Traceability Self-Assessment Tool for Producers

Traceability Self-Assessment Tool for Producers

V 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
• 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 Producers

The 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: Identifyyour top priorities……………………………………..…………………..……….…...page24

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.

Section 2 - Assess your traceability drivers

Traceability Drivers

What are the drivers for implementing and improvingyour 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 / 1 / Assessment 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.
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 regulationsand requirements. / Meeting minimum regulations and requirements. / Not meeting regulations and/or requirements.
Or
I don’t know or I am not sure.
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.
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 eithera Global Food Safety Initiative (GFSI) food safetyprogram 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.
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
I don’t know or I am not sure.
2.7 / Does your traceability system meet the expectations of yourcurrent 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
I don’t know or I am not sure.
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
I don’t know or I am not sure.
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.
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 / Not important – not on my radar
2.12 / Reduce operational costs / Very important – a must have / Somewhat important – nice to have / Not important – not on my radar
2.13 / Reduce waste / Very important – a must have / Somewhat important – nice to have / Not important – not on my radar
2.14 / Track assets / Very important – a must have / Somewhat important – nice to have / Not important – not on my radar
2.15 / Improve productivity/yields / Very important – a must have / Somewhat important – nice to have / Not important – not on my radar
2.16 / Improve supply chain management / Very important – a must have / Somewhat important – nice to have / Not important – not on my radar
2.17 / Improve logistics management / Very important – a must have / Somewhat important – nice to have / Not important – not on my radar
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

People

A 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.

Q# / Question / 3 / 2 / 1 / Assessment 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 readers)? / Yes, all workers are fully trained, including back-up or part-time workers. New workers are trained on the farm's traceability system and their role in it. / Only some workers have been trained. We train new workers when time permits. / Training is not provided.
Or
I am not sure.
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 alist 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.
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 3 - People
Add up the total number of questions you answered “1” and “2” (pages 9-10) / Total “1” =

Total “2” = /

Processes

Establishing 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.

Q# / Question / 3 / 2 / 1 / Assessment 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.
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 underfederal regulations. / 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 underfederal regulations. / 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 underfederal 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):
⃝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 three or less of the following pieces of information (check off which ones):
⃝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.
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.