Dr Heiner Lehr

Transcription

1 Dr Heiner Lehr

2 Findings from the field: shrimp 2

3 Supply chain Broodstock supplier Hatchery Feed production chain Nursery Farm Input Distributor Farm Local market Primary middleman Secondary middleman Processor Exporter Importer 3

4 In-depth study in the Ben Tre province Black tiger (and now vannamei) shrimp are an important part of Ben Tre s economy All shrimp operations known to local competent authority (district) General understanding and use of paperwork was good. Understanding of traceability good, but limited to seafood. Other inputs or outputs were not understood to be part of the traceability requirements (Large) processors have developed own traceability system Traceability usually up to pond possible Most processors require strict segregation from their supply chain 4

5 Are middlemen a necessity? Middlemen are not traders, they handle the material No double handling was observed (no primary middlemen) Food safety standards generally not impressive Added value Concentration of small supply sources Ripening Shortening the supply chain will lead to further concentration of business Elimination of smallholders (a good, socially and economically sustainable model) But: more difficult to control 5

6 Uncontrolled mixing occurs at small middlemen Essential breaking point of the information chain Smallholders not part of the traceability effort Small middlemen use rudimentary (tax related) records and hand out receipts Electronic data capture not realistic 6

7 Key Traceability Issues Integration of smallholders into the traceability effort Understanding that all inputs and outputs are part of the traceability system Feed Agricultural produce Seafood Pharmaceuticals Consumption 7

8 Findings from the field: pangasius 8

9 Supply chain Broodstock supplier Hatchery Feed production chain Nursery Farm Input Distributor Farm Local market Processor Exporter Importer 9

10 In-depth study in the An Giang province Pangasius (tra and basa) is an important part of An Giang s economy Only 200 out of approx operations are know to local CA General understanding and use of paperwork was good Understanding of traceability good, but mostly limited to seafood. Other inputs or outputs were generally not understood to be part of the traceability requirements Processors have developed own traceability system(s) Traceability usually up to pond possible Processors practice strict segregation and require the same from their supply chain 10

11 An Giang Farms never as small, because of capital intensive business Usually very simple chains (1 supplier => 1 customer) Very professional operations Good food safety standards Good traceability Many companies certified (multiple standards) Electronic data capture easier, but still not realistic at farm or earlier 11

12 Key Traceability Issues Registration of FBOs Understanding that all inputs and outputs are part of the traceability system Feed Agricultural produce Seafood Pharmaceuticals Consumption 12

13 ANALYSIS 13

14 Focus of assessment When trying to develop a traceability system, the best way to start is choosing a traceability (industry) standard After careful analysis, we chose to look at TraceFish TraceFish is probably the most successful fish traceability standard TraceFish is basis for ISO/CD and ISO/CD Generalised into the TraceFood framework, see TraceFish is built on the following elements Unique identification of locations, trade units and logistics units (GS1) Unique identification of fish species using the FAO list of species Clear instructions what data shall, should or may be recorded TraceFish was developed in Europe, a major market for pangasius 14

15 Using TraceFish as a traceablity standard For a first step implementation of electronic traceability in Vietnam, TraceFish seems too complicated and detailed. Internal procedures can be based on it, but not mandatory data. Not apt for smallholders. 15

16 Using GS1 as an identification provider GS1 is a global supplier of identification products for Trade units (product types and instances) Locations Logistic units GS1 is a recognised Issuing Agency under ISO15459 GS1 is a not-for-profit membership organisation, strong in retail. New services, such as EPCIS could be the future standard for exchanging traceability information GS1 clearly is an important player 16

17 In Vietnam, out of 500+k fish business operators, 480k are micro-enterprises GS1 Vietnam has about 60,000 members in total 17

18 Are GS1 s identifiers apt for Vietnam? GS1 is a membership organisation FBOs have to individually sign up to GS1 A membership fee is charged annually GS1 has very little following in the primary production sector Sign-up of all food and feed operations doesn t seem realistic There are ISO15459 registered alternatives, such as the RGCode "RG Code 8" -- non-significant RG-ID code, 8 characters for issuer name Field Name Length Total permutations Description IAC RG TYPE ISSUER Identifies the node and user of issuer SUB-ID Variable (min 1) Length optional (leading zeros ignored) CRC 1 36 Error control Minimum length 13 Maximum length 35 Example: Note 1: Note 2: RG8-COMPANY1-cc...cc-C The RG-ID is defined by this code, but might be preceded by a Data Identifier for informative purposes (and ISO compatibility) The CRC is for error control, and is not an essential part of the RG-ID 18

19 Recommendations for identifiers No traceability system should be linked intimately to one particular identification standard. All ISO15459 accepted numbering systems must be acceptable to a traceability system. It is not feasible to ask individual smallholders to become GS1 members just to get a company prefix It is not correct to make the provincial DARD office become a GS1 entity and bar all other entities in the province from using the full range of GS1 s products. If the products of GS1 shall be used, the whole range must be available RGCodes constitute an alternative for GS1 codes. RGCodes do not count with the organisation of GS1 and its services, nor do they count with the support of large retailers. However, for early stages in the supply chain this could be an excellent alternative. 19

20 Information architecture under first attempt Full electronic system, based heavily on GS1 s identifiers For client side, use of mobile phones and PCs Backbone: own development linked to GS1 s GEPIR Centralised database Other architectures better suited for traceability systems System was never put into place Main challenge: fully electronic system is not realistic Field findings: many even small operations have computers and internet However, smallholders don t Data capture not fully understood, much less if electronic No pressure from importers We believe that a mixed paper/electronic system is better for Vietnam 20

21 Proposal for a system for SMALLHOLDER TRACEABILITY 21

22 Designing a traceability system for smallholders A smallholder traceability system has to take notice of the following: It needs to be as simple as possible and therefore limited in scope It needs to be easily transportable into an electronic medium for monitoring purposes It needs to be affordable and practical for all steps in the supply chain It needs to be compliant with local and international regulations The purpose of the traceability should be mainly to establish the product flow (e.g. for a product recall) Non-essential data, e.g. data on quality checks, samples and other data, is considered a voluntary addition to the product flow data Make information electronic at processor Larger organisations IT capabilities 22

23 Introduction The proposed system consists of A globally unique traceability code (T-code) A pre-printed traceability label which is distributed to all FBOs, initially free of charge at least for smaller enterprises A traceability (paper) form which relates inputs to outputs and which travels with the goods FAQUIMEX - BA LAI AQUAPRODUCT PROCESSING PLANT BT20A2 T Other markingsinhand trace.mard.gov.vn 23

24 Breadth and depth of the traceability system The purpose of the traceability system is mainly to establish the product flow (e.g. for a product recall) Non-essential data, e.g. data on quality checks, samples and other data, is considered a voluntary addition to the product flow data It is of interest to record quantities of product Enables mass balance and => control over COOL labelling. However now a secondary goal and should not be enforced. The traceability system applies primarily to Grow-out Input providers (feed and medicines) Middlemen, where present Processors 24

25 Registration with CA Farm Middleman Processor Exporter Farm 25

26 Our proposal: the T-code RG8-VNBTAW2A-A1-2DG-0 Element Base Example Elements Possible Remarks in base combinati ons IAC 2 [A-Z,0-9]{0,3} RG ISO15459 registered IA Code type 1 [0-9] Country 2 [A-Z]{2} VN digit ISO code for country Province 2 [A-Z]{2} BT District 1 [A-Z,0-9] A Business 3 [A-Z,0-9]{3} W2A site Location 2 [A-Z,0-9]{2} A if undetermined, 01 if single location Serial 3 [A-Z,0-9]{3} 2DG Equivalent to over 120 years of daily operation per location Check digit 1 [A-Z,0-9] Total length 17 Example RG8-VNBTAW2A-A1-2DG-0 26

27 Properties of the T-code Globally unique thanks to using an RG code Traceability features Designates country in clear letters => basis for a COOL labelling Designates the province in clear letters, e.g. BT = Ben Tre. This will help client to locate their supplier on the map. Designates the district by a lookup code. The district is of less importance and less well known at the import end. Designates the business site by a lookup code. The business site receives a short code which interested parties should be able to look up from an internet resource. In any case, without accessing any electronic system they can check if the source varies or not between shipments A serial code for basic timeline; can help to establish a control of the FIFO system of the supplier Basic anti-counterfeiting with serial code and check digit 27

28 The traceability label Clear printed name of owner of label FAQUIMEX - BA LAI AQUAPRODUCT PROCESSING PLANT Two detachable sub-labels Code-128 barcode for automated registration QR code for mobile phones points to web BT20A2 T Other markingsinhand trace.mard.gov.vn Clear print code for manual registration More information here 28

29 Properties of the T-label The traceability label is designed so that it can be attached to physical goods (the big label), but its two peel-off sub-labels are used in combination with paper work. The barcodes will serve two purposes Efficiency: Facilitate the electronic capture of traceability data Marketing: Project an image of high professionalism of the Vietnamese fish sector Labels will be pre-printed and distributed upon registration Initially free of charge (at least for smaller operations) 29

30 The Traceability form Link to more info VIETNAM Food Traceability Form Data entry: Internet: trace.mard.gov SMS: download from trace.mard.gov Despatch date: Date (optional) Out In Space to paste detach T-label Two differently coloured areas for inputs and outputs 30

31 Properties of the traceability form Requires no writing at all! Date is optional Maps outputs to inputs in a very intuitive way Supports a very simple way to handle mixing Is supposed to travel with the goods (as original or as copy) Is the minimal expression of traceability Other information should be recorded (=>TraceFish) if the enterprise can afford or understands it 31

32 When Supplier Receives a batch of prawn from farmer Big sticker stick on physical product Reception by Supplier Sizing Supplier Prawn and records from Framer Prawn and records from Supplier 32

33 When Processor Receives a batch of prawn from Supplier Big sticker stick on physical product Reception by Processor Scan T-code stickers with scanner Processor Prawn and records from Supplier 33

34 When Buyer Receives a batch of prawn from Processor Big sticker stick on physical product Reception by Buyer Scan T-code stickers with scanner Buyer Frozen prawn and records from Processor 34

35 How to operate the traceability system Processors are the caretakers of the traceability information Processors can use the traceability form exactly in the same way as middlemen When mixing, apply a new label Gain a standardised way to identify batches even for mixed raw materials Information will be entered to electronic traceability monitoring system With barcode reader for speedier data capture or manually Label has information linked to it => Importer can look up information 35

36 Other information This system only establishes the product flow All enterprises should keep in due course information according to the TraceFish standard (see our own recommendations which data are to be kept) Note that this system is product neutral! Product type can be established in electronic monitoring system Product type not essential to establish its flow However, as a first step this is very good Product flow clear Allows basic monitoring, especially when getting farm input providers on board 36

37 Electronic Monitoring System Nursery Hatchery Farm Input Distributor Farm Trader Processor Exporter Importer 37

38 Electronic Traceability Monitoring System Purpose Increase speed of recalls Increase possibility of early disease detection Answer requests from importing nations or even importers Project an image of professionalism that reflects correctly the status of Vietnam s seafood production This system should have the following users Relevant government officers from the local and the central competent authorities Importers Consumers Other stakeholders 38

39 Services of the traceability system Provide simple traceability information Provide map view of origin and supply chain Government officials can post health certificates (export) Importers can check with mobile phone (QR Code) upon reception They can choose to provide the label/information to their customers 39

40 Scan T-codes into the traceability system Big sticker stick on physical product 40

41 Scan T-codes into the traceability system Big sticker stick on physical product 41

42 Electronic traceability for PROCESSORS 42

43 Data entry Processors are named caretakers of the traceability system Processors are the latest step when traceability information has to be entered into electronic system Barcodes reduce the workload of data entry Processors can outsource data entry to their supply chain Middlemen and farmers gain a small premium Proliferation of electronic data capture over time The electronic traceability system will accept data entry by Computer with internet connection and a standard browser Mobile phone through a GPRS/3G connection Mobile phone through free application (via SMS) 43

44 Traceability system for processors Traceability records for Processor Reception Primary Material Secondary Material Process Despatch Prawn Tempura Prawn Flour Cooking Oil 44

45 1. Reception of raw materials T-code from supplier (Prawn) 45

46 1. Reception of raw materials 46

47 2. Reception of Secondary Material & Primary Packaging T-code for Flour T-code for Cooking Oil 47

48 2. Reception of Secondary Material & Primary Packaging (continue) 48

49 3. Process T-code from supplier (Prawn) T-code for Cooking Oil T-code for Flour T-code for Product (Tempura Prawn) 49

50 3. Process (continue) 50

51 4. Despatch T-code for Product (Tempura Prawn) 51

52 4. Despatch (continue) 52

53 Search for Despatch Record 53

54 Trace Backward 54

55 Trace and track T-Code of material received Reception of Material Process Input: T-Code of material received Output: T-Code for Product T-Code for product Despatch 55

56 Thank you for your attention! ACKNOWLEDGMENTS: The author would like to acknowledge contributions by Francisco Blaha and Gwynne Foster, Xifrat Daten AG, FoodReg and Yakin IT Sdn Bhd. Financial support from the European Commission for research projects is gratefully acknowledged. This deck of presentations was made possible by SATNET and UN ESCAP and the author is very thankful for this opportunity. DISCLAIMER: this presentation expresses the view of the presenter only. In particular, it does not express necessarily the views of cited international bodies and firms. 56