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OPPORTUNITIES FOR ADVERTISERS September - October 2013 Traceability in the food and feed supply chain www.gfmt.co.uk
OPPORTUNITIES FOR ADVERTISERS
September - October 2013
Traceability in the food and feed supply chain
www.gfmt.co.uk
Traceability identifies the path from where a product originated to where it has been supplied, and
consists as a series of interlinking chain of records either between process steps in an individual food (or feed) business operation and/or between different stages in a food supply chain.
There are two categories of information relating to traceability:
• External traceability, which relates to product information that a food business operator either receives from suppliers or provides to customers - the so-called one step back/one step forward approach
• Internal traceability, which relates to the processing history within an individual food business operation, i.e. the matching up of all inputs to outputsThe requirements for traceability apply
to any business that trades in food at all stages of the food chain. This includes for example primary producers, grain stores, merchants, processors, manufacturers, trans-porters, and retailers.
The food chain therefore is a series of separate operations in sequence linked by their respective inputs and outputs, where the output from one operation becomes the input for the next stage in the chain. Each operator in the food chain records information which links the operations and provides chain traceability.
Most food business operators cannot create traceability through the whole supply chain, but each has a role to play in col-lecting and storing information about the materials supplied to them, their production process and the products they supply to customers for the section of the food chain under their control. Traceability in the food
supply chain therefore relies on each food business operator establishing traceability, keeping associated records and being able to make traceability information available to whoever needs to know be this internally, customers or regulators.
The focus therefore, is on individual food
business operators establishing internal and/or external traceability for the section of the food chain or production operation under their control. For an individual food business this is typically from receipt of raw materials (the inputs) to dispatch of finished products (the outputs). By linking each
Traceabilityin the food and feed supply chain
by Chris Knight, head of agriculture, Campden BRI, United Kingdom
Table 1: Stages in conducting a traceability study
Stage 1Define the
scope of the study
The study terms of reference of the traceability system should be defined, including the product and process the study applies to and
the product identity criteria that apply where applicable.
Stage 2Define
authority and responsibility
A traceability study will require the establishment, implementation and maintenance of the traceability system, and is best carried
out by persons with appropriate authority and knowledge of the product and process.
Stage 3 Describe the product
A full description of the product(s) under study should be prepared, including defining key identity parameters which relate to
traceability.
Stage 4 Define the process
Prior to the traceability study beginning it is necessary to carefully examine the process operations under study and produce a flow diagram around which the traceability analysis can be based.
Stage 5
Conduct a traceability
analysis
Identify and list the traceability attributes; conduct a traceability analysis to determine where identity is read, recorded and applied.
Stage 6Perform test and review activities
The traceability personnel should put into place procedures that can be used to ensure compliance with the stated traceability procedures
and to determine the effectiveness in use
Stage 7
Establish documentation
and record keeping
Efficient and accurate record keeping is essential to the successful application of traceability. It is important for the food business to be able to demonstrate that the traceability system has been
implemented and maintained, and that the system documentation and records have been established and kept in a way appropriate
to the nature and size of the business. The retention time should also be defined.
From Campden BRI Guideline No 60
Grain&feed millinG technoloGy22 | September - october 2013
FEATURE
food business operation in the supply chain together through their respective inputs and outputs traceability in the supply chain can be establish.
Key attributes of traceabilityTraceability can be said to have a number
of roles or benefits for food businesses, their customers and regulatory authorities, includ-
ing for example:• To identify and record the history of a
product and locate it within the supply chain
• To assist in targeted and accurate withdrawal or recall
• To support claims about products and provide information to customers and consumers
• To assist in process control and management, e.g. stock and waste controlThere is however no single definition or
system of traceability; it depends on many factors including the nature of the product and production operation. Traceability sys-tems may also have different objectives such as assuring food safety and quality, product identity and provision of information to the next stage in the supply chain. Although regulations (e.g. EU General Food Law, Regulation 178/2002), international stand-ards (e.g. ISO 22000) and private voluntary standards (e.g. BRC Global Standard for Food Safety and the UK Feed Materials Assurance Scheme) require traceability, none is prescriptive in the way traceability is achieved. This is because many options are available. Nonetheless, traceability comprises of three basic elements:• Supplier traceability - Identify and trace
what material is received and from which business (the one step back external traceability)
• Process traceability - Identify and trace what product is made from what materials, when and how (internal traceability)
• Customer traceability - Identify and trace what product is supplied and to which businesses (one step forward external traceability)
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This is in turn linked to efficient record keeping.
The Global Food Safety initiative (GFSI) for example, which benchmarks food stand-ards against food safety crite-ria, specifies with respect to traceability that there should be both internal and external traceability and that a standard shall ensure:
• Identification of outsourced product, ingredient, or service
• Complete records of batches in process or final product and packaging throughout the production process
• Record of purchaser and delivery destination for all products suppliedISO 22000:2005 includes
a specific requirement for a traceability system. This cov-ers the establishment and application of a traceability system that enables the iden-tification of product lots and their relation to batches of raw materials, processing and delivery records. Specific refer-ence is also made to identifying incoming raw materials from the immediate supplier and the initial distribution route of the end product, and record keeping. This is equivalent to establishing external and internal traceability plus associ-ated record keeping.
In general legal requirements focus on external traceability and do not require internal traceability. In European Union food law, for example, food business operators must be able to:
• Identify from whom and to whom product has been supplied
• Have systems and procedures in place that allow this information to be made
available to competent authorities upon their requestProduct identityThe key to a successful traceability system
is also about the assigning of unique identi-fiers to specific batches of raw materials, in process materials and finished product, and maintaining the integrity of the batch together with its information. Maintaining batches can be achieved in space or time, e.g. physical separation of materials in sepa-rate units or specific production run times. What constitutes a batch and how it is iden-
tified will depend on the nature of the product and production operation. In a grain store for example, a batch may be a grain storage bin or compartment in a flat store, whereas in a proc-ess operation a batch may be a production run date or time.
Maintaining and identifying batches should also consider the type of unit operation. For example, whether batches are transferred, joined or split. Transfer is the simplest of operations, where product identification is transferred with the product through one or more steps in a process. That is where the traceability information is retained and the
identification is transferred between the process steps. Joining is where one process step combines several traceability units; each with a unique identification code and a new identification code is established for the joined materials. Splitting, on the other hand, is where a traceability unit is split and used in the production of new traceability units, each with a new identity code, for example, in different processes, products, or customer destinations.
In a grain handling operation for example, a number of individual identified deliveries may be mixed and joined in one storage bin. The storage bin is then the new identified material. As the grain in the storage bin is used it is split into separate individual units, each of which has a separate identifier based on the use. The important aspect is that there are clear records of the identity of the materials that are loaded into the bin (the inputs) and the materials that are unloaded from the bin (the outputs). In this way a traceability trail is established around the storage bin, albeit materials are joined and the mixed materials subsequently split.
The actual identifying reference used will depend on the organisation and the trace-ability system used. In its simplest form a batch may be assigned a unique sequential number, date or identification reference (e.g. storage bin number). An alternative might be to encode further details using an alpha-
Grain&feed millinG technoloGy24 | September - october 2013
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numeric substitution code. The principle of product coding is to ensure that the various sources of traceability information that are used in an operation are linked, so that the history of the product can be established.
The traceability systemHow a traceability system is to be estab-
lished, implemented and maintained by a food business depends very much on the nature of the product and the production operation. The traceability system will also need to take account of any regulatory and adopted international or private voluntary standard requirements. There are four basic components of a traceability system:
• Organise and plan traceability• Implement traceability• Ensure effective operation of traceability• Document and record traceability
When planning traceability it is helpful to conduct a traceability study. A typical study comprises seven stages (Table 1). These stages include essential planning stages (Stages 1 to 4), the implementation stage (Stage 5) and maintenance stages (Stages 6 and 7).
In addition there are also a number of procedures that support, and interrelate with, a traceability system and underpin the effective operation of traceability. Typically these form part of a quality management system and provide essential supporting
activities to ensure the traceability system is fully effective. Examples include documenta-tion and record keeping, internal audits, training, control of non-conforming product and purchasing procedures. These enable the traceability system to be focused on the mechanics of traceability. And, help the effective implementation of traceability.
The system of traceability adopted by a food or feed business operation and the level of traceability achieved will depend on the nature of the product and type of pro-duction operation. In a typical milling or feed operation, there will be a degree of joining and splitting of materials and products may be either supplied in bulk or discrete units such as large bags or small sacks.
In other types of food business, more direct traceability may be achievable and identify is transferable directly between process steps or operations. An animal, for example, can be identified individually and the feed materials consumed by the animal traced. That identity can be retained with the carcass after slaughter and cutting.
It is therefore for the business to decide on the level of traceability achieved and identity applied to product units. This, how-ever, needs to be clearly defined in the traceability system adopted.
The planning stages establish the essential characteristics of the product and process
relevant to traceability and organisational responsibility. This involves establishing the scope, responsibility for traceability, product details and the process operations. They enable the personnel involved with the traceability system to focus on the key issues and ensure the system is established, imple-mented and maintained effectively.
The traceability analysis (Stage 5) depicts how and where traceability is established and the control points in the process. The analysis is systematically applied at each process step in sequence as defined in the flow diagram (Stage 4). In practice this involves establishing three traceability criteria at each process step:• What identification details (codes or
identifiers) are read?• What information relevant to
traceability is recorded?• What identifications (codes or
identifiers) are transferred to the next step (new or retained)?The purpose is to identify the traceability
information that is read relevant to the mate-rials used and applied to the materials which are transferred to a subsequent step, together with the records taken. The latter may be a new identifier or one that is retained from the materials used. If, in the analysis, it is deter-mined traceability is compromised in any way and it is deemed necessary to establish
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traceability then the procedures need to be modified to ensure an appropriate level of traceability is established.
Performing test and review activities (Stage 6) is akin to verification of HACCP systems. The objective is to confirm that the traceability system is working effectively. The aim is to demonstrate conformance with stated procedures and that traceability is established effectively. For traceability sys-tems there are two key questions:• Does traceability work in practice?
That is, is there conformance with the traceability system as implemented and is working in practice? Typical examples are audits or other inspections of the systems, and testing the system in some way, e.g. a traceability test and mass balance check
• Is the traceability system up to date? That is, has there been any change that affects traceability, e.g. with the product or process? This will involve a periodic review of the traceability system
Grain storage traceability analysisAn example traceability analysis is given
in Table 2. This depicts a typical grain stor-age operation. The example is given for illustrative purposes only and demonstrates a generic approach to traceability in such an operation. The details such as identification read, records taken and identification applied are shown for indication only. However, the traceability analysis concept that is demon-strated can be applied to any product or production operation.
External traceability in this example is
established by the identification of the mate-rials received into the business (process step 1), which are also the grain supplied by another business (the one step back), and by the identification of the grain supplied to another business (process step 5), which is also the material received by another busi-ness (the one step forward).
Internal traceability is established by the matching of inputs (step 1 intake) to the outputs (step 5 dispatch) through the steps in the proc-ess (temporary holding, drying and storage).
In this example it is not possible to directly link the materials received to the materials supplied to the customer. This is because there has been joining or splitting of grain at various steps in the process.
Different traceability units are joined and mixed in bulk storage units at steps 2 and 3. And, there is splitting where grain is drawn from the long-term grain store to make separate deliveries to customers.
However, the records taken would clearly identify the identification references of all the components joined or split at the process steps. In this way internal traceability is established at each process step including steps where grain is bulked and split, albeit that direct traceability of individual batches received is lost.
Direct traceability might theoretically be achieved if the grain received, depending on source or the type grain, is handled and stored separately. That is where product identification is transferred with the product through one or more steps in the process, and the Identification is transferred between the process steps. However, in a typical grain storage operation this may not be a practical option due to the nature of the handling operation and bulk storage.
Traceability in this example may be sum-marised as follows:• Suppliers: Information relating to from
whom grain has been supplied is linked to intake records (one step back external traceability)
• Process: Information relating to the matching of inputs to outputs is linked to storage and drying records (internal traceability)
• Customers: Information relating to whom grain is supplied is linked to dispatch consignment records (one step forward external traceability)
Further readingTraceability in the food and feed chain:
General principles and basic system require-ments. Campden BRI Guideline No 60 www.campdenbri.co.uk/publications/pubDe-tails.php?pubsID=2489
More InforMatIon:Tel: +44 1386 84201Fax: +44 1386 842100Email: [email protected]: www.campdenbri.co.uk
Traceability analysis (each process step in the grain storage operation)
Process step Identification read Recorded information Identification applied
1 Grain intakeReceipt of grain from suppliers, including intake checks and tipping of grain at intake point
Supplier’s lot, batch or consignment reference
What was received (lot, batch or consignment reference), the quantity, who supplied it, and date received
Supplier’s lot, batch or consignment reference is retained
2 Temporary holdingTemporary storage of grain pre-drying (bin store)
Supplier’s lot, batch or consignment reference
What received grain is loaded into a temporary store is detailed on intake records
Temporary store reference
3 Grain conditioningCleaning and drying grain by heated-air (batch or continuous process)
Temporary store reference
What was dried, from what (temporary store references), how and when
Drying batch or run reference
4 Long-term storageStorage of conditioned grain in cool and dry conditions (bin or flat store)
Drying batch or run reference
What dried grain is loaded into a long term store is recorded on the drying records
Long term store reference
5 DispatchUnloading of store, and loading of transport vehicle
Long term store reference
What product was supplied (long term store reference), to whom and when
Each delivery of stored grain supplied is identified by a unique consignment reference
Table 2: Traceability in a grain storage operation - Terms of reference
Product Wheat
ProcessThe storage of harvested grainStart: Intake of grain from farms and merchants (suppliers)Finish: Dispatch of grain to customers
Traceability criteriaGrain is handled in bulk. Grain is identified by the bulk consignment reference (external traceability) or storage unit identity reference (internal traceability)
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