the quantity shipped to you and what the supplier is asking for. These are the keys for the whole trace.
In the videoSummit Fastener Co. recall notice.
- Batch
- SF-77315
- Item
- Hex Cap Screw 1/2-13 x 2 in, Grade 8, Zinc Yellow
- PO
- 40318
- Shipped
- 5,000 pieces on 09/11/2026
- Retest
- 29 HRC, below the 33 HRC minimum in SAE J429
-
Action · Epicor Prophet 21 · 1:24 in the video
Look up the lot and its on-hand by bin
In Serial/Lot Trace Inquiry, enter the lot number. Note the item, quantity received, on hand and shipped, the supplier and the bins that still hold stock.
In the video- Lot
- SF-77315 = HCS-G8-5013-200
- Received
- 5,000
- On hand
- 2,100
- Shipped
- 2,900
- A-14-02
- Location
- 10 - Columbus DC
- Qty
- 1,100
- B-03-05
- Location
- 10 - Columbus DC
- Qty
- 400
- C-02-01
- Location
- 20 - Indianapolis Branch
- Qty
- 600
-
Action · Epicor Prophet 21 · 1:36 in the video
Put the lot on hold everywhere
In Bin/Lot Status Management, enter the lot, change Lot Status to On Hold, give a hold reason and apply it to all locations and bins. Save and confirm picking and transfers are blocked in every bin.
In the video- Lot Status
- On Hold
- Reason
- Supplier recall, Summit Fastener
- Scope
- All locations and bins (3 bins, 2,100 EA)
-
Action · Epicor Prophet 21 · 1:54 in the video
Trace upstream to the receipt and supplier
On the Receipts (Upstream) tab, follow the genealogy from supplier to purchase order, PO receipt and lot. Check the receipt detail and the documents attached to the receipt.
In the video- Supplier
- 20417 Summit Fastener Co.
- PO
- 40318, line 2
- Receipt
- 1103127 (09/14/2026, 5,000 EA into bin A-14-02)
- Attached
- CoC and packing slip PS-118842
-
Decision · PDF · 2:12 in the video
Does the certificate confirm this is the recalled batch?
Open the certificate of conformance and compare the batch, PO, part and quantity with the recall notice and the receipt. Note any data that conflicts with the recall.
- If yes Lot confirmed; continue the downstream trace.
- If no Stop and resolve the mismatch with the supplier before notifying customers.
In the video- Heat treat batch
- SF-77315
- PO
- 40318
- Qty
- 5,000 EA
- CoC hardness
- 34 HRC
- Supplier retest
- 29 HRC
- Batch, PO and quantity match the notice and receipt.
-
Action · Epicor Prophet 21 · 2:42 in the video
Trace downstream through transactions
Open Inventory Transaction History for the item and lot over the date range since receipt. List every receipt, transfer and shipment and confirm the lot balance ends at the on-hand quantity.
In the video7 transactions 09/14/2026–10/07/2026.
- +5,000 receipt
- Transfer 8842 of 1,000 Columbus to Indianapolis
- Four customer shipments
- Ending balance 2,100
-
Action · Epicor Prophet 21 · 2:48 in the video
List affected customers and shipments
In Customer Shipment Records, filter by the lot to get each customer, invoice, order, ship date, quantity, ship-from location and tracking number, plus ship-to details.
In the video4 customers, 2,900 pieces.
- Dayton Hydraulics
- Qty
- 1,200
- Invoice
- 5512604
- PRO
- 4471-20644
- Lakeshore Pump & Supply
- Qty
- 800
- Invoice
- 5512871
- Hoosier Conveyor
- Qty
- 400
- Invoice
- 5513340
- Northern Lakes Marine
- Qty
- 500
- Invoice
- 5513702
-
-
Action · Excel · 3:12 in the video
Build the recall manifest
Export the upstream, downstream and on-hand data into the traceability template. Reconcile received = on hand + shipped and show unaccounted as zero before going further.
In the videoLot_Trace_Manifest_SF-77315.xlsx
- Received
- 5,000 (100%)
- On hand quarantined
- 2,100 (42%)
- Shipped
- 2,900 (58%)
- Unaccounted
- 0
-
Decision · Buckeye Freight Lines portal · 3:36 in the video
Has each shipment been delivered?
Enter all PRO numbers on the carrier portal, download proof of delivery for delivered loads, and request an intercept for anything still in transit.
- If yes Download the signed POD for the audit pack.
- If no Request an intercept and word that customer's notice as 'refuse or set aside'.
In the video- 4471-20644 Delivered · signed POD
- 4471-20902 Delivered · signed POD
- 4471-21188 Delivered · signed POD
- 4471-21305 · Northern Lakes Marine In transit
- Location
- Toledo, OH terminal
-
Action · PDF · 3:48 in the video
Assemble the audit traceability pack
Merge an index, the certificate, the manifest and the carrier delivery summary into one time-stamped PDF with a timeline of the trace.
In the video- File
- Audit_Traceability_Pack_SF-77315.pdf
- Pages
- 8
- Time-stamped
- 10/07/2026 8:23 AM
- 8:12 Recall received
- 8:14 Lot on hold
- 8:17 Traces complete
- 8:21 Intercept requested
-
Human review · LaunchAI Portal · 4:12 in the video
Quality manager approves the recall notices
The quality manager reviews the lot summary, upstream check and each draft notice, then approves or rejects. Nothing goes to customers before approval.
In the videoReview 'Approve Recall / Non-Conformance Dispatch · lot SF-77315' lists four notices: three ask customers to stop use, report quantity left and return for credit; Northern Lakes Marine is told to refuse or set aside.
-
Action · Outlook · 4:30 in the video
Send customer recall notices
Send one high-importance notice per customer with the lot number, part, their invoice, quantity and delivery address, attaching the recall notice and the certificate. Copy the quality manager.
In the video4 notices 'Product recall notice: lot SF-77315, your invoice …', e.g.:
- Invoice
- 5512604
- Qty
- 1,200 pieces
- Shipped
- 09/17/2026 to Dayton, OH
-
Action · Epicor Prophet 21 · 4:42 in the video
Log each notice in the customer activity log
In Customer Activity Log, add an entry per customer with activity type 'Recall / non-conformance notice', the lot and invoice, so the communication is on the customer record.
In the videoActivity saved for Dayton Hydraulics: 'Recall notice sent for lot SF-77315, invoice 5512604'.
Rules, exceptions and controls
Rules to follow
- Freeze remaining stock first: lot On Hold at all locations and bins before tracing.
- Received must equal on hand plus shipped; unaccounted must be 0 before notices go out.
- Batch, PO, part and quantity on the certificate must match the recall and the receipt.
- In-transit shipments get an intercept request and a 'refuse or set aside' notice.
- Customer notices require quality manager approval.
When something doesn't match
- Shipment still in transit: carrier intercept requested (PRO 4471-21305).
- Certificate data conflicts with the supplier's retest (34 HRC on the CoC vs 29 HRC retest); noted in the trace.
- If the reviewer rejects, nothing is sent and the trace is escalated for manual follow-up.
- Stock split across sites after a transfer: hold applied to every location.
Controls and audit trail
- Quality manager approval before any customer communication.
- Time-stamped audit pack with certificate, manifest and proof of delivery.
- Each notice logged in the customer activity log.
- Hold reason and user recorded on the lot status change.
Practitioner tips
- Put the hold on before you start researching, so nothing ships while you trace.
- Use transaction history, not just shipments, so transfers between branches are not missed.
- Check carrier status before notifying, so the wording fits delivered versus in-transit loads.
- Attach the supplier certificate to each notice so customers can match the batch on their box labels.
About this recording
In the recording, the agent froze the lot, traced it up and downstream, built the manifest and audit pack, checked carrier delivery, and sent and logged four recall notices after the quality manager approved.
Documented the way you'd train a new hire — and the same way an agent learns it.
Frequently asked questions
How do I trace a lot in Epicor Prophet 21?
Use Serial/Lot Trace Inquiry with the lot number. The Receipts (Upstream) tab shows supplier, PO and receipt; transaction history and customer shipment records show where the lot went.
How do I put a lot on hold in Prophet 21?
In Bin/Lot Status Management, enter the lot, set Lot Status to On Hold with a reason and apply it to all locations and bins. Picking and transfers are then blocked.
How do I know every piece of a recalled lot is accounted for?
Reconcile quantity received against on hand plus shipped. In the recording, 5,000 received = 2,100 on hold + 2,900 shipped, leaving 0 unaccounted.
What goes in a recall traceability pack?
A cover index and timeline, the supplier certificate, the affected-customer manifest, remaining inventory, and carrier delivery status with signed proofs of delivery.
What if a recalled shipment is still in transit?
Request an intercept from the carrier and tell the customer to refuse the delivery or set it aside unopened if it arrives.
Can an AI agent do a lot trace inquiry in Epicor Prophet 21?
Yes. As shown in the video, the agent works the same Prophet 21, Excel, carrier and Outlook screens a person does, and the quality manager approves the notices before they are sent.