An Introduction to Traceability for Processed Foods

Abstract

Traceability systems that are modelled after fresh produce are inadequate for processed foods. It is a common mistake since regulations and current scientific and trade literature on traceability generally do not specify sector-specific methods of implementing traceability. Most processed foods require more complex operations than fresh produce, and implementing traceability along with other quality initiatives will necessarily be more complex. Most processors recognize the increased complexity caused by the use of multiple ingredients for a single product and the manufacture of several products from different combinations of ingredients. As such, most processors believe they have adequate traceability systems in place. However, keeping track of the inputs and outputs are only parts of an effective traceability system. Processors tend to assume that internal traceability is well-known and controlled since yield, costs and certain quality parameters are well-known and controlled. However, traceability systems sometimes require unique information from processors since in-process mixing blurs the straight line that usually exists between inputs and outputs for fresh produce. Three different types of in-process blending can occur: blending that is “purposeful,” (ex. the manufacture of olive oil), blending that is “continuous,” (ex. a continuous evaporator) and blending that is “idiosyncratic” (ex. that which occurs in an aseptic surge tank). This third type of blending defies analysis for traceability. Each step in a process must be examined to determine if blending takes place, what type of blending it is, and how to accommodate the traceability system to it.

Much of this information was developed by the author at the Egyptian Traceability Centre (ETRACE), 106 Gamet El Dewal El Arabia Street, 5th Floor, Mohandessin, Giza EGYPT; www.etrace-eg.org ETRACE was supported by UNIDO.

Glossary of Terms

Breadth

The amount of information that a traceability system demands,

CIP

Cleaning in-place

Common carrier

The entity, usually a third party, responsible for delivery of finished product

Depth

How far back or forward a traceability system traces or tracks (such as one up/one down)

HACCP

Hazard analysis and critical control point

Ingredient

Any substance, including water, intentionally incorporated into the food during its manufacture, preparation, or treatment

Internal traceability

The ability to track what happens to raw materials, ingredients, primary packages, and finished products inside the processor’s operation

ISO

International Organization for Standardization

Label

A written statement appearing on each container of processed food. Typically, a label contains, at a minimum, the product name, form & style, its net contents and the identity of the manufacturer. The information contained on a label does not change on a regular basis.

Lot

A collection of materials (ingredients, raw materials, or primary packaging materials) produced in the same time period under conditions as nearly uniform as possible, designated by a common code for identification

Lot identifier

A code which uniquely identifies a lot. Terms such as batch number, batch code, and lot number may all be synonymous with lot identifier. A production code and information from the label may also be considered to be a lot identifier.

One up/one down

A description of one level of depth of a traceability system. In a one up/one down system, each participant in the food supply chain is responsible for maintaining records about the products they receive, their use (i.e. the link between inputs and outputs) and to whom they were shipped, or sold.

Precision

The degree of assurance that a traceability system can pinpoint the movements of a particular ingredient to a single lot of finished product, or conversely, can pinpoint all the lot(s) of raw materials, ingredients, or primary packaging materials that make up a finished product

Primary producer

A farmer or grower

Processor

A member of the supply chain that typically receives inputs from primary producers, suppliers of ingredients and packaging materials and/or common carriers and transforms these inputs into some other form. This other form is typically packaged in a way that would preclude the addition of more inputs or processing without opening it. A supply chain may have more than one processor.

Production code

The identification printed on each container of processed food at the time of its manufacture. The production code uniquely identifies when the product was packaged (the year, day, and time period). It also uniquely identifies, by examination of the factory’s records, which factory manufactured the product¹² and what production codes of raw agricultural commodities, ingredients, and packaging materials went into the product. The production code should be changed with sufficient frequency to enable ready identification of lots during their sale and distribution. Production codes should not extend over a period of more than one personnel shift.

Record keeping step

Also known as a critical tracking event,¹³ a point in a process where records are taken and new batch codes assigned for the purpose of traceability. Data taken could include input lot numbers, times, and other data to link the inputs to the outputs.

Ultimate processor

The last processor in a value chain to add ingredients or otherwise process a product