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Traceability decision tree graphic

Traceability Decision Tree (Full Portfolio)


Traceability Overview

Traceability is a system in which fruits and vegetables can be traced from the field to the buyer by lot through unique codes. A code could be a number, number-letter combination, or some other designation that is unique to the lot. Each farm should have a traceability system in place that allows the grower to track the produce from the field (one step back) to the buyer (one step forward). Traceability is made easier by establishing lots so each distinct lot can be traced separately.

Who Needs a Traceability System?

Everyone. Being able to identify and recall a defined segment (or lot) of contaminated product not only protects consumer health, but also helps reduce your losses by not having to recall the entire lot. In case of a foodborne illness outbreak or customer complaint, you will be able to identify what products you have in the marketplace, determine when they were sold, and recall them if necessary. A working traceability system is an asset to your farm because it can be used to settle customer complaints and questions about the product that was sold. If you direct market at farmers markets or other places where the buyers are anonymous, develop a system to track what you took to market (where it came from and when it was harvested) and document what was sold (crop, volume, date and location). If you have an on-farm market, keep track of what you put out for sale and how much is sold each day. Another benefit of a traceability system is that it helps you keep track of when your produce was harvested so you can keep your inventory moving and reduce loss.

What is a Lot?

A lot is a distinct and limited portion of a crop. A lot could be defined as all of the same crop harvested from the same field on the same day. Some farms may find this definition results in lots that are too big, so they may choose to divide the harvest further, thereby making several different lots. Each lot must be assigned a unique lot number. The lot number should be on each container in the lot and recorded on the invoice. The benefit of having the lot number on the container is that in the case of co-mingling with other lots, each container is identifiable.

Lot Number Specifics

A lot number is a unique code that identifies a designated lot. The number (which can also include letters) should incorporate the date. Many growers find using the Julian calendar date useful when developing lot numbers. From the lot number, you should be able to identify the following information about the lot:

  • Commodity/Produce item
  • Farm location where produce was grown
  • Field where produce was harvested
  • Harvest date
  • Harvest crew
  • Packinghouse used (if any)
  • Packing date (if different than harvest date)
  • Packing crew (if different than harvest crew)

Growers can use existing farm and planting maps to establish field numbers to reference in harvest logs that track harvest and packing dates. If the farm only has a few employees, the employees can be grouped together as one harvest crew responsible for picking and packing all produce on the farm. All of this information should be linked to the lot number. Please see Sample SOP: Traceability for an example of how to develop a lot number.

Labeling Issues

Most farms are not required to label each piece of produce under the Federal Food, Drug and Cosmetic Act, but each farm should consider labeling each container that leaves the farm. This makes traceability of lots more efficient and effective.

Even growers who may be exempt from the Food Safety Modernization Act̢۪s produce rule "must prominently and conspicuously display, at the point of purchase, the name and complete business address of the farm where the produce was grown, on a label, poster, sign, placard, or documents delivered contemporaneously with the produce in the normal course of business, or, in the case of Internet sales, in an electronic notice". This means that growers who sell at farmers markets or have a CSA could meet this labeling requirement by making a simple sign with their farm address to hang at their booth or pick up site.

Traceability System Options

Traceability options range from paper systems to electronic ones; choose the system that works best for you. Growers can use simple systems like grocery store labeling guns for marking all the containers of a particular lot. Markers and self-adhesive mailing labels can also be used. Electronic traceability systems can also be purchased but are not required. Electronic systems often use bar code technology. As the need for traceability grows, commercial options may increase and become more affordable, making bar codes a reasonable option for small farms.

Testing the Traceability System with a Mock Recall

In a mock recall, a buyer is contacted and asked about a particular lot number or series of lot numbers. The buyer should be asked how much of the lot remains in their possession and how much has been sold. Document the buyer's response to your request about the selected lot numbers and match it with your farm information. If produce is sold through direct markets, the mock recall may include devising a way to contact a set of customers, such as through e-mail lists or by posting signs at the direct market stand. Collection of information could be done through e-mail, phone calls, or the postal service.

The information in the template food safety plan, SOPs, and recordkeeping logs are examples you can use. They are not intended to be used directly. Tailor each to fit your farm operation and practices. These documents are guidance for risk reduction and for educational use only. These documents are not regulatory and are not intended to be used as audit metrics. These documents are subject to change without notice based on the best available science.