traceability self-assessment tool for producersomafra.gov.on.ca/.../gf2-assurance-tr-efsap2.docx ·...

Traceability Self-Assessment Tool for ProducersV 02-2016

Welcome to the Traceability Self-Assessment Tool for Producers

The Traceability Self-Assessment Tool for Producers is an assessment of your current traceability capabilities. This tool will guide you through a series of questions about your business's current traceability drivers and abilities, as well as identify potential gaps in traceability best practices. By closing these gaps using an action plan, you will have a plan to implement an effective traceability system and be well positioned to achieve your business goals.

Section 1

What is traceability? Traceability is the ability to verify the location of identified animals, plants, food or other products and follow their associated history along the agri-food chain, forwards and backwards. This includes all stages of production, processing, distribution and sales. In other words, traceability is the process of tracking an identified product (and its attributes) as it moves between locations. Traceability is achieved through effective recordkeeping that collects, keeps and shares relevant animal, product and production information. Recordkeeping must be:

Easy to use Easy to access Purposeful – provides useful information to your business Organized

A traceability system is defined by the method used to collect, keep and share the three pillars of traceability through production records. This can be done using cost-effective paper forms or more sophisticated electronic systems using software such as Excel spreadsheets and hardware (e.g. wand readers, barcode scanners) or a combination of both. It also includes standards and procedures for capturing the required data for traceability as set out by your buyer’s requirements or through national commodity regulations.

Why do you need a traceability system?An effective traceability system provides your business the means to prove you are in compliance with requirements or regulations (where applicable) for tracking animals and products in the event of an incident. It is a risk management tool for your business that helps to identify where an animal or product is at any given moment so it can be isolated or disposed of quickly to contain disease or prevent a foodborne illness outbreak.

A traceability system is also:

A business management tool that helps you to make better decisions with accurate and timely information. A traceability system can track useful information about quality, yields and performance to help improve productivity and profitability on your farm; and

Page | 2

A production monitoring tool to track and identify opportunities to increase efficiencies, reduce waste, and reduce overall operating costs to help improve cost of production for your business.

Collecting and keeping traceability data is important for the following reasons:

Verification for program requirements (e.g. environmental, food safety, animal welfare) Forecasting for production needs and yields Productivity monitoring Find waste and inefficiencies that are costing you money Benchmarking to compare performance of either an animal, product or your own farm against others in your sector

For more information and resources on traceability, go to OMAFRA's traceability website or call 1-877-424-1300.

Who should complete this self-assessment?This self-assessment tool should be completed by Decision Makers, Owners, Managers, Supervisors and Team Leads, Workers and anyone else who is interested in learning how to enhance their traceability system and capabilities.

How to use the Traceability Self-Assessment Tool for ProducersThe tool is divided into the following sections:

Section 1: Introduction ……………….....…………………………………………………………………………page 2

Section 2: Assess your traceability drivers………………………………………………………………….page 4

Section 3: Assess your traceability system status: People, Processes, Technology.…….page 9

Section 4: Determine your readiness to implement traceability…….………….……………….page 21

Section 5: Identify your top priorities ……………………………………..…………………..……….…...page 24

Glossary of Terms………………………………………………………………………………………………………..page 36

Complete Sections 2, 3 and 4 first to assess your traceability system and capabilities. Then, complete Section 5 to identify your priorities for your business.

Page | 3

http://www.ontario.ca/traceability

Section 2 - Assess your traceability drivers

Traceability DriversWhat are the drivers for implementing and improving your traceability system? Identifying the internal and external influences to your business with regards to traceability will help you to set goals and targets that lead to success. This section will help you identify which drivers are important for your business.

Q# Question 3 2 1Assessment

Number

Regulations

2.1 National/Provincial Government regulations:

Does your sector currently have regulations in place for traceability?

For Livestock: Yes – animal identification requirements apply to cattle, bison, sheep and pigs; movement reporting requirements currently only apply to the pig sector in Canada

For Horticulture: Yes – applies to produce being shipped for export.

For Grains and Oilseeds: Yes – for my Identity Preservation program

For Livestock: Not yet, but they may be in place in the next 2-5 years (applies to movement reporting requirements for cattle, bison, sheep, goats, cervids).

For Horticulture: Upcoming regulations under the Safe Food For Canadians Act may impact fruit and vegetable sectors.

No, there are no government regulations for traceability for my sector that I am aware of. (not applicable)

Or

I don’t know or I am not sure.

Page | 4


Number

2.2 Trade/export regulations and requirements:

Do you currently meet regulations and requirements for traceability (e.g. GMO-free) in your target trade/export markets?

Exceeding regulations and requirements.

Meeting minimum regulations and requirements.

Not meeting regulations and/or requirements.

Or


Or

Not applicable.

Food Safety, Recall and Incident Management

2.3 Do you have a written recall program (e.g. procedures, contact lists, forms)?

I have detailed written recall procedures including contact lists, steps to take during the recall, the appropriate records linking animal and/or product information with premises/field ID and movement tracking, hold and/or quarantine procedures and receiving/shipping records.

I have a list of who to call for a recall. I do not have detailed written procedures for conducting a recall.

I do not have a recall plan and would not know what to do in the event of a recall.

Page | 5


Number

2.4 Do you know how effective your recall plan is in the event of an incident?

I conduct a mock recall annually (at minimum) to test my recall plan effectiveness.

I am able to account for 100% of the animals/products that have left my farm or are still on my farm within a 48 hour period.

I know I am able to account for most of the animals/products that have left my farm or are still on my farm within a 48 hour period. I have not completed a mock recall or it has been more than a year since I last conducted a mock recall.

I have never conducted a mock recall.

Or

I cannot account for all animals/products that have left my farm or are still on my farm within a 48 hour period.

Or

I don’t know.

2.5 What is your current level of compliance to either a Global Food Safety Initiative (GFSI) food safety program or other recognized on-farm food safety program?

I am certified under a GFSI food safety program (e.g. CanadaGAP, BRC, SQF), or my commodity specific, recognized on-farm food safety program.

I keep some records for my commodity specific, recognized on-farm food safety program requirements.

Or

I am currently in the process of implementing my commodity specific, recognized on-farm food safety program for my farm.

I do not participate in an on-farm food safety program.

Page | 6


Number

Market Retention and Access

2.6 Is your buyer requiring you to have a traceability system for your farm?

Yes – our buyer has contacted us and told us we need to have traceability.

Our buyer has not requested it yet, but we know it is a matter of time before they do.

No.

Or


2.7 Does your traceability system meet the expectations of your current buyers/markets (e.g. ability to verify product claims or origin, verify production methods)?

I am confident that my traceability system exceeds buyer/market expectations and requirements for traceability.

I know my traceability system is meeting the minimum expectations and requirements for traceability.

It is not meeting expectations and/or requirements for traceability.

Or


2.8 Does your traceability system meet the expectations of your desired buyers/markets (e.g. ability to verify product claims or origin, verify production methods)?

Exceeding expectations and requirements for traceability.

Meeting at least minimum expectations and requirements for traceability.

Not meeting expectations and/or requirements for traceability.

Or


2.9 Are you looking to participate in whole chain (farm-to-fork) traceability with your supply chain partners or become a partner in a value chain?

Yes, we are currently part of a supply/value chain partnership that is developing a farm-to-fork traceability system.

We are considering the benefits of becoming a partner in a supply/value chain that is developing a farm-to-fork traceability system.

I would like to learn more about whole chain (farm-to-fork) traceability.

Or

No, we are not interested.

Page | 7


Number

Operational Efficiency and Supply Chain Management

Indicate the level of importance of the following outcomes for your farm:

2.10 Improve inventory management

Very important – a must have Somewhat important – nice to have

Not important – not on my radar

2.11 Reduce labour Very important – a must have Somewhat important – nice to have


2.12 Reduce operational costs Very important – a must have Somewhat important – nice to have


2.13 Reduce waste Very important – a must have Somewhat important – nice to have


2.14 Track assets Very important – a must have Somewhat important – nice to have


2.15 Improve productivity/yields Very important – a must have Somewhat important – nice to have


2.16 Improve supply chain management

Very important – a must have Somewhat important – nice to have


2.17 Improve logistics management Very important – a must have Somewhat important – nice to have


Page | 8


Number

Traceability Assessment High Priority Summary

Questions where you responded with a “1” would be considered a high priority, as these may be areas that need the most improvement. Your “2” responses would be considered after you have resolved your “1” responses.

Section 2 – Traceability Drivers

Add up the total number of questions you answered “1”

and “2” (pages 4-8)

Total “1” =

Total “2” =

Section 3 - Assess your current traceability system status: People, Processes, Technology

PeopleA commitment to traceability by the management team is essential to support the resources and activities required to implement an effective traceability system. This section will help you evaluate how you provide workers with opportunities to understand their impact, role and responsibilities in effective on-farm traceability. Focusing on worker awareness, training and skill development will aid in emphasizing the importance of traceability systems in your operation.


Number

3.1 Is someone responsible to implement and manage a traceability system to ensure it is effective in meeting the targets and goals for the farm?

Yes, there is at least one person responsible for ensuring the traceability system is meeting expected targets and goals for the farm.

There is someone on the farm who is willing to take on implementing and managing the traceability system when their time permits.

We do not have anyone identified or dedicated to do this.

Or

I am not sure.

3.2 Do you train workers on how to collect traceability data for your farm (e.g. collecting the right information in the right way, using software, operating

Yes, all workers are fully trained, including back-up or part-time workers. New workers are trained on the farm's traceability system and

Only some workers have been trained. We train new workers when time permits.

Training is not provided.

Or

I am not sure.

Page | 9


Number

readers)? their role in it.

3.3 Do you maintain a list of your buyers/customers** with their current contact information:Name, address, phone, email, fax (if applicable)?

(**An exception may be sales through a broker, auction or sales barn where the broker/auction/sales barn information would be kept on file instead)

Yes, I have a list of all my buyers/customers with their current contact information.

I have a list of some of my buyers/customers and their contact information.

Or

I have am not sure if my buyers/customers contact information is up to date.

I don’t keep a list of my buyers/customers.

Or

I would have to search for that information from shipping documentation or get it from my bookkeeper/accountant.

3.4 Do you maintain a list of current contact information for all your suppliers:Name, address, phone, email, fax (if applicable)?

Yes, I have a list of all my suppliers with their current contact information.

I have a list of some of my suppliers and their contact information.

Or

I am not sure if my suppliers’ contact information is up to date.

I don’t keep a list of my suppliers.

Or

I would have to search for that information from receiving documentation or get it from my bookkeeper/accountant.



Section 3 - People


and “2” (pages 9-10)

Total “1” =

Total “2” =

Page | 10


Number

ProcessesEstablishing a process is important because it identifies the sequence of steps in your operation and defines the roles and responsibilities of your workers. As your business implements or enhances its traceability system, it is important to establish best practices and develop a culture of transparency and accountability.


Number

3.5 Do you have written Standard Operating Procedures (SOP’s) for the collection and recordkeeping of all three pillars of traceability (premises ID, animal/product ID, movement tracking) for all inputs and outputs in the following areas of your business:

Receiving

Storage

Production

Shipping

I have written Standard Operating Procedures (SOP’s) that include instructions on what, how and when to collect and record traceability information for all processes on my farm.

Or

I have an on-farm food safety program in place with SOP’s that include capturing traceability information using on-farm food safety records and documentation.

I have some procedures written down (e.g. how to receive animals/raw materials at the farm), but not for all production processes. I am not sure if all three pillars of traceability are being captured.

Or

I have procedures written as part of my on-farm food safety program for collecting production information and recordkeeping but they do not necessarily include all three pillars of traceability.

I do not have written procedures in place for collecting and recording traceability information.

Or

I tell my workers verbally how I want things done.

Page | 11


Number

3.6 Do you have a premises identification number that has been issued by the Provincial Premises Registry?

I have registered my farm premises in the Provincial Premises Registry.

And

I have assigned identification numbers/codes or registered sub-premises numbers (through the Provincial Premises Registry) to all farm fields, blocks and buildings.

And

I update my premises information in the Provincial Premises Registry once a year.

I have assigned identification numbers/codes to all farm fields, blocks and buildings, but I have not registered my farm premises or sub-premises in the Provincial Premises Registry.

I have no identification for the farm premises, fields, blocks or buildings.

3.7 Do you have a system to identify animals/products (e.g. labels, tags, pen/flock/herd mark numbers) that come onto, move through and leave your farm?

I can identify all inputs and food products at my farm by their lot number or with my own label and lot number that I have assigned where there was none.

For livestock and poultry, if applicable I use animal identification that is required

I write down the name of inputs and food products that have been received on the farm but I do not apply another label or lot number if the lot number is missing.

For livestock and poultry, if applicable I use animal identification that is required

I do not use my own identification system for inputs and food products that do not have a lot number.

For livestock and poultry, if applicable I use animal identification that is required under federal regulations.

Page | 12


Number

under federal regulations. under federal regulations.

3.8 What pieces of information do your suppliers provide to you when you receive goods from them?

I receive all of the following information from my supplier:

Product lot number/tag numbers

Product description Date shipped Quantity Supplier Identification (e.g.

the supplier’s premises ID) Receiver Identification (e.g.

my premises ID) Shipment ID (e.g. invoice or

bill of lading number) Transport identification (e.g.

license plate number, driver ID)

Health status, genetics, or other production-related information.

I receive four or more of the following pieces of information (check off which ones):

⃝U Product lot number/tag numbers

⃝U Product description

⃝U Date shipped

⃝U Quantity

⃝U Supplier Identification (e.g. the supplier’s premises ID)

⃝U Receiver Identification (e.g. my premises ID)

⃝U Shipment ID (e.g. invoice or bill of lading number)

⃝U Transport identification (e.g. license plate number, driver ID)

⃝U Health status, genetics, or other production-related information.

I receive three or less of the following pieces of information (check off which ones):



⃝U Date shipped

⃝U Quantity

⃝U Supplier Identification (e.g. the supplier’s premises ID)

⃝U Receiver Identification (e.g. my premises ID)

⃝U Shipment ID (e.g. invoice or bill of lading number)



Page | 13


Number

3.9 Do you keep a record of all inputs, food products, livestock and poultry received on your farm, such as a purchasing/ receiving log or other inventory record?

I maintain purchasing/receiving logs that identify the product or animal identification number (such as a tag or lot number), date received, quantity, transporter and supplier.

I record inputs received on the farm by name only onto a receiving log.

I do not keep a purchasing/ receiving log or other receiving record.

Or

I keep all receipts and/or documents in a filing cabinet or box.

3.10 If you have a problem with an input, raw material, animal or plant used in production, are you able to trace it back to the supplier and reference lot number, date purchased and quantity received?

I am able to trace all inputs, raw materials, animals or plants received on my farm back to the supplier and reference lot number, date purchased and quantity received.

I know the supplier, quantity and date purchased from the receiving document (e.g. receipt, bill of lading), but I do not keep track of lot numbers for all inputs, raw materials, animals or plants received on the farm.

I am not sure where the receiving documents are to verify supplier, date purchased, lot number or quantity for all inputs, raw materials, animals and plants received.

Or

I don’t know.

3.11 Do you keep track of the inventory of your inputs by recording what goes in/out of storage, when it went in/out of storage, how much, and lot numbers? Do you also monitor what comes out of storage to ensure the inputs that went into storage first are used first?

I track my inventory usage by recording what goes in/out of storage, when it went in/out of storage, how much, and lot number. I also track what comes out of storage to ensure materials that went into storage first are used first.

I monitor what is used first to avoid wasted or expired materials, but do not track inventory going in/out of storage.

Or

I track materials going in/out of storage, but do not monitor what is used first.

I don’t track inventory of inputs.

Page | 14


Number

3.12 Are you able to determine the history of all inputs, food products, livestock and poultry on your farm production records? I.e. product/animal identification, premises identification and movement are linked for all inputs, products and animals at each production step.

I can trace all inputs, products and animals using production records at each production step to the point of sale at my farm gate using inventory and production records**.

(**An exception may be purchases traced to a broker or from auction or sales barns)

I can trace inputs, products and animals using some production records to the point of sale at my farm gate.

I cannot use my production records to trace inputs, products and animals to point of sale at my farm gate.

3.13 For Livestock producers only:Do you track animals using their assigned identification number on production records that keep the health status, withdrawal dates, genetics or other related health and welfare information?

Yes, I track animals using their assigned identification number on production records for health status, withdrawal dates, genetics or other related health and welfare information.

I will sometimes track animals using their assigned identification number on production records, but it is not consistent.

No, I do not track animals using their assigned identification number on production records.

3.14 Do you keep records of all animals and/or products that leave your farm, including: their assigned identification

number (tag/pen/flock/herd mark number, batch or lot number);

date and quantity shipped; premises identification for

the buyer** (if applicable); and

transport identification on a shipping record?

I maintain records of what was shipped off the farm that includes the assigned identification numbers for each animal or lot of product, date and quantity shipped, premises identification for the buyer and transport identification included on the shipping record.

I sometimes keep records for animals and products shipped off the farm. The records may or may not include assigned animal or product identification numbers.

Or

I only send information at shipping that is requested by the buyer. This may be animal health records such as

I do not keep shipping records that include assigned animal or product identification numbers, date and quantity shipped, premises identification for the buyer or transport identification.

Page | 15


Number

(**An exception may be a broker)

vaccinations lists or weights of containers/bulk loads. The shipping documentation may or may not include animal or product identification numbers.

3.15 If a buyer or customer came to you with an issue with one of your products or animals, would you be able to trace the history of that product or animal back through your operation using the tag or label number?

Yes, I can confidently trace the history of all my outputs (food products, livestock, poultry) using the tag or label I applied when it was sold to the buyer and trace it back through all production records.

I may be able to trace some of the history of all my outputs (food products, livestock, poultry) using the tag or label I applied when it was sold to the buyer.

I cannot or would have great difficulty tracing the history of my outputs (food products, livestock, or poultry).

3.16 What pieces of information do you provide to your buyers when you ship animals or products (e.g. what information are you sharing)?

I share all of the following information with my buyers:

Product lot number/tag numbers

Product description Date shipped Quantity Supplier Identification (e.g.

my premises ID) Receiver Identification (e.g.

the buyer’s premises ID) Shipment ID (e.g. invoice or

bill of lading number) Transport identification (e.g.

I share four or more pieces of information from the following (check off which ones):



⃝U Date shipped

⃝U Quantity

⃝U Supplier Identification (e.g. my premises ID)

⃝U Receiver Identification (e.g. the buyer’s premises ID)

⃝U Shipment ID (e.g. invoice or

I share three or less pieces of information from the following (check off which ones):



⃝U Date shipped

⃝U Quantity

⃝U Supplier Identification (e.g. my premises ID)

⃝U Receiver Identification (e.g. the buyer’s premises ID)

⃝U Shipment ID (e.g. invoice or

Page | 16


Number

license plate number, driver ID)

Health status, genetics, or other production-related information.

bill of lading number)



bill of lading number)





Section 3 - Processes


and “2” (pages 11-17)

Total “1” =

Total “2” =

TechnologyTraceability systems that use electronic methods to capture data require trained people and processes to support the implementation and maintenance of the system. Additionally, the tools and technology you implement will help to make your workers and processes more efficient. This section will help you evaluate whether your current traceability system meets the needs and complexity of your business and will help you meet your goals and targets for your business drivers.


Number

3.17 How do you currently collect information/keep traceability information?

Fully electronic: we are using commercial software or other types of computer programs

Combination electronic and paper-based, e.g. Excel spreadsheets stored on a

Only paper: everything is hand-written onto paper records/forms and

Page | 17


Number

and automated data collection systems such as handheld scanners, tablets or smartphones. All documents from suppliers and buyers are received electronically. For any paper documentation received, data is entered into the system electronically and the document is filed.

computer or hard drive plus hand-written records, or commercial software plus hand-written records. Documentation from suppliers and/or buyers is provided on paper and filed. An organized and accessible filing system is used consistently.

documentation from suppliers and buyers is provided on paper. An organized and accessible filing system may or may not be used.

3.18 How much time is spent per day completing paperwork with the current traceability system?

Under 10% of a day. 10% – 20% 20% or more.

3.19 Do you record information multiple times on paper records and forms?

No, records are organized and formatted in a way that avoids duplication of information.

Yes, we recognize there is duplication of information that adds to the time spent on recordkeeping.

I am not sure, we may be duplicating information but this has not been checked.

3.20 Do you have a back-up system if anything were to happen to your current method of recordkeeping?

All our files and information is stored electronically with frequent back-ups and authorizations for security, such as logins and passwords.

Some of our files are stored electronically and any paper documentation is securely filed.

All documentation is filed in a cabinet which may or may not be secure.

3.21 Are you currently using any electronic data capturing equipment or devices to collect production information, such as handheld barcode scanners,

Yes We have bought one type of data collection device in the past, but it is not used regularly or at all.

No

Or

Not sure what is being used.

Page | 18


Number

RFID wands, tablets, smartphones or other mobile device?

3.22 What is your comfort level with using technology such as computers or mobile devices and with software programs?

Very comfortable, I enjoy using computers and software.

Moderately comfortable. I don’t mind using a computer or software program.

Not comfortable at all, I would rather use paper.

3.23 Does your traceability system require an upgrade and/or are you looking to move to an electronic traceability system?

Yes, I am considering upgrading my system with electronic data collection methods and software to keep and analyze the information.

Or

My current traceability system does not require an upgrade at this time.

Not sure yet. I am considering investing in new technologies but I need to do more research on my farm’s needs, targets and goals.

No, I definitely want to stay with a paper-based system.

3.24 Do you know what type of software/hardware you need to implement for an effective traceability system?

Yes Sort of, but I need more information on what/where to buy.

No

3.25 Do you currently use a software program to manage other business information (e.g. Quickbooks, herd management)?

Yes Yes, but it does not meet my needs

Or

Not sure

No

3.26 Do you have access to technical (IT) expertise to manage and

Yes, we have someone that can provide IT knowledge and

We have someone knowledgeable about our

No, we would need outside expertise to provide that

Page | 19


Number

maintain an electronic traceability system?

expertise to maintain the components of an electronic traceability system.

computer and hardware/software but his/her duties are not dedicated to the IT needs for our business

service.

Or

Not applicable as we are sticking with a paper-based system.

3.27 Do you use an electronic form of identification for products or animals, such as barcodes or RFID tags, as required by your buyer/market or animal identification program?

Yes Sometimes No

3.28 Do you use your own method for identification of products or animals?

Yes

Or

I follow federal regulations and requirements for tagging.

Sometimes No

3.29 For Horticulture: Do you use any type of labelling equipment, such as a printer for barcodes, date stamp or other type of label?

Yes We have the capability to print labels, but only in the office.

Or

Not sure what is being used.

No, we do not print labels.

Page | 20


Number

3.30 If you are sharing traceability information with other businesses or partners in your supply chain, what is the method you use to share this information?

Mostly electronic: by email, through a web-based portal or “cloud” site, or with an Electronic Data Interchange system (EDI).

Mostly paper-based: records and/or spreadsheets are sent with the shipment or given on an agreed upon schedule. Sharing is also done over the phone and/or by fax.

Not applicable, or not sure, or we do not share information other than what is required for basic business transactions.



Section 3 - Technology


and “2” (pages 17-20)

Total “1” =

Total “2” =

Section 4 - Assess your readiness to implement traceability

Readiness to implementNew investments require business owners and management to weigh financial and operational expectations against the level of investment being made. This section will help you identify those areas that are crucial to any successful investment in equipment and new processes. Time, resources and risk must be assessed to provide awareness of where there might be challenges or barriers to the implementation of your traceability system.

Question 3 2 1Assessment

Number

4.1 How much of your time are you willing to commit to the implementation of a traceability system?

I am committed to put in the time it takes to ensure the implementation of the traceability system is successful.

I have limited time to commit to this.

I don’t have any time to commit to this.

Page | 21


Number

4.2 Are you willing to make necessary changes to production processes to implement a traceability and information sharing system?

We are prepared to make necessary changes to our production processes to ensure an effective traceability system for our farm.

We are prepared to make minor modifications, so long as it does not disrupt our current production or become a significant investment in time and money.

We don't want to invest in making changes to our production processes as we do not have the resources or worker time to do so.

4.3 Are you willing to share information with suppliers/partners in your supply chain?

We are willing to agree on what information to share with our partners through our traceability system to provide economic benefits to all partners.

We would have to see what information would be shared, as we are not completely convinced it would be of benefit for the farm business.

We have no plans to share information with partners beyond normal business transactions.

4.4 What is the level of urgency to have a traceability system in place for your farm?

High – willing to invest in the implementation an effective traceability system to meet an important business driver, such as a requirement from my buyer.

Medium – want to phase in the traceability system slowly so that the investment is spread over a period of time.

Low – cannot afford to invest in a system right now.

4.5 How much have you invested ($) in your traceability system to date, for example the cost of software and/or scanners? Do not forget to include consultant costs, or the time you have already committed to development and implementation.

Over $20,000 Between $10,000 - $20,000 Less than $10,000

Page | 22


Number

4.6 How much are you comfortable or willing to invest in a traceability system in the next 5 years?

Over $20,000 Between $10,000 - $20,000 Less than $10,000

4.7 If you do not have a traceability system, what is your timeline for implementation?

Want/Need to implement a traceability system in the next 1-2 years.

Planning to implement a traceability system within 2-5 years.

No short-term plans to implement a traceability system.

4.8 If you have plans to implement a traceability system, what is your confidence level in seeing a positive return on investment with your traceability system in the next 5 years?

High – I feel confident that I would see a positive return on investment in the next 5 years.

Medium – I feel that is it is possible to achieve a positive return on investment in the next 5 years, but it may take longer.

Low – I am not confident that I would see a positive return on investment in the next 5 years.

Or

Not applicable

4.9 Do you have an annual budget that includes maintaining and upgrading/enhancing your traceability system?

Yes, we have set an annual budget that includes the maintenance of the traceability system.

No, but we will move budget items around to accommodate what's necessary to implement and manage the traceability system.

No, we do not anticipate incurring costs in our budget for our traceability system

4.10 How confident are you in making purchasing decisions for your traceability system?

High – I have enough knowledge to competently make purchasing decisions that are best value for money.OrI can seek advice from my commodity association for what is needed.

Medium – I have an idea of what we currently need and will look for the best price among suppliers.

Low – I have no idea what is needed or where to go for advice or suppliers.

Page | 23


Number

4.11 What is your expectation for the longevity of your traceability system?

I anticipate we will need to re-evaluate our traceability system within the next 2 to 5 years and upgrade as necessary to ensure we remain competitive and meet our targets and goals for the farm.

With our planned investment, I expect we will not have to upgrade or enhance the traceability system for at least 5 years.

I only want to implement a traceability system once – "set it and forget it".

4.12 Are you jointly investing in an integrated traceability and information sharing system with your supply/value chain partners?

Yes, we have an integrated system that other supply chain partners have invested in and use.

We are considering an integrated system with supply chain partners, but we have not made any joint investments to date.

No, we have no intention of investing in an integrated traceability system with our partners.



Section 4 – Readiness to implement


and “2” (pages 21-23)

Total “1” =

Total “2” =

Page | 24

Section 5 - Your top priorities

Determine the areas to focus on for improving your Traceability systemTake a look at the assessment questions in each section that you have rated as “1” or “2” for your farm. In Section 3, these are potential gaps or weaknesses in your traceability system that you will want to address to avoid financial or operational impacts. A rating of “3” in these two sections indicates a best practice for traceability. If you rated a “1” or “2” you might consider taking action to bring your traceability system and capabilities up to a rating of “3”.

In Sections 2 and 4, these are areas for consideration for your business. How you rate each question in this section represents the current status for your business with respect to regulations and requirements, your readiness to implement or to improve your traceability system. A rating of “1” or “2” is not meant to be taken as a gap and a rating of “3” is not a best practice. However you can look at a rating of “3” as a potential goal or target for implementing or improving your traceability system and capabilities.

Ultimately, you know your business best so you must decide how to resolve these gaps and prioritize what you wish to act on. Remember, not everything has to completed at once. Use the chart below to help you organize and prioritize what needs to be done for your farm.

How to complete the chartThe chart is split into Sections 2, 3 and 4 to make it easier for you to organize your “1” and “2” responses. In the “Traceability Area for Improvement” column, put in the gap or assessment question (tip: include the question number to make it easy to refer back to), for example “2.6 – Buyer is requiring my farm to have traceability system.” Focus on and prioritize the questions where you answered “1” first, as these are areas that may need the most improvement over your “2” answers. You can tackle the “2” responses after you have resolved your “1” responses.

First, decide if it is urgent to have the gap resolved, such as increasing pressure from a buyer or meeting an upcoming regulation, then check off either the “Important and Urgent” or the “Important but Not Urgent” column. If there is no urgency, then decide if it is not important and not a priority for your business at this time by checking off the “Not Important” column.

Next, decide what needs to be done on your farm to resolve the gap or set a target. Look at what was written under rank “3” for the same question that you answered “1”, and write this down as your target/goal in the “What is my target/goal?” column.

Completing the last two columns will help you get a head start with developing your action plan. The column “What do I need to do to achieve this goal?” will be the activities to resolve the gap or achieve the target for your traceability system. This may require discussion with your commodity association, sector representative, a traceability service provider or consultant as to what is required for your sector or market.

Page | 25

My Farm’s Key Contacts

Who is responsible?In your farm business, the person responsible for implementing, managing and improving your Traceability system is:

Person(s) Responsible Area(s) of Responsibility

1.

2.

3.

4.

Other contact information:

Name:____________________________________ Name:___________________________________ Name:_________________________________

Address:__________________________________ Address:_________________________________ Address:_______________________________

Telephone #:______________________________ Telephone #:_____________________________ Telephone #:___________________________

Page | 26

High Priority SummaryUse the table below to summarize your Traceability assessment for a “whole farm” perspective.

Section Part A Part B 1 Part B 2 Part CInstructions: In Part B, write down the totals from each section of the

assessment you completed. Add these two figures together and then enter them into the top box in Part A. In the bottom box, subtract the number of questions you answers “not applicable” from the total number of questions for each section. In Part C, rank sections by their percentage after completing the calculations in Part A; this will show which sections have more priority.

Total “1” responses for this section(high priority)

Total “2” responses for this section (needs improvement)

Rank the sections from 1 – 5 (1 being most important) to determine which has the greater amount of priorities

Section 2

Section 3 – People

Section 3 – Processes

Section 3 – Technology

Page | 27

Total # of “1” and “2” Priorities =Total # of Questions (17) – Total Not Applicable =




Section Part A Part B 1 Part B 2 Part C

Section 4

Priorities for Section 2 Reflect on your “1” answers in Section 2. Is there anything you would like to change? Is there a target you would like to set for improving your traceability system and capabilities?

Traceability Area for Improvement

(your “1” or “2” response, focus on the “1” responses first)

Important and

Urgent

(Yes/No)

Important but Not Urgent

(Yes/No)

Not Important

(Yes/No)

What is my target/goal?

Look at what is described in rank “3”

What do I need to do to achieve this target/goal?

Consider what you need to get to rank “3”

What resources will I need?

Page | 28




Important and

Urgent

(Yes/No)


(Yes/No)

Not Important

(Yes/No)






Page | 29



Important and

Urgent

(Yes/No)


(Yes/No)

Not Important

(Yes/No)






Page | 30

Priorities for Section 3 Reflect on your “1” answers in Section 3. How will you address these potential gaps in your traceability system?



Important and

Urgent

(Yes/No)


(Yes/No)

Not Important

(Yes/No)






Page | 31



Important and

Urgent

(Yes/No)


(Yes/No)

Not Important

(Yes/No)






Page | 32

Priorities for Section 4 Reflect on your “1” answers in Section 4. Is there anything you would like to change? Is there a target you would like to set for improving your traceability system and capabilities?



Important and

Urgent

(Yes/No)


(Yes/No)

Not Important

(Yes/No)






Page | 33



Important and

Urgent

(Yes/No)


(Yes/No)

Not Important

(Yes/No)






Page | 34

Glossary of terms

Term Definition

Advanced Shipping Notice (ASN)

A document that provides detailed information about a pending delivery. The purpose of an ASN is to notify the customer when shipping occurs and provide physical characteristics about the shipment so the customer can be prepared to accept delivery. It is usually sent in an electronic format and is a common Electronic Data Interchange (EDI) document.

Batch/Lot Quantities of a product which have been produced, processed or packaged under similar circumstances. For example: a container of chemical, a pen of animals, a case of product, a day’s production, etc.

Batch/Lot Number

The specific identifier assigned to a batch or lot in your operation. It is any combination of letters OR figures, or letters AND figures, by which a unit of market product can be traced and identified in the operation’s records. For example: the tag number, the harvest date, the “best before” date, the pack date, or the production date.

Critical Tracking Event (CTE)

A specific point along the path taken by a product, animal, ingredient or other item where it is moved between premises, is transformed, or is otherwise determined to be at a point where data capture is necessary to trace a product. Examples include receiving product or animals at a facility, mixing ingredients together, and shipping finished products and market-weight animals to the next buyer.

Electronic Data Interchange (EDI)

Electronic Data Interchange (EDI) is the computer-to-computer exchange of business documents in a standard electronic format. EDI replaces postal mail, fax and email with EDI documents flowing straight through to the appropriate application on the receiver’s computer (e.g., an Order Management System) so that processing of the document can begin immediately.

FIFO/FEFO/LILO Terms that refer to stock rotation and best practices in inventory management:FIFO – First In, First OutFEFO – First Expired, First OutLILO – Last In, Last Out

Global Food Safety Initiative (GFSI)

A business-driven initiative for the continuous improvement of food safety management systems to ensure confidence in the delivery of safe food to consumers worldwide (www.mygfsi.com). The GFSI objectives are to: (1) Reduce food safety risks by delivering equivalence and convergence between effective food safety management systems, (2) Manage cost in the global food system by eliminating redundancy and improving operational efficiency, (3) Develop competencies and capacity building in food safety to create consistent and effective global food systems, and (4) Provide a unique international stakeholder platform for collaboration, knowledge exchange and networking.

Global Positioning

A space-based satellite navigation system that provides location and time information in all weather conditions, anywhere on or near the earth where there is an unobstructed line of sight to four or more GPS satellites orbiting

Page | 35

Term Definition

System (GPS) earth.Global Standards One (GS1)

Non-profit, industry-led organization dedicated to the design and implementation of global standards for use in the supply chain. GS1 standards provide a framework that allows products, services, and information to move efficiently and securely between companies using interoperable tools such as barcodes and databars (www.gs1ca.org).

Input Includes everything received in your operation and used to produce your product. For example: raw materials, ingredients, packaging materials and other items that you need to carry out your day-to-day activities and production.

Integrated System

Refers to linking together processes, software programs or networks so that coordination of information occurs across different systems to add value as a whole, rather than in separate, discrete systems that do not connect. An integrated system provides faster and easier access to information across different applications and platforms, such as cloud-based or mobile platforms, by allowing them to be compatible with each another and exchange data in common formats. This can result in a cost effective and customized approach to information management by connecting existing programs or off-the-shelf programs. Expertise from a qualified Systems Integrator is usually required to build an integrated system when combining software and hardware from multiple vendors.

For example, an integrated Traceability system could be made up of inventory, accounting and general office process software (such as Microsoft Office). Emails are received from suppliers verifying shipment details, and that information is entered into the inventory management program, which is then exported to the accounting program for payment once the shipment has been received and verified in the inventory management program as correct.

Interoperability(Interoperable)

Ability of a computer system to run programs from different vendors, and to interact with other computers across local or wide-area networks regardless of set-up or operating systems used.

Key Data Element (KDE)

A specific piece of information that is collected, kept or shared about a product/animal that is used to support traceability. A Key Data Element should relate to one of the Three Pillars of Traceability: premises identification, product identification, and movement recording. There are nine (9) Key Data Elements that should be collected at Critical Tracking Events:

1. Product Code (i.e. Tag/Lot/Batch Number)2. Product Identifier3. Product Description4. Quantity5. Date

Page | 36

Term Definition

6. Receiver/Ship To Identifier7. Shipper/Ship From Identifier8. Shipment Identifier9. Transport Identifier

Manifest A document, paper or electronic, that is used to record the sale of movement of a product or animal to another premises/business/location. Also called a bill of lading, invoice, receipt, etc.

Mock Recall Exercise

A planned and documented exercise conducted by the producer/processor using a fake scenario to evaluate and test their ability to trace, identify and contain 100% of infected or unsafe animals, plants or products within a specified timeframe, typically in less than 48 hours. A mock recall exercise tests the effectiveness of a recall system by identifying, reconciling (i.e. determining the quantity produced, distributed and in inventory) and controlling affected products, as if a recall was actually happening.

Movement Recording

The ability to capture information detailing the transfer of products, animals and/or inputs between premises or between locations within a single facility (e.g. from farm to farm, from farm to processor).

One-Back (Trace Back)

Ability to trace back to the supplier of raw materials, inputs, animals, ingredients, packaging materials and other production/processing aids.

One-Up (Trace Forward)

Ability to trace to the next buyer of animals, products and finished goods from the farm or processing premises.

Output “Finished products” shipped from your operation. For example: bulk fresh fruit/vegetables, market-weight animals, products for further processing, processed or ready-to-eat foods, washed and packed produce, and many others.

Premises A parcel of land defined by a legal land description or, in its absence, by geo-referenced coordinates (e.g. latitude and longitude) on which agri-food activities take place.

Premises Identification

The act of assigning a unique Premises Identification Number (PID).

Premises Identification Number (PID)

A Premises Identification Number, referred to as a Premises ID or PID, is a unique number identifying a parcel of land where agri-food activities occur. Premises Identification Numbers differ from business registration numbers (e.g., Farm Business Registration (FBR), license or other business identifiers) as each PID is linked to a specific parcel of land and stays linked to that parcel of land; a PID does not belong to a business nor does it follow that business if they move to a different parcel of land.

Page | 37

Term Definition

PID numbers may be obtained through the Provincial Premises Registry (PPR) by phone at 1-855-697-7743 or online at www.ontarioppr.ca

Production activities

Includes a wide range of steps, procedures and processes that take place at your operation. During these activities, you are likely changing some characteristics of your “inputs” into a “finished product” (e.g. processing calves, washing and labeling vegetables, baking, mixing).

Product/Animal Identification

A unique number assigned to an input, ingredient, animal or finished product that allows you to separate and track products into lots, batches, or groups as they move from one location to another.

Proprietary Information

Proprietary information is not public knowledge and includes data that a business wishes to keep confidential. Examples could include contract arrangements with suppliers, patented processes or product use, or wages and salaries of employees.

Provincial Premises Registry (PPR)

The official premises registry in Ontario involved in the identification and registration of parcels of land associated with agri-food activities (“Premises”) and the assignment of Premises Identification numbers (PID). Agricultural or food business owners and operators can register their premises securely, easily and for free by phone at 1-855-697-7743 or online www.ontarioppr.ca

Radio Frequency Identification (RFID)

The wireless use of electromagnetic fields to transfer data, for the purposes of automatically identifying and tracking tags attached to objects. The tags contain electronically stored information.

Recall A recall is the systematic process of tracing and removing potentially unsafe food from the market in a timely and efficient manner.

Recall Program A documented set of instructions for what to do in the event of a product recall. The Recall Program outlines the people, procedures and records needed to effectively identify, isolate, and control 100% of recalled product within a specified timeframe. The efficiency and success of Recall Programs are tested using mock recall exercises.

Standard Operating Procedure

Specific practices that include detailed, written instructions for carrying out a task or series of steps (e.g. how to receive inputs).

Supply Chain A sequence of processes in supply, manufacture and distribution of a product. Supply chain management improves how a company finds raw materials, and processes them into a product or service to be delivered to the customer.

Page | 38

Term Definition

Three Pillars of Traceability

The foundation for effective traceability, it is made up of three key pieces of information that must be collected, kept and shared by a business in order to follow the path of a product, animal, ingredient or other item:

1. Premises identification2. Product/Animal identification3. Movement recording

Traceability The ability to follow inputs and products/animals through all stages of the agri-food chain – from production to retail – by providing an effective way to track an identified product/animal and its marketable attributes (e.g. organically produced, gluten-free, locally sourced) as it moves between locations.

Traceability System

A Traceability system consists of the methods, standards (such as format and product coding requirements) and processes used by your operation to collect, keep and share essential information that is required to track your raw materials, ingredients and products through receiving, processing, and distribution. The system may be paper-based, electronic, or a combination of both to suit operational and business needs.

Value Chain A group of businesses with common interests and goals who work together as partners to add value to a product for the consumer, and as a result, find value that provides business benefits to each partner. What distinguishes a value chain from a traditional supply chain is how business relationships are managed, how information flows and is shared along the chain, and how each member in the chain receives value from collaboration.

Whole Chain Traceability

The ability to track a product from one end of the supply chain to the other using product identification, premises identification and movement tracking. Whole Chain Traceability spans across multiple businesses and operations involved in the supply, production, processing, transportation, distribution and retail of a product and shows its entire history and path taken before it is sold to the end user (or consumer of the product).

Page | 39

traceability self-assessment tool for producersomafra.gov.on.ca/.../gf2-assurance-tr-efsap2.docx ·...

Documents