Bill of Lading (BOL) – Legal Shipment Document

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

Updated October 2025 • Outbound Logistics, Legal & Compliance • WMS/MES, QA Release • Food, Pharma, Cosmetics, Medical Devices

A Bill of Lading (BOL) is the legally binding shipment document that acts as receipt for goods, contract of carriage with the carrier, and—when negotiable—document of title. Operationally, its accuracy depends on identity‑verified data flowing from case labels and pallet IDs such as GS1‑128 and SSCC and aligns with external messages like the ASN and EPCIS events. A robust BOL process pulls item identity (e.g., GTIN, Lot/Batch AI 10, expiry), quantities, weights, and special conditions directly from scan‑verified records in the WMS/MES. Because the BOL is a regulated e‑record in many industries, its creation and approval should meet 21 CFR Part 11/Annex 11 expectations, including CSV, audit trails, and effective Document Control and Record Retention.

“A BOL is a legal promise based on operational truth—if the scans aren’t right, the promise isn’t either.”

1) What the BOL Covers—and What It Does Not

Covers: shipment identity (shipper, consignee, carrier, trailer/seal), pallet/case identifiers (SSCC, case AIs), item details (GTIN, description, pack size), quantities, weights/volume, hazards or temperature instructions, and signatures. It is the contract used by carriers to move cargo and by finance to support invoicing and claims.

Does not cover: redefining QA disposition, changing label claims, or substituting for the shipping manifest or ASN. A BOL is not a COA and does not prove product quality; it records the transfer of custody for goods already released by QA under QC release evidence/Hold/Release rules.

2) Legal, System, and Data Integrity Anchors

The BOL should be generated and approved within a validated system following CSV with unique users and role‑based access. Electronic signatures must meet Part 11 expectations; all edits must be captured in immutable audit trails. Devices that feed quantity/weight or label content require IQ/OQ/PQ and active calibration status. Templates and field definitions live under Document Control, and the e‑record, attachments, and PDFs are stored per Record Retention.

Where good distribution is regulated (e.g., cold chain or healthcare), align BOL practices with GDP and internal QMS rules, linking the BOL to temperature handling instructions and monitoring evidence (Temperature Mapping, Stability Studies where applicable).

3) The Evidence Pack Behind a Compliant BOL

A defensible BOL is backed by: scan logs for every case and pallet (GS1‑128, SSCC), label verification grades and barcode validation, QA Release decisions with linked QC evidence, load sequence at dock loading & handover, and the published ASN/EPCIS IDs. Exceptions (overage, shortage, damage) connect to RCA, Deviation, and CAPA, preserving end‑to‑end lot genealogy.

4) From Pick to BOL—A Standard Path

1) Allocation & Picking. The WMS performs Directed Picking with Dynamic Lot Allocation, following FEFO/FIFO and honoring expiry dating and allergen segregation.

2) Label & Verify. Cases are printed/verified to the correct AIs, including (01) GTIN, (10) Lot, (17) Expiry, and (37) Count; pallets are created with SSCC.

3) Stage & Load. Pallets are scanned to outbound staging and to the trailer at dock loading & handover; hard gating blocks unreleased lots and label mismatches.

4) BOL & ASN. The system assembles the BOL header/body from the scan‑verified contents, captures signatures, and publishes the synchronized ASN and EPCIS events.

5) BOL Data Model—Keys, Hierarchies, and Reconciliation

Use shipment header fields (shipper/consignee, carrier, SCAC if used, trailer/seal, route), and derive the line details from pallet/case hierarchy. The parent key is the pallet SSCC; child cases carry parsed AIs for (01) GTIN, (10) Lot, (17) Expiry, (37) Count, and (310n) Weight where applicable. Normalize units via UOM conversion, ensure descriptions match master data, and reconcile totals to the shipping manifest and ASN before approval. Avoid manual edits; where exceptions require corrections, preserve both the original and amended values in the audit trail.

6) Quantities, Weights & Measures—What Gets on the BOL

Counts and weights must be defendable. Use calibrated devices (Calibration Status) and appropriate methods such as Gravimetric Weighing or Catch Weighing. Apply correct tare and pack dimensions. For catch‑weight items, the line may carry AI 310n weight and total shipment weight must reconcile with the sum of pallet weights. Where legal metrology is in play (e.g., retail), tie tolerances and claims to TNE strategy and the released label content to avoid misrepresentation downstream.

7) BOL, Manifest, ASN & EPCIS—One Truth in Four Forms

Think of the outbound “truth” as one dataset rendered four ways: (1) the shipping manifest is the human‑readable contents list; (2) the BOL is the legal contract/receipt; (3) the ASN is the retailer/receiver notice; and (4) the EPCIS stream is the machine‑readable event trail. All should draw from the same SSCC/case scan graph to prevent drift. Governance belongs under ISA‑95 style integration between MES, WMS, and partner systems, with data integrity controls enforced at each handoff.

8) Hard Gating & Approval—Blocking Bad BOLs

Implement hard gating so a BOL cannot be issued if: any pallet lacks an SSCC, any case fails label verification, lots are not QA‑released (Hold/Release), or the ASN check fails. Enforce User Access Management so only authorized roles can finalize. Capture driver and shipper e‑signatures and create a read‑only PDF artifact with an immutable hash recorded in the audit trail.

9) Types of BOL—Straight, Order, and Electronic

A straight BOL consigns goods to a named party (non‑negotiable). An order BOL can be negotiable and may require endorsement; it functions as a document of title. Modern operations increasingly use electronic BOLs (eBOLs) executed within validated, paperless workflows. Regardless of type, the dataset should still be built from the same scan graph and governed by Document Control rules.

10) Claims, Exceptions & Returns—Closing the Loop

Overage/shortage/damage disputes (OS&D) hinge on the BOL. When receivers raise exceptions, the fastest path to resolution is reconciling BOL lines to the shipping manifest, ASN, and the underlying SSCC/case scans. Use structured RCA and, where systemic, create CAPA. For returns, pair the customer’s claim to the outbound BOL and initiate controlled RMA with proper item identity and condition checks on receipt, preserving end‑to‑end genealogy.

11) Temperature‑Controlled & Special Handling

Cold chain BOLs should carry handling instructions that match validated storage/transport ranges. Back these with temperature mapping studies and, if relevant, route‑based risks managed under Risk Management (QRM). When allergens are involved, reflect segregation instructions consistent with Allergen Control and the pack label. For regulated goods, align with GDP and internal QMS rules.

12) Site Readiness—People, Devices, Layout

The best BOLs begin with disciplined execution. Keep devices in status (Calibration Status), qualify label and scan flows (IQ/OQ/PQ), and maintain trained personnel through a living Training Matrix. Layout matters: enforce location topology, clear staging/hand‑over zones, and scanning choke‑points that prevent identity loss at the dock.

13) Identity Integrity—From Label to BOL Line

To protect identity, require that BOL lines are derived only from scan‑verified objects. Case labels must pass verification and validation; palletization must maintain the case‑to‑pallet graph; and the final load scan must bind SSCCs to the trailer/seal. Item data on the BOL (descriptions, UOM, pack sizes) should be read directly from master data to avoid transcription errors, with conversions enforced by UOM Consistency rules.

14) KPIs That Demonstrate BOL Control

• BOL–ASN Match Rate (lines/quantities/weights identical across documents).
• BOL Accuracy vs. physical load after driver sign‑off (post‑audit exceptions).
• SSCC Scan Compliance at the dock (% pallets scanned at load).
• Time to Publish ASN after BOL close (minutes).
• Claims Rate & Cycle Time (OS&D tied to identity/label issues).
• OTIF performance and paperwork errors by carrier/route (OTIF).

Trend these KPIs and link recurring gaps to RCA/CAPA. As accuracy rises, claims and deductions fall, improving cashflow and customer trust.

15) Common Pitfalls & How to Avoid Them

• Typing BOL lines by hand. Always generate from scans and master data; never free‑type quantities or descriptions.
• Issuing a BOL on QA Hold stock. Gate issuance with Hold/Release checks.
• Label data drift. Govern AIs under Labeling Control and check with verification.
• Identity loss at palletization. Enforce SSCC creation and case‑to‑pallet scans; block load if the graph is incomplete.
• UOM mistakes. Normalize with UOM rules and test in OQ/PQ.
• Shadow spreadsheets. Keep the BOL as system of record with a tamper‑evident audit trail and formal Document Control.
• Cold‑chain notes missing. Tie BOL handling instructions to validated temperature limits.

16) What Belongs in the BOL Record

Include shipment header (shipper, consignee, carrier, trailer/seal, route), dates/times, pallet SSCC and any case‑level identifiers, item lines with parsed AIs (GTIN, Lot, Expiry, Count/Weight), totals (counts, weight, cube), special handling (e.g., allergens), signatures/e‑signatures, and cross‑references to the manifest, ASN, and EPCIS IDs. Store the PDF alongside the data record, under retention rules.

17) How This Fits with V5 by SG Systems Global

Single Source of Truth. In V5 MES/WMS, the BOL is compiled from the same scan‑verified case/pallet graph that drives the manifest and the ASN. No re‑typing, no drift.

Interlocks & Approvals. V5 applies hard gating: unreleased lots, failed label checks, or missing scans block BOL issuance until resolved and e‑signed. All changes are captured in the audit trail; templates and mappings sit under Document Control.

Publishing & Analytics. On final sign‑off, V5 renders the BOL PDF, publishes the ASN/EPCIS, and tracks KPIs like OTIF and ASN match. Dashboards surface root causes for claims (scan gaps, label drift) to drive CAPA.

Bottom line: V5 turns the BOL into a faithful rendering of your physical load—legally sound, audit‑ready, and synchronized with every other outbound document.

18) Example—Cold‑Chain, Mixed‑Lot Shipment

A refrigerated site builds a mixed‑lot order for a retailer. WMS performs directed picking by FEFO, ensuring oldest expiry first; cases print verified GS1‑128 labels with (01) GTIN, (10) Lot, (17) Expiry. Pallets are built and labeled with SSCC; the dock loader scans each SSCC to the trailer. QA release is checked automatically (Hold/Release), and special handling on the BOL points to validated ranges from temperature mapping. The system generates the BOL and manifest, publishes the ASN, logs the driver’s e‑signature, and archives the packet under retention. If the receiver later claims shortage on one SKU, the site reconciles the claim by replaying SSCC/case scans and the synchronized BOL/ASN lines—closing the loop quickly and accurately.

Related Reading
• Identity & Labels: GS1‑128 Case Label | GS1 AIs | GTIN | Lot/Batch (AI 10) | SSCC | Label Verification | Barcode Validation
• Execution & Warehouse: Shipping Manifest | Dock Loading & Handover | WMS | MES | Locations | Directed Picking | Dynamic Lot Allocation
• Quality & Compliance: Hard Gating | Hold/Release | QC Release Evidence | GDP | Data Integrity | Audit Trail | Record Retention
• Standards & Integration: ASN | EPCIS | EDI | ISA‑95
• Performance & Improvement: OTIF | KPIs | VSM | RCA | CAPA