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:
Page | 2


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: 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
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 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).
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.
For Horticulture: Upcoming
regulations under the Safe
Food For Canadians Act may
impact fruit and vegetable
sectors.
For Grains and Oilseeds: Yes –
for my Identity Preservation
program
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Q#
2.2
Question
Trade/export regulations and
requirements:
3
Exceeding regulations and
requirements.
2
Meeting minimum regulations
and requirements.
Do you currently meet
regulations and requirements
for traceability (e.g. GMO-free)
in your target trade/export
markets?
1
Assessment
Number
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.
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Q#
2.4
Question
Do you know how effective
your recall plan is in the event
of an incident?
3
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.
2
1
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.
Assessment
Number
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.
I do not participate in an onfarm food safety program.
Or
I am currently in the process of
implementing my commodity
specific, recognized on-farm
food safety program for my
farm.
Page | 6
Q#
Question
3
2
1
Assessment
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
I don’t know or I am not sure.
2.7
2.8
2.9
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.
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.
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-tofork traceability system.
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.
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.
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-tofork) traceability.
Or
No, we are not interested.
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Q#
Question
3
2
1
Assessment
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
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
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Q#
Question
3
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.
2
Assessment
Number
1
Section 2 – Traceability
Drivers
Total “1” =
Add up the total number of
questions you answered “1”
and “2” (pages 4-8)
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#
3.1
Question
3
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.
2
There is someone on the farm
who is willing to take on
implementing and managing
the traceability system when
their time permits.
1
Assessment
Number
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.
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Q#
3.3
Question
3
readers)?
their role in it.
Do you maintain a list of your
buyers/customers** with their
current contact information:
Name, address, phone, email,
fax (if applicable)?
Yes, I have a list of all my
buyers/customers with their
current contact information.
Do you maintain a list of
current contact information for
all your suppliers:
Name, address, phone, email,
fax (if applicable)?
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.
(**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)
3.4
2
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.
Assessment
Number
1
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.
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
Total “1” =
Add up the total number of
questions you answered “1”
and “2” (pages 9-10)
Total “2” =
Page | 10
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#
3.5
3.6
Question
3
2
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:
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.
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
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 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 have registered my farm
premises in the Provincial
Premises Registry.
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

Receiving

Storage

Production

Shipping
Do you have a premises
identification number that has
been issued by the Provincial
Premises Registry?
1
Assessment
Number
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.
I have no identification for the
farm premises, fields, blocks or
buildings.
Page | 11
Q#
Question
3
And
2
1
Assessment
Number
Provincial Premises Registry.
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.
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.
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
under federal regulations.
For livestock and poultry, if
applicable I use animal
identification that is required
under federal 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
under federal regulations.
Page | 12
Q#
3.8
3.9
Question
What pieces of information do
your suppliers provide to you
when you receive goods from
them?
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
3
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 maintain purchasing/receiving
logs that identify the product or
animal identification number
(such as a tag or lot number),
date received, quantity,
2
1
I receive four or more of the
following pieces of information
(check off which ones):
I receive three or less of the
following pieces of information
(check off which ones):
⃝ Product lot number/tag
numbers
⃝ Product lot number/tag
numbers
⃝ Product description
⃝ Product description
⃝ Date shipped
⃝ Date shipped
⃝ Quantity
⃝ Quantity
⃝ Supplier Identification (e.g.
the supplier’s premises ID)
⃝ Supplier Identification (e.g.
the supplier’s premises ID)
⃝ Receiver Identification (e.g.
my premises ID)
⃝ Receiver Identification (e.g.
my premises ID)
⃝ Shipment ID (e.g. invoice or
bill of lading number)
⃝ Shipment ID (e.g. invoice or
bill of lading number)
⃝ Transport identification (e.g.
license plate number, driver ID)
⃝ Transport identification (e.g.
license plate number, driver ID)
⃝ Health status, genetics, or
other production-related
information.
⃝ Health status, genetics, or
other production-related
information.
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.
Assessment
Number
Page | 13
Q#
Question
record?
3
2
transporter and supplier.
1
Assessment
Number
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
3.12
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.
Are you able to determine the
history of all inputs, food
products, livestock and poultry
on your farm production
I can trace all inputs, products
and animals using production
records at each production step
to the point of sale at my farm
I can trace inputs, products and
animals using some production
records to the point of sale at
I don’t track inventory of
inputs.
Or
I track materials going in/out of
storage, but do not monitor
what is used first.
I cannot use my production
records to trace inputs,
products and animals to point
Page | 14
Q#
Question
3
records? I.e. product/animal
identification, premises
identification and movement
are linked for all inputs,
products and animals at each
production step.
gate using inventory and
production records**.
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?
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)
2
1
my farm gate.
of sale at my farm gate.
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.
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.
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.
Assessment
Number
(**An exception may be
purchases traced to a broker or
from auction or sales barns)
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
Page | 15
Q#
Question
3
2
1
Assessment
Number
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
I share all of the following
you provide to your buyers
information with my buyers:
when you ship animals or
products (e.g. what information
 Product lot number/tag
are you sharing)?
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.
license plate number, driver
ID)
 Health status, genetics, or
other production-related
I share four or more pieces of
information from the following
(check off which ones):
I share three or less pieces of
information from the following
(check off which ones):
⃝ Product lot number/tag
numbers
⃝ Product lot number/tag
numbers
⃝ Product description
⃝ Product description
⃝ Date shipped
⃝ Date shipped
⃝ Quantity
⃝ Quantity
⃝ Supplier Identification (e.g.
my premises ID)
⃝ Supplier Identification (e.g.
my premises ID)
⃝ Receiver Identification (e.g.
the buyer’s premises ID)
⃝ Receiver Identification (e.g.
the buyer’s premises ID)
⃝ Shipment ID (e.g. invoice or
bill of lading number)
⃝ Shipment ID (e.g. invoice or
bill of lading number)
⃝ Transport identification (e.g.
license plate number, driver ID)
⃝ Transport identification (e.g.
license plate number, driver ID)
Page | 16
Q#
Question
3
information.
2
⃝ Health status, genetics, or
other production-related
information.
Assessment
Number
1
⃝ Health status, genetics, or
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
Total “1” =
Add up the total number of
questions you answered “1”
and “2” (pages 11-17)
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#
3.17
Question
How do you currently collect
information/keep traceability
information?
3
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
2
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
1
Assessment
Number
Only paper: everything is handwritten onto paper
records/forms and
documentation from suppliers
and buyers is provided on
paper. An organized and
accessible filing system may or
Page | 17
Q#
Question
3
2
1
received electronically. For any
paper documentation received,
data is entered into the system
electronically and the
document is filed.
and/or buyers is provided on
paper and filed. An organized
and accessible filing system is
used consistently.
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,
RFID wands, tablets,
smartphones or other mobile
device?
Yes
We have bought one type of
data collection device in the
past, but it is not used regularly
or at all.
No
What is your comfort level with
using technology such as
Very comfortable, I enjoy using
computers and software.
Moderately comfortable. I
don’t mind using a computer or
Not comfortable at all, I would
rather use paper.
3.22
Assessment
Number
Or
Not sure what is being used.
Page | 18
Q#
Question
3
computers or mobile devices
and with software programs?
3.23
Does your traceability system
require an upgrade and/or are
you looking to move to an
electronic traceability system?
2
1
Assessment
Number
software program.
Yes, I am considering upgrading
my system with electronic data
collection methods and
software to keep and analyze
the information.
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.
Or
My current traceability system
does not require an upgrade at
this time.
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
No
Do you have access to technical
(IT) expertise to manage and
maintain an electronic
traceability system?
Yes, we have someone that can
provide IT knowledge and
expertise to maintain the
components of an electronic
traceability system.
3.26
Or
Not sure
We have someone
knowledgeable about our
computer and
hardware/software but his/her
duties are not dedicated to the
IT needs for our business
No, we would need outside
expertise to provide that
service.
Or
Not applicable as we are
Page | 19
Q#
Question
3
2
1
Assessment
Number
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
Sometimes
No
For Horticulture: Do you use
Yes
any type of labelling
equipment, such as a printer for
barcodes, date stamp or other
type of label?
We have the capability to print
labels, but only in the office.
No, we do not print labels.
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 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.
Or
I follow federal regulations and
requirements for tagging.
3.29
3.30
Mostly electronic: by email,
through a web-based portal or
“cloud” site, or with an
Electronic Data Interchange
system (EDI).
Or
Not sure what is being used.
Not applicable, or not sure, or
we do not share information
other than what is required for
basic business transactions.
Page | 20
Q#
Question
3
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.
2
Assessment
Number
1
Section 3 - Technology
Total “1” =
Add up the total number of
questions you answered “1”
and “2” (pages 17-20)
Total “2” =
Section 4 - Assess your readiness to implement traceability
Readiness to implement
New 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
1
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.
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.
Assessment
Number
Page | 21
Question
3
2
1
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
Assessment
Number
Page | 22
Question
3
2
1
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.
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.
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.
Assessment
Number
Or
Not applicable
No, but we will move budget
items around to accommodate
what's necessary to implement
and manage the traceability
system.
Medium – I have an idea of
what we currently need and
will look for the best price
among suppliers.
No, we do not anticipate
incurring costs in our budget for
our traceability system
Low – I have no idea what is
needed or where to go for
advice or suppliers.
Page | 23
Question
4.11
What is your expectation for
the longevity of your
traceability system?
4.12
Are you jointly investing in an
integrated traceability and
information sharing system
with your supply/value chain
partners?
Assessment
Number
3
2
I anticipate we will need to reevaluate 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.
Yes, we have an integrated
system that other supply chain
partners have invested in and
use.
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".
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.
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.
1
Section 4 – Readiness to
implement
Total “1” =
Add up the total number of
questions you answered “1”
and “2” (pages 21-23)
Total “2” =
Page | 24
Section 5 - Your top priorities
Determine the areas to focus on for improving your Traceability system
Take 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 chart
The 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 Summary
Use the table below to summarize your Traceability assessment for a “whole farm” perspective.
Section
Instructions:
Part A
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.
Section 2
Total # of “1” and “2” Priorities =
Total # of Questions (17) – Total Not Applicable =
Section 3 – People
Total # of “1” and “2” Priorities =
Total # of Questions (17) – Total Not Applicable =
Section 3 –
Processes
Total # of “1” and “2” Priorities =
Total # of Questions (17) – Total Not Applicable =
Section 3 –
Technology
Total # of “1” and “2” Priorities =
Total # of Questions (17) – Total Not Applicable =
Part B 1
Total “1”
responses for
this section
(high priority)
Part B 2
Total “2”
responses for
this section
(needs
improvement)
Part C
Rank the sections
from 1 – 5 (1 being
most important) to
determine which
has the greater
amount of priorities
Page | 27
Section
Section 4
Part A
Part B 1
Part B 2
Part C
Total # of “1” and “2” Priorities =
Total # of Questions (17) – Total Not Applicable =
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 Important
Not
and
but Not
Important
Urgent
Urgent
(Yes/No)
(Yes/No)
(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
Traceability Area for
Improvement
(your “1” or “2” response, focus
on the “1” responses first)
Important Important
Not
and
but Not
Important
Urgent
Urgent
(Yes/No)
(Yes/No)
(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 | 29
Traceability Area for
Improvement
(your “1” or “2” response, focus
on the “1” responses first)
Important Important
Not
and
but Not
Important
Urgent
Urgent
(Yes/No)
(Yes/No)
(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 | 30
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 Important
Not
and
but Not
Important
Urgent
Urgent
(Yes/No)
(Yes/No)
(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 | 31
Traceability Area for
Improvement
(your “1” or “2” response, focus
on the “1” responses first)
Important Important
Not
and
but Not
Important
Urgent
Urgent
(Yes/No)
(Yes/No)
(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 | 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?
Traceability Area for
Improvement
(your “1” or “2” response, focus
on the “1” responses first)
Important Important
Not
and
but Not
Important
Urgent
Urgent
(Yes/No)
(Yes/No)
(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 | 33
Traceability Area for
Improvement
(your “1” or “2” response, focus
on the “1” responses first)
Important Important
Not
and
but Not
Important
Urgent
Urgent
(Yes/No)
(Yes/No)
(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 | 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.
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
Batch/Lot
Number
Critical Tracking
Event (CTE)
Electronic Data
Interchange
(EDI)
FIFO/FEFO/LILO
Global Food
Safety Initiative
(GFSI)
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.
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) 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.
Terms that refer to stock rotation and best practices in inventory management:
FIFO – First In, First Out
FEFO – First Expired, First Out
LILO – Last In, Last Out
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.
Page | 35
Term
Definition
Global
Positioning
System (GPS)
Global
Standards One
(GS1)
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
earth.
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).
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.
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.
Input
Integrated
System
Interoperability
(Interoperable)
Key Data
Element (KDE)
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.
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.
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 Identifier
Page | 36
Term
Manifest
Mock Recall
Exercise
Definition
3. Product Description
4. Quantity
5. Date
6. Receiver/Ship To Identifier
7. Shipper/Ship From Identifier
8. Shipment Identifier
9. Transport Identifier
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.
Movement
Recording
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.
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.
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
Premises
Identification
The act of assigning a unique Premises Identification Number (PID).
Page | 37
Term
Definition
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.
PID numbers may be obtained through the Provincial Premises Registry (PPR) by phone at 1-855-697-7743 or
online at www.ontarioppr.ca
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).
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.
Production
activities
Product/Animal
Identification
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 1-855697-7743 or online www.ontarioppr.ca
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.
Radio
Frequency
Identification
(RFID)
Recall
Recall Program
A recall is the systematic process of tracing and removing potentially unsafe food from the market in a timely and
efficient manner.
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.
Page | 38
Term
Definition
Standard
Operating
Procedure
Supply Chain
Specific practices that include detailed, written instructions for carrying out a task or series of steps (e.g. how to
receive inputs).
Three Pillars of
Traceability
Traceability
Traceability
System
Value Chain
Whole Chain
Traceability
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.
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 identification
2. Product/Animal identification
3. Movement recording
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.
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.
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.
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).
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