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:
Section 2 - Assess your traceability drivers Traceability Drivers What 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 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 regulations and 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.
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 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 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 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 traceability. Or No, we are not interested.
and animals at each production step. (**An exception may be purchases traced to a broker or from auction or sales barns) 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? (**An exception may be a broker) 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 vaccinations lists or weights of containers/bulk loads. The shipping documentation may or may not include animal or product identification numbers. 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.
other production-related information. other production-related information. 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 - Processes Add up the total number of questions you answered “1” and “2” (pages 11-17) Total “1” = Total “2” = Technology Traceability 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. Q# Question 3 2 1 Assessment 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 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, Combination electronic and paper-based, e.g. Excel spreadsheets stored on a 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 Only paper: everything is onto paper records/forms and documentation from suppliers and buyers is provided on paper. An organized and accessible filing system may or may not be used.
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 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. Or I 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.
1. 2. 3. 4. Other contact information: Name:____________________________________ Name:___________________________________ Name:_________________________________ Address:__________________________________ Address:_________________________________ Address:_______________________________ Telephone #:______________________________ Telephone #:_____________________________ Telephone #:___________________________ High Priority Summary Use the table below to summarize your Traceability assessment for a “whole farm” perspective. Section Part A Part B 1 Part B 2 Part C Instructions: In Part B, write down the totals from each section of the Total “1” Total “2” Rank the sections
Priorities for Section 3 Reflect on your “1” answers in Section 3. How will you address these potential gaps in your traceability system? 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?