TRACEABILITY AND MOCK RECALLS

Penn State Cooperative Extension

Penn State University
Traceability
• Ability to track food through the food system back to
their source and forward to the next destination
• DOES NOT prevent a foodborne outbreak
• CAN quickly identify the source of a product and
speed an investigation
• CAN limit damage to the consumer
• CAN prevent damage to the innocent grower

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 Two-way information flow
Trace-back

Distribution Retailer
Field Grower Packer (Store, restaurant, Consumer
center hospital, etc.)

Trace-forward
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Product Recalls
• Recalls are actions taken by a firm to remove a
product from the market.
• They may be conducted
– on your own initiative,
– By request of your buyer,
– by FDA request, or
– by FDA order under court order.

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How to make your products traceable
• Keep records of
– name of the product,
– the grower
– the production area,
– harvest dates (or group of dates), and
– where it was sent.
• Use crop production records, farm maps,
transportation bills, weight tickets, and storage
records to provide documentation.
• Keep records for crops that are held in storage
before packing
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How to make your products traceable
Step 1 - Map all production areas

Field 1

Field 2

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Step 2 – Label all produce containers with the date and
location of harvest

Tomatoes
Field #1
ABC Farms
1 Farm Road, Anytown, PA 16803

Grown in Pennsylvania
Field #2
072411-2
TOTAL NET WT 16 oz (1 lb)

072411-2 Means the tomatoes were harvested on July 24, 2011 from field #2

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Grower and shipper information passed on to
next buyer
Shipper
Fresh information
Tomatoes
Tomatoes

ABC Farms
1 Farm Road, Anytown, PA 16803

Grown in Pennsylvania
072411-2

TOTAL NET WT 16 oz (1 lb)

Box labels show grower

Grower and shipper information
information
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 Step 3 - Include the harvest date and location on each
invoice
Tomatoes ABC Farms INVOICE
Date 7/25/11
1 Farm Road, Anytown, PA 16803 Invoice # 123456
Phone: 808-123-4567
ABC Farms Fax: 808-123-5678
Customer ID XYZ-312

BILL TO: SHIP TO:

1 Farm Road, Anytown, PA 16803
XYX Distributors Same
123 Store Rd
Othertown, PA 16810
Grown in Pennsylvania
ITEM DESCRIPTION QTY UNIT PRICE TOTAL
072411-2 T-1 Tomatoes (072411-2) 15 bxs $2.00 $30.00

TOTAL NET WT 16 oz (1 lb)

SUBTOTAL $30.00
TAX RATE 4%
S& H $0
Invoice shows grower, Other comments or instructions
TOTAL $31.20

product, field, harvest Please include invoice number on

your check.
date, date shipped
Thank You for Your Business

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Step 4 – Establish procedures to deal with a problem and
document them
• Who is in charge of traceability?
• Who will be contacted?
– Make a buyers and suppliers list using invoices and your
contact lists.
– Record contact information for
• State Health Department and/or Department of
Agriculture
• Attorney contact information
• Newspapers, radio, TV
• Extension food safety educator
• Conduct a mock recall at least once per year.
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 Mock Recall Example . . .
• This is just one very simple example of how a mock
recall might be conducted.
• Variations depend on the audit: unannounced mock
recall, time limit after shipping, etc.
• Work with your auditing company and customers for
specific instructions on how to conduct a mock recall.

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 Mock Recall Flow Chart (example only)
Notify buyer that a mock recall will
be conducted 2 days from the
Day 1 present time

Identify and record lot number to be

shipped to participating buyer
Day 2

Ship to buyer

Contact buyer and request disposition

of the previously identified product lot
number
(e.g. how many sold/how many still at location)
Day 3
Obtain written confirmation
by fax or email
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Mock Recall – Day 1

Grower Buyer

Grower: “Hello, this is John Smith from ABC Farms.

Our GAP program requires us to conduct a mock recall
at least once per year.“
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Mock Recall – Day 1

Grower Buyer

Grower: “Will you help us out by participating in this year’s mock

recall? Remember, this is NOT a real recall notice.
We just want to see if our plan is working correctly.”
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 Mock Recall – Day 1

Grower Buyer

Grower: We will make our usual shipment to your store tomorrow.

The day after that, I will call you and ask how much of that
shipment remains at your location.
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Mock Recall – Day 1

Grower Buyer

Buyer: “OK, we will expect to hear from you in 2 days.”

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Mock Recall – Day 2

ABC
Farms

Grower

The product is shipped by the grower

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Mock Recall – Day 2

ABC
Farms

Buyer

The product is received by the buyer

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Mock Recall – Day 3

Grower Buyer

Grower: Hello, this is John Smith from ABC Farms again.

We shipped our product to your store yesterday.

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Mock Recall – Day 3

Grower Buyer

Grower: “Please tell me how many boxes you have already

sold and how many boxes remain at your location”

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Mock Recall – Day 3

Grower Buyer

Grower: “The lot number labeled on the boxes was

123456XXX”
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Mock Recall – Day 3

Grower Buyer

Buyer: “OK, let me check my records”

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Mock Recall – Day 3

Grower Buyer

Buyer: “According to my records, we received 20 boxes with

that lot number from you yesterday.”
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Mock Recall – Day 3

Grower Buyer

Buyer: “We have 8 boxes on site and we have sold 12 boxes.”

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Mock Recall – Day 3

Grower Buyer

Grower: “Thank you. Would you please fax or email this

information to me for my records?”
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Mock Recall – Day 3

Grower Buyer

Buyer: “Yes, I will send that information to you.“

Make sure the buyer faxes or emails the report using their business letterhead
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Keep a record of the mock recall !

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Buyer Contact List

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Mock Recall Log

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