1. REVIEW AND ANALYSIS OF CURRENT TRACEABILITY SYSTEM AND COMMON PRACTICES FAO Regional Workshop on National and Regional Good Practices in Seafood Traceability in Asia Vincent André, AETS Thailand K OCHI, I NDIA, 22-24 M ARCH 2016

2. O UTLINE  Introduction Motivation of the review and analysis of current traceability practices Rationale of traceability Definitions and applications of traceability Methodology: review scope and structure  Review and analysis of current traceability systems International standards and guidelines Regulatory standards Non-regulatory standards  Summary of common traceability practices  Introduction Motivation of the review and analysis of current traceability practices Rationale of traceability Definitions and applications of traceability Methodology: review scope and structure  Review and analysis of current traceability systems International standards and guidelines Regulatory standards Non-regulatory standards  Summary of common traceability practices

3. Background : during the Twenty- ninth Session of the Committee for Fisheries, it was agreed that FAO should initiate work to develop international best practice guidelines for traceability of fish and fishery products. The best practice guidelines would facilitate the coherence of different traceability systems. M OTIVATION

4. Objective: to review the current requirements of food/fish product traceability in the main markets and identify some gaps before developing traceability best practice guidelines.  Explain the context of traceability  Identify current systems and standards to avoid duplication for the future: o Not create unnecessary barriers to trade; o Equivalence; o Risk based; o Reliable, simple, clear and transparent. M OTIVATION (2)

5. “T RACE -A BILITY ”

6. Traceability has become a ‘Must’ for exportation to most Markets Regulation and standards: Eu: White Paper, Food law (Reg 178/2002) US: COOL, Bioterrorism act Retailer and Private standards Implementation of various Traceability Systems Media and Consumers Concerns because of Mad Cow : 1996 – 2000 – 2002 Dioxin 2002 Sheep disease (2003) Bird Flue (2006), Swine flue, 2011 E. coli O104:H4 outbreak 2013 meat adulteration scandal 6/10 French are concerned about the food they eat 54% of French feel they lack information about product 90% of French are concerned about quality, traceability R ATIONALE OF THE EU APPROACH ON TRACEABILITY

7. Food Safety Quality Biosecurity and bioterrorism Food security Social welfare Environment Traceability D RIVERS FOR FOOD TRACEABILITY

8. International Standards and Guidelines Regulations Non- Regulatory standards Tools to comply I NTERNATIONAL, REGULATORY AND NON - REGULATORY STANDARDS

9. The Codex Alimentarius has defined traceability as the "ability to trace the history, application or location of an entity by means of recorded identifications." ISO defines traceability as the ability to trace and follow food, feed, and ingredients through all stages of production, processing and distribution. (ISO 8402) Traceability refers to the completeness of the information about every step in a supply chain. The formal definition: Traceability is ability to chronologically interrelate the uniquely identifiable entities in a way that matters. D EFINITION AND APPLICATIONS

10. Scope: food safety, suitable fishing, labelling and traceability standards. Purpose: to identify whether a common theoretical framework with respect to implementation of food traceability exists. Structure: – Results from the literature review covering the existing systems for identification and marking of food and in particular fish products as primary production, as well as the systems for their identification and labelling in the chain of distribution – Comparison with a table comparing the traceability principle as a reference point. M ETHODOLOGY R EPORT S COPE AND S TRUCTURE

11. Unique identification Data capture and management Data communication Along the food chain 1 step backward, 1 step forward: To allow withdraw and recall M ETHODOLOGY R EPORT S COPE AND S TRUCTURE

12. Traffic lightMeaning Red: Defined and mandatory The regulation or standard contain the definition of the requirement and the compliance is mandatory. For example the Regulation (EC) No 178/2002 defines traceability and requires the traceability of food, feed, food-producing animals, and any other substance intended to be, or expected to be, incorporated into a food or feed shall be established at all stages of production, processing and distribution. Traceability is defined and is mandatory. Yellow: Required The regulation or standard does not contain the definition of the requirement but the compliance is implied. For example the Regulation (EC) No 178/2002 requires the food and feed business operators to have in place systems and procedures which to identify the other businesses to which their products have been supplied. The regulation does not require an internal traceability system. The identification of how lots/batches are split and combined within each step of production is implied and needed for effective traceability, is only optional but this information is essential for identifying the products to recall. Green: not mentioned The regulation or standard does not contain the definition of the requirement and does not require the compliance. For example the Regulation (EC) No 178/2002 does not require an internal audit for the effectiveness of such a system. The regulation does not require the system to be verifiable when tracing up each stage in the production chain. M ETHODOLOGY R EPORT S COPE AND S TRUCTURE

13. M ETHODOLOGY R EPORT S COPE AND S TRUCTURE 1.The EU Food Law and the Hygiene package (food safety and labelling 2.The EU rules to combat illegal, unreported and unregulated fishing (IUU) 3.United Sates of America 4.Japan 1.Codex Alimentarius 2.Office International des Epizooties (OIE) 3.FAO Eco-labelling and sustainable fisheries 4.FAO Technical Guidelines on Aquaculture Certification 5.RFMO catch/trade documentation schemes 1.ISO 22000 and ISO 12875:2011 2.GS1 Global Traceability Standards 3.TraceFish (EU) 4.Trace Register 5.CHINATRACE 6.Environmental standard for sustainable fishing (MSC) 7.National Marine Fisheries Service Dolphin Safe Certification (NMFS) 8.EU Fish Processors Association and EU Federation of National Organisations of Importers and Exporters of Fish (AIPCE-CEP) 9.WWF SFI 10. GLOBALG.A.P 11. Global Aquaculture Alliance (GAA) 12. Global Food Safety Initiative (GFSI) 13. British Retail Consortium (BRC) 14. International Featured Standard (IFS)

14. R EVIEW AND ANALYSIS OF CURRENT TRACEABILITY SYSTEMS  International standards and guidelines  Regulatory standards  Traceability standards  Sustainable seafood Certification schemes  Other non-regulatory standards currently in use by the Global Food Industry

20. The requirements on traceability vary with type of standard and the objectives of this standard. The ability to trace and authenticate a food product is of major concern to the food industry for various reasons Looking to the application in practice as in the previous comparison, the justification of traceability system may vary depending on the product requirements: the more extended are the requirements, the more traceability is needed. S UMMARY (1)

21. The requirements for safety play an important role to ensure the safety demonstration and the possibility of product recall. The requirements on origin control (i.e. eco-labelling) play an important role to ensure the ability of tracing the product back to its source and proving its legality. Traceability cannot be seen as a “stand-alone” and is a tool to support the standards and demonstrate the product compliance with the requirements. The choice of the traceability solution is going to vary depending on the level of requirements (from paper to computerized system) S UMMARY (2)

22. In order to be efficient, a traceability system has to provide:  the identification of the operators, storage and preparation units and identification of the product and its registration along the whole chain  an efficient traceability system inside and between the organizations that can be controlled to ensure the proper functioning of the traceability system among all the organizations  a periodical verification of the traceability system to make sure that the data communicated are correct S UMMARY (3)

23. F for France DE: Province INC: City NB: Company French Example: meat and fish Thai Example: Fishery products International Example: GLN TRACEABILITY C OMMON P RACTICES Unique identification: a) Any traced unit must be uniquely identified. b) any actor in the supply chain that modifies the product or may have an impact on the product shall be uniquely identified.

24. External traceability Landing Site Growing farm Processing plant RetailerConsumer Internal traceability ReceivingProcessingStorageDelivery Data capture and management: Data has to be captured and recorded between steps throughout the supply chain: “internal traceability system” and “external traceability system”. TRACEABILITY C OMMON P RACTICES

25. Data communication: Exchange of information in a standardized format,. accompanying the physical flow of products. TRACEABILITY C OMMON P RACTICES

26. THANK YOU FOR YOUR ATTENTION Vincent André Advisor on Food Safety & Quality vincent.andre@aets-consultants.com