Transcription
FOOD TRACEABILITY GUIDANCE
FOOD TRACEABILITY GUIDANCEFOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONSSANTIAGO, 2017
The designations employed and the presentationof material in this information product do not imply theexpression of any opinion whatsoever on the part of theFood and Agriculture Organization of the United Nations (FAO)concerning the legal or development status of any country, territory,city or area or of its authorities, or concerning the delimitation of itsfrontiers or boundaries. The mention of specific companies orproducts of manufacturers, whether or not these have beenpatented, does not imply that these have been endorsed orrecommended by FAO in preference to others of a similarnature that are not mentioned.The views expressed in this information product are those of theauthor(s) and do not necessarily reflect the views or policies of FAO. FAO, 2017ISBN 978-92-5-109876-9FAO encourages the use, reproduction anddissemination of material in this information product.Except where otherwise indicated, material may be copied,downloaded and printed for private study, research andteaching purposes, or for use in non-commercial products orservices, provided that appropriate acknowledgement of FAO as thesource and copyright holder is given and that FAO’s endorsement ofusers’ views, products or services is not implied in any way.All requests to do with translation, rights of adaptation,resale or other commercial rights should be addressed towww.fao.org/contact-us/licence-request orto copyright@fao.org.FAO information products are available on thewebsite of the Organization (www.fao.org/publications)and can be obtained by request to the followingemail address publications-sales@fao.org.
CONTENTSC O N T E N T S . IIIA C K N O W L E D G E M E N T S . VIIIA B S T R A C T . IX1I N T R O D U C T I O N . 11.1GENERAL BACKGROUND . 11.2PURPOSE AND SCOPE OF THIS DOCUMENT . 21.3HOW DO I USE THE DOCUMENT?. 31.4WHO CAN USE THIS DOCUMENT? . 3FIGURE 1: TYPICAL . 3TABLE 1TYPICAL ROLES IN THE FOOD SUPPLY CHAIN. 31.5KEY TRACEABILITY AND RECALL DEFINITIONS AND ELEMENTS . 41.5.1 Traceability Definition. 41.5.2 Business Identification . 51.5.3 Trade Item Identification . 51.5.4 Batch/Lot Numbers and Serial Numbers . 51.5.5 Product Labels . 6FIGURE 1:EXAMPLES OF LABELS IDENTIFYING A TRADE ITEM. . 61.5.6 Record Keeping . 6FIGURE 2:TRACEABILITY ELEMENTS IN THE TRACEABILITY FLOW . 71.6TRACEABILITY SYSTEM REQUIREMENTS. 71.6.1 Identification of Food Business Operator . 81.6.2 Identification and Labeling . 81.6.3 Record Keeping: . 91.6.4 Chain of Custody . 101.6.5 Recall and Withdrawal . 101.7REFERENCES USED TO ELABORATE THIS GUIDANCE DOCUMENT . 141.7.1 Regulations References. 141.7.2 Traceability Standard References . 141.7.3 Best Manufacture Practices (BMP) Standards . 151.7.4 Traceability Guides and Reports . 152I M P L E M E N T A T I O N G U I D E L I N E F O R G R O W E R S . 162.1HOW TO IDENTIFY THE FARM . 162.1.1 What additional farm information is required? . 162.2CAPTURING PRODUCTION INPUTS . 162.2.1 Information that must be recorded when buying or receiving, and retained . 162.3IDENTIFICATION OF TRADE ITEMS AND GROWER INFORMATION. 172.3.1 Identification of batches/lots . 172.3.2 Minimum information that must appear on the Trade Item label . 17FIGURE 3:EXAMPLES OF A LABEL IDENTIFYING A TRADE ITEM. . 182.4TRACEABILITY INFORMATION TO BE RECORDED . 18FIGURE 4:EXAMPLE OF INFORMATION RECORDED IN A FARM BOOK. . 182.4.1 Information that must be recorded when using agricultural inputs . 192.4.2 Information that must be recorded and retained when selling . 19FIGURE 5:EXAMPLE OF A SALES RECEIPT. . 202.5DATA RETENTION. 202.6RECALL AND WITHDRAWAL . 212.7BUSINESS SCENARIO FOR GROWERS . 21F O O DT R A C E A B I L I T YG U I D A N C Eiii
2.7.13Grower delivers bulk to pack house (supermarket) . 21I M P L E M E N T A T I O N G U I D E L I N E F O R P A C K E R S / R E - P A C K E R S . 243.1IDENTIFICATION OF THE ORGANIZATION . 243.2CAPTURING PRODUCTION INPUTS . 243.2.1 Information that must be recorded when buying or receiving, and retained . 243.3IDENTIFICATION OF TRADE ITEMS AND PACKER/RE-PACKER INFORMATION . 253.3.1 Identification of production batches/lots . 253.3.2 How to Identify Non POS Trade Items . 26FIGURE 6:EXAMPLE OF A LABEL IDENTIFYING A NON POS TRADE ITEM . 263.3.3 Identification of POS Trade Items . 26FIGURE 7:EXAMPLE OF A LABEL UNIQUELY IDENTIFYING A POS TRADE ITEM. . 273.4TRACEABILITY INFORMATION TO BE RECORDED. 283.5DATA RETENTION. 293.6RECALL AND WITHDRAWAL . 293.6.1 Recalls requested by Competent Authority. 293.6.2 Voluntary Recalls . 303.7BUSINESS SCENARIOS FOR PACKERS/RE-PACKERS . 303.7.1 Scenario 1: Shed (Packinghouse) Packed Product (Fresh Produce) . 303.7.2 Scenario 2: Produce Processing/Packing at the Supermarket . 33FIGURE 8:EXAMPLE OF CONTROLLED PRODUCTS DISPLAYED IN BULK IN THE STORE. . 363.7.3 Scenario 3: Processing/Packing Plant (Supermarket) repacks poultry received from suppliers . 363.7.4 Scenario 4: Processing/Packing at the Store (Supermarket) . 394I M P L E M E N T A T I O N G U I D E L I N E F O R D I S T R I B U T O R S / T R A D E R S . 424.1IDENTIFICATION OF THE ORGANIZATION . 424.2CAPTURING INPUTS . 424.3IDENTIFICATION OF TRADE ITEMS . 424.3.1 Identification of production batches/lots by a company . 424.4IDENTIFICATION OF LOGISTIC UNITS . 434.4.1 Case and Logistic Unit Labels . 43FIGURE 9:EXAMPLES OF CASE LABELS IDENTIFYING A TRADED PRODUCT (NON POS AND POS). 43FIGURE 10:EXAMPLE OF A LABEL IDENTIFYING A LOGISTIC UNIT . 44FIGURE 11: EXAMPLE OF A GS1-128 PALLET LABEL UNIQUELY IDENTIFYING A LOGISTIC UNIT . 444.5TRACEABILITY INFORMATION TO BE RECORDED. 454.6DATA RETENTION. 474.7RECALL AND WITHDRAWAL . 474.7.1 Recalls requested by Competent Authority. 474.7.2 Voluntary Recalls . 484.8BUSINESS SCENARIOS FOR DISTRIBUTORS/TRADERS . 484.8.1 Scenario 1: Distributor receives imported product from a grower/exporter . 484.8.2 Scenario 2: Distributor receives and re-distributes produce from packers /others distributors/traders (including cooperatives, brokers, auctions) . 495M A N U F A C T U R E R / P R O C E S S O R S . 515.1IDENTIFICATION OF THE ORGANIZATION . 515.2CAPTURING PRODUCTION INPUTS .
of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of .
