Advance Shipping Notice (ASN) – Pre‑Receipt Data that Accelerates Receiving, Traceability, and Compliance

This topic is part of the SG Systems Global regulatory & operations glossary.

Updated October 2025 • Inbound Logistics & Traceability • WMS, QA, Procurement

An Advance Shipping Notice (ASN) is an electronic pre‑advice sent by a shipper to the receiver that describes what is coming, how it is packaged, and when it will arrive. In practice, the ASN is the digital twin of the truck: purchase order lines, quantities, GTIN/part, lot/batch and expiry, serialized units (where applicable), case/pallet hierarchy, and the license‑plate IDs (typically SSCC) that will be scanned on the dock. Most organizations transmit ASNs via EDI (e.g., X12 856 or EDIFACT DESADV), but the value is independent of format: the ASN primes the WMS so receiving is faster, errors are fewer, and traceability starts before the doors swing open.

“If the truck arrives and your WMS already knows every pallet, case, lot, and expiry, receiving turns from detective work into scan‑and‑confirm.”

1) What an ASN Is—and Is Not

An ASN is a shipment‑level notice, not a purchase order (PO) and not a simple packing list. While the PO states intent (what was ordered), the ASN states execution (what was loaded). It can cover full, partial, or combined orders and usually contains a load identifier, carrier and appointment window, and the packaging hierarchy that will be scanned on receipt. For regulated goods, it should include batch/lot, expiry, and any required certificate references (e.g., CoA number).

By contrast, a shipping label is the physical manifestation (e.g., SSCC on a pallet). A good ASN mirrors the labels—same SSCCs, same case counts—so that receiving becomes a confirmation scan rather than a data‑entry chore. If labels and ASN do not match, the value collapses into exceptions and manual reconciliation.

2) Where ASN Fits in the Inbound Flow

ASNs sit between dispatch and Goods Receipt. Once a supplier confirms a load, they transmit the ASN so the WMS can pre‑create expected pallets/cases and reserve dock slots. On arrival, the dock team scans door/seal, then the first SSCC; the WMS pulls up the matching ASN container and drives scan‑to‑verify down the packaging tree. Verified items route to the next step—direct putaway, Quarantine, or Incoming Inspection—based on rules tied to item, supplier, and lot attributes. Clean ASNs cut touches, shorten Dock‑to‑Stock times, and reduce congestion at receiving doors.

3) Standards, Records & Compliance Anchors

Most organizations exchange ASNs via EDI. In GS1 ecosystems, SSCC is the canonical license plate on pallets and shipping totes, and GTIN is the global product identifier for consumer and healthcare items. For regulated supply chains, ASNs support GDP and GxP expectations by preserving chain‑of‑identity, enabling FEFO allocation, and feeding immutable audit trails. In food and beverage, ASNs contribute to FSMA 204 Key Data Elements (KDE) and, with EPCIS events, underpin rapid traceback. Governing documents (label specs, ASN guides) should live under Document Control to keep trading partners and internal teams synchronized.

4) Core Data Elements in a High‑Quality ASN

A practical ASN contains enough information for the WMS to validate and route every unit:

• Shipment Header: Supplier ID, ship‑from, ship‑to, carrier, trailer/seal, appointment window.
• Order References: PO(s), release, and line numbers to reconcile commercial terms at receipt.
• Items: SKU and/or GTIN, description, UoM, expected qty.
• Quality/Traceability: lot/batch, date of manufacture, expiry/best‑before (for FEFO), serialization where required (Serialization), and links to CoA records.
• Packaging Hierarchy: unit → inner → case → pallet, with counts and dimensions.
• Logistics Units: pallet/tote license plates (e.g., SSCC) that will be scanned at the dock.
• Handling/Condition Flags: temperature class (ambient/chill/frozen), hazard/allergen flags (to drive zone routing), special handling.
• Trade/Regulatory Attributes (where applicable): Country of Origin (COO) for customs or labeling needs.

Every data element should be consistent with what is printed on the shipping labels so that Label Verification passes without operator improvisation.

5) Packaging Trees & Scan Strategy

The packaging tree is the ASN secret sauce. It lets receivers scan one SSCC and expand the entire pallet contents on the handheld—cases, items, lots, and expiries. For dense or serialized items, plan a scan strategy: pallet SSCC for confirmation, case SSCCs if mixed lots are possible, unit serial scans where mandated by regulation or customer requirements. The WMS should let you set “negative validation” rules (e.g., if a scanned case is not in the ASN, block and require supervisor intervention) to prevent silent leaks into inventory.

6) Receiving Against an ASN—From Door to Putaway

At arrival, the dock team confirms door/seal, selects the appointment, and scans the first SSCC. The WMS loads the corresponding ASN pallet. Operators verify pallet condition, then proceed down the packaging tree, capturing exceptions (short/over, damage) in real time. Once verified, the system assigns a directed putaway task based on item, lot, and zone rules—ambient to ambient, allergens to segregated aisles, QA‑pending lots into Quarantine, and inspection‑required materials to Incoming Inspection. The goal: transform a truck into precise inventory with minimal touches and predictable Dock‑to‑Stock times.

7) Exceptions: Shortages, Overages, Damages

Even excellent suppliers have variances. Handle them in the moment:

• Short/Over: Record variances against the ASN line; the WMS posts discrepancy alerts to procurement and may short‑close the PO or create backorders.
• Damage: Capture photos, mark the pallet or case as damaged, and route to an isolated review zone. If product integrity is in doubt, apply Quality Hold and open an NCR/NCMR for MRB decision.
• Label/ID Mismatch: If scans do not match the ASN, block receipt and trigger label verification or re‑labeling under controlled rework.
• Temperature Excursion: If condition sensors flag an excursion, route to hold per GDP and document under audit trail.

Exception discipline keeps the ASN truth aligned with physical reality and prevents contaminated data from poisoning inventory accuracy downstream.

8) Quality, Quarantine & Release

ASNs are not just logistics—they are quality controls. Use supplier, item, and lot attributes to decide whether lots go into immediate stock, Incoming Inspection, or Quarantine. Tie ASN lots to pending CoA records so Release cannot occur until documentation is verified. When lot‑level issues arise, the ASN is the first breadcrumb in lot genealogy, accelerating containment and targeted recalls.

9) FEFO, FIFO & Putaway Logic

Because the ASN includes expiry, the WMS can enforce FEFO from the moment inventory lands. That matters twice: first at putaway (place near‑expiry in forward pick faces designed to burn down quickly) and later at picking (suggest the oldest compliant lots). Where expiry is not relevant, default to FIFO, but keep the same discipline: ASN dates → WMS allocation rules → fewer write‑offs and customer complaints.

10) ASN ↔ WMS Integration: From Locations to Tasks

ASNs turn into receiving and putaway tasks the instant the truck checks in. Location logic leverages your bin/zone topology: allergens to segregated aisles, inspection lanes to QA benches, chilled goods to cold rooms. Verified quantities feed Dynamic Lot Allocation and drive Directed Picking downstream. Done well, the ASN becomes the root of truth for inventory identity and location from the first scan forward.

11) ASN ↔ MES: Raw Materials to Production

For manufacturers, ASN lots feed planning and execution. Verified receipts update MRP, unblock jobs in the MES, and become selectable inputs in the eBMR. Identity checks and scan‑to‑issue rules ensure that only released lots move into the MMR/MBR flow, closing the loop from supplier to finished product genealogy.

12) EPCIS, Serialization & Regulatory Traceability

When products are serialized, the ASN carries aggregated serials (unit→case→pallet). Publishing EPCIS events alongside the ASN ensures partners can reconcile commissioning, packing, shipping, and receiving. For healthcare, cosmetics, and high‑risk foods, this pairing underpins market compliance and makes saleable‑return decisions and targeted recalls dramatically faster. The practical rule: if it’s on the label, it’s in the ASN; if it’s in the ASN, it shows up in EPCIS, too.

13) FSMA 204 & Food Defense

In FDA regulated foods, ASNs can deliver much of the KDE required for rapid trace: lot/batch, quantity, unit of measure, ship/receive times, and location identifiers. Combined with site security practices per the Food Defense (IA Rule), ASNs reduce the chaos of emergency tracing—no spreadsheet hunts, just queries on the shipment and its children (cases, pallets) and their genealogy.

14) KPIs & What “Good” Looks Like

• ASN Accuracy: ≥99.5% line‑level match to physical; ≥99.9% for SSCC presence/format.
• Dock‑to‑Stock Time: minutes from door arrival to putaway confirmation—cut in half when scanning against ASN.
• Receiving Throughput: pallets/hour/operator—improves with pallet‑level validation.
• Variance Rate: shortages/overages per 1,000 lines—trend by supplier to drive corrective action.
• Label Readability: % SSCC/case labels passing verification.
• Inventory Accuracy: tie ASN starts to inventory accuracy and OTIF improvement.

Review KPIs monthly with suppliers. Reward those who keep ASN accuracy high; for laggards, use structured remediation, up to requiring pre‑approved labels or additional inspection steps.

15) Common Pitfalls & Antidotes

• ASN sent after arrival. Antidote: SLA contracts and EDI rejects; no ASN, no fast lane.
• Labels not aligned to ASN. Antidote: supplier testing, sample label approval under Document Control, and gate checks at receiving.
• Mixed‑lot cases without declaration. Antidote: block at scan; require lot‑pure cases or case‑level SSCCs.
• Missing lot/expiry. Antidote: hard validation; route to Quarantine until corrected.
• Too many manual key‑ins. Antidote: scan‑only policy for SSCC/GTIN; handhelds should not accept free text for identifiers.
• Stale partner guide. Antidote: versioned ASN/label guides; changes routed through Change Control.
• ASN used as a “suggestion.” Antidote: treat mismatches as NCRs and trend supplier performance.

16) How This Fits with V5 by SG Systems Global

V5 Solution Overview. The V5 platform is built for identity‑first logistics. ASN ingestion, label validation, and traceability are native capabilities backed by attributable scans and immutable audit trails.

V5 WMS. In the V5 WMS, ASNs (EDI or API) pre‑create expected pallets and cases, drive door scheduling, and turn into guided scan tasks on arrival. The system validates SSCC, applies item/lot rules for Quarantine or Incoming Inspection, and executes directed putaway based on your bin/zone topology. Verified receipts automatically feed Dynamic Lot Allocation and Directed Picking downstream.

V5 QMS. The V5 QMS orchestrates supplier deviations, NCRs/NCMRs, and MRB decisions when ASN mismatches occur, with records tied to the exact lots and SSCCs.

V5 MES. Verified ASN lots—status and genealogy intact—are visible to the V5 MES for right‑first‑time issues to the eBMR. That continuity of identity is what keeps production audits boring.

Bottom line: V5 turns ASNs into a living control—every scan at the dock strengthens traceability and speeds flow without sacrificing compliance.

17) Implementation Playbook

• Write the guide: Publish a supplier ASN/label guide (GTIN format, SSCC placement, lot/expiry rules) under Document Control.
• Certify suppliers: Pilot with top vendors; require sample labels and test ASNs against a staging WMS with handheld scans.
• Gate at the door: No ASN, no fast lane—scan‑and‑confirm only. Route “no‑ASN” trucks to manual lanes with reduced SLA priority.
• Enforce scan‑only: Disable key‑in for SSCC/GTIN identifiers; handhelds should validate content and format.
• Wire quality rules: Map lots to Quarantine/Incoming Inspection automatically; attach CoA references.
• Measure and coach: Track ASN accuracy, label readability, and Dock‑to‑Stock; review trends monthly with suppliers.
• Close the loop: Publish EPCIS events so partners see the same identity tree from ship to receive.
• Audit readiness: Keep attributable scans and audit trails so every receiving decision is reconstructable years later.

18) FAQ

Q1. Do I need ASNs for every supplier?
Start with the 20% of suppliers that drive 80% of inbound volume or risk. Over time, expand until the “manual lane” is the exception. Critical and regulated materials should always arrive with an ASN.

Q2. What if a supplier cannot send EDI?
Use a lightweight portal or structured CSV/API as an interim step. The key is data quality—GTIN, lot/expiry, and SSCC—more than the transport. You can still validate scans against a non‑EDI ASN.

Q3. How do ASNs interact with FEFO?
The ASN carries expiry dates, enabling the WMS to enforce FEFO at putaway and pick. Without expiries in the ASN, FEFO turns into guesswork and manual checks.

Q4. What should we do when labels don’t match the ASN?
Block receipt of the affected units, quarantine if needed, and raise a supplier issue (NCR/NCMR). Require corrected labels or updated ASN before release.

Q5. Does the ASN replace Goods Receipt?
No. The ASN is a pre‑advice; Goods Receipt is the legal and system recognition that inventory has arrived and been verified. ASN makes receipt faster and more accurate—never optional paperwork.

Q6. Where do EPCIS and serialization fit?
For serialized products, include unit/case serials in the ASN aggregation and publish EPCIS events. This ensures partners can reconcile pack/ship/receive and perform targeted recalls quickly.

Related Reading
• Inbound & Receiving: Goods Receipt | Dock‑to‑Stock | WMS | Warehouse Locations
• Identity & Trace: GS1 GTIN | SSCC | Serialization | EPCIS | Lot Traceability
• Quality & Compliance: Incoming Inspection | Quarantine | Hold/Release | CoA | GDP | FSMA 204 KDE
• Operations Flow: Label Verification | Directed Picking | Dynamic Lot Allocation | Pack & Ship | Dock Loading | OTIF