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adjustments, and the ability to print one layer and lami-

nate another layer over it in a continuous process.

Limitations of ﬂexography include higher highlight-dot

gain (spreading of halftone dots in low-density areas) and

lower solid density as compared to gravure and offset

lithography. The increased dot gain results from a combi-

nation of printing-plate deformation and ink spread on

press. Another limitation is the inability to print uniform

solids and halftones using the same plate without sub-

stantial make-ready. The increased pressure required for

uniform solids increases dot gain in highlights.

A typical ﬂexo print station is shown in Figure 2. The

three basic types of ﬂexographic presses are shown in

Figure 3. Dryers generally separate individual print sta-

tions. In the stack press (Figure 3[a]), individual print

stations are in sequence one on top of the other. This press

is used primarily for paper and laminated ﬁlms. Advan-

tages include accessibility to print stations and the ability

to reverse the web, thus allowing printing on both sides in

one pass. In the central impression press (Figure 3[b]), the

print stations are distributed around a large central

impression cylinder, which is precisely geared to each

print station and, thus, improves the registration. This

press is used mainly to print high-quality, wide-web ﬁlms.

The in-line press (Figure 3[c]) is used mainly for printing

corrugated and folding carton as well as for narrow-web

tag and label.

The heart of the ﬂexographic printing system is the

anilox roll, a steel cylinder optionally coated with ceramic

and engraved with a pattern of pits or cells. The function

of the anilox roll is to meter a uniform ﬁlm of ink from the

ink fountain to the printing plate without the need for

continuous adjustment. Many types of anilox rolls exist,

distinguished by the mode of engraving, the materials of

construction, the pattern of the cells, and the cell geome-

try. Anilox-roll variables include the screen count and

screen angle as well as cell volume. Anilox rolls fall into

two main families, the mechanically engraved chrome

rolls and laser-engraved ceramic rolls.

Mechanically engraved chrome rolls are steel cylinders

engraved by a precision tool. Following engraving, the rolls

are plated with copper, which acts as a bonding layer, and

chrome, which hardens the surface. Mechanically en-

graved chrome rolls have been the mainstay of the indus-

try for many years. However, on the introduction of the

reverse-angle doctor blade, which better controls ink me-

tering, and the subsequent wear problems, the industry

has been steadily shifting to laser-engraved ceramic rolls.

Ceramic rolls are steel cylinders that have been coated

with a ceramic, usually chromium oxide, layer and then

engraved with the beam from a high-energy laser. By

controlling the energy and timing of the laser pulse, the

depth and diameter of the anilox cell can be tightly

controlled. Unlike mechanically engraved rollers, the

volume of laser-engraved rolls is independent of screen

count, which allows a variety of rollers with a wider range

of volumes and screen counts. The ceramic coating reduces

doctor-blade wear by an order of magnitude, thus prolong-

ing the life of the roll.

Flexography typically employs low-viscosity fast-dry-

ing inks. These inks are dispersions having 25–35% solids

content, which consist mainly of nearly equal parts of a

pigment or pigments dispersed in polymer resins. These

resins form the ink ﬁlm and attach the pigment to the

substrate. Inks may also contain additives such as slip

agents, surfactants, plasticizers, and antifoams. The sol-

vent portion is usually a blend of alcohols and acetate

esters. Drying rate can be varied by changing the ratio of

acetate to alcohol in the solvent.

For aqueous inks, the resins are water- or alkali-soluble

or dispersible, and the solvent is mostly water containing

sufﬁcient alcohol (as much as 25%) to help solubilize

the resin. To keep the alkali-soluble resin in solution, pH

must be maintained at the correct level. Advances include

the development of uv inks. These are high viscosity inks

that require no drying but are photocurable by uv radiation.

In these formulations, the solvent is replaced by monomers

and photoinitiators that can be crosslinked by exposure to

uv radiation. The advantage of this system is the complete

elimination of volatile organic compounds (VOCs) as com-

ponents of the system and better halftone print quality.

Aqueous and uv inks are becoming more popular as envir-

onmental pressure to reduce VOC increases.

Three primary types of ﬂexographic printing plates are

used and are as follows: molded rubber, solid-sheet photo-

polymer, and liquid photopolymer.

Initially, ﬂexographic printing plates were made of

handcut or molded rubber. The basic steps of rubber

platemaking include preparing an engraving by exposing

a photoresist-coated metal plate to uv light through a

photographic negative, which washes away the unexposed

resist with solvent, and acid-etching the unprotected

metal surface, molding a phenolic matrix board using

the metal engraving, and ﬁnally molding the rubber plate

using the matrix mold.

Molded-rubber plates transfer ink well and, when large

numbers of identical designs are needed, are inexpensive

to make. However, environmental concerns over the use of

acidetching solutions to prepare the metal engraving, poor

thickness uniformity, and poor dimensional stability of the

molded plates are disadvantages. Photopolymer plates,

both solid and liquid, have replaced most engravings.

Figure 2. Flexographic printing station, where the fountain pan

supplies ink to the rubber fountain roll, which, in turn, supplies

ink to the anilox roll. The optional doctor blade removes excess

ink from the surface of the anilox roll so that it transfers a

uniform layer of ink to the printing plate. The printing plate then

transfers this layer of ink to the substrate, which is supported by

the impression roll.

1028 PRINTING: GRAVURE AND FLEXOGRAPHIC

Solid photopolymer plates consist of an elastomeric,

photosensitive layer bonded to a polyester support.

The plate formulation usually contains an elastomeric

binder that provides the required properties of ﬂexibility

and resilience. The plates typically contain acrylic or

methacrylic monomers, sensitizers, and photoinitiators,

which, in the presence of sufﬁcient ultraviolet (uv) energy,

polymerize to reduce the solubility of the material. Photo-

polymer plates are made by exposure to uv through the

back of the plate to consume stabilizers and deﬁne relief

height, front uv exposure through a photographic negative

(which is usually halftone-screened) to form the image,

removal of unexposed areas with a solvent to form the

relief image, drying to remove solvent, overall exposure to

eliminate surface tack, and postexposure to more cross-

link and toughen the plate (5). Advantages of solid-sheet

photopolymer plates over rubber include improved dimen-

sional stability derived from the polyester support, longer

print run length, improved print quality that includes

more predictable rendition of four-color process images,

and better thickness uniformity.

Newer technology involves water-processable photopo-

lymer plates. Many platemakers and printers are eager to

switch to water processing in order to eliminate volatile

organic solvents. The chemistry and process of use are

similar to that of the solvent-processable plate, except the

plate is formulated with water soluble materials.

The liquid photopolymer plate system is used suc-

cessfully in corrugated and newspaper markets. The

platemaking process is similar to the solid-sheet photo-

polymer plate except that before exposure to uv, the liquid

photopolymer, which consists of liquid rubber oligomers

and crosslinkers, is sandwiched between two layers of

transparent plastic ﬁlm to deﬁne a nominal and uniform

thickness during exposure. Special equipment is used to

meter the liquid plate material onto the bottom sheet

while covering the top surface with the other plastic sheet.

The platemaking process is similar to that of the solid

photopolymer plates (6). Lower cost of materials is the

main advantage over solid plates. Disadvantages include

inferior thickness uniformity and limited run life.

As printers turn more to electronic prepress methods,

direct writing of digital data to printing plates will in-

crease in importance. Relief images can be made by laser-

engraving a rubber-coated cylinder. The rubber layer is

selectively ablated by a high-energy laser beam, which

leaves a relief printing image. This method eliminates the

need for a photographic negative and is ideal for printing

continuous images. Laser imaging of rubber cannot repro-

duce the ﬁne screen rulings obtainable with solid plates.

Other direct digital imaging systems that use photopoly-

mer plates with integral masks also have been shown (4).

BIBLIOGRAPHY

1. J. M. Adams, D. D. Faux, and L. J. Rieber, Printing Technology,

3rd edition, Delmar Publishers, Albany, NY, 1988, pp. 477.

Figure 3. Schematics of ﬂexographic presses, in which the arrow designates the direction of the web ﬂow and y represents an interstation

dryer: (a) stack press; (b) central impression press; (c) in-line press.

PRINTING: GRAVURE AND FLEXOGRAPHIC 1029

2. M. H. Bruno, ed., Pocket Pal, a Graphic Arts Production

Handbook, 15th edition, International Paper, Memphis, TN,

1992, pp. 125–126.

3. Ibid., pp. 126.

4. A. J. Taggi and P. Walker, ‘‘Printing Processes’’ in J. Krosch-

witz, ed., Kirk-Othmer Encyclopedia of Chemical Technology,

4th edition, Vol. 20, John Wiley & Sons, New York, 1996.

5. Cyrel

Photopolymer Flexographic Printing Plates Process-of-

Use Manual, DuPont Printing and Publishing, Wilmington,

DE, 1995, pp. 17.

6. G. Mirolli, ‘‘Engravings and Printing Plates’’ in J. W. Cotton,

et al. eds., Flexography, Principles and Practices, 3rd edition,

Flexographic Technical Association, Inc., Ronkonkoma, NY,

1980, pp. 174–179.

General References

J. W. Cotton, et al. eds., Flexography, Principles and Practices, 3rd

edition, Flexographic Technical Association, Inc., Ronkon-

koma, NY, 1980.

PRODUCT QUALITY AND INFORMATION

TRACEABILITY

GILLES DOYON

MARCO LAGIMONIE

Research Branch

Agriculture and Agri-Food

Canada, Ministry, Saint-

Hyacinthe, Que

bec, Canada

PIERRE VEILLEUX

GS1 Canada, Anjou, Que

bec,

Canada

GENERAL INTRODUCTION

The packaging industry on a worldwide basis was esti-

mated at about $460 billion, with the United States

accounting for $127 billion or 28% of the global market

(1). The quality characteristics or functions of the packa-

ging and its material were described as follows: for micro-

bial safety, chemical inertness, printing properties and ink

support, protection against adulteration, advertising-read-

ability, recyclability, ergonomic, convenience. Also, impor-

tant is to provide some ‘‘intelligence’’ or interaction with

the environment with electronic communications means

for traceability as well as advanced logistical applications

(2). These functions are critical elements in combination

with our ingredients, fresh/raw, processed and further

processing of food. The food that we consume or preserve,

distribute, and trade at local, national, and international

levels must be nutritious and safe and must respect

speciﬁcations in composition and safety under national

and international standards. Packaging is and remains a

major constituent in our logistic systems, and some parts

or surfaces are in direct contact with ingredients and foods.

Moreover, many different clients and customers expect

implicit or explicit quality characteristics and then either

accept or reject the products or services.

Small- and medium-size enterprises, for market

competitiveness, have to face many challenges to be

successful. They have to (i) master the acquisition and

management of the information, (ii) master knowledge of

the demands now and in the future, (iii) master conception

capacity, that is, means of projects management, value

added analysis, ergonomics, safety and design new pro-

ducts, processes, and packaging; (iv) master production

and organization skills, and (v) understand and partici-

pate in the integrated food supply chain (i.e., pre- and

post-plant efﬁcient), logistics, and traceability of neces-

sary information; also relevant was automatic data collec-

tion, where the database had rapid response to recall or

security threats.

New business situations arising for top management are

often seen as new risks, some threats , or more opportu-

nities. Their assessment and resolution could mean new

business in product, services and partnership. Therefore,

one needs to identify and prioritize them by type, the

frequency of occurrence, as well as the level of monitoring

with any actions readiness for now and for the future. No

one desires to encounter critical risks and the consequences

for nonconformity in quality assurance, poor logistics, and

breach in traceability of their entities (i.e., packaging and

information). In reality, the risks are the following if we do

not master traceability: (a) our personal safety and well-

being of our employees; (b) our company’s reputation,

products, market (identify preservation, IP), and enterprise

competitiveness; (c) our supply chain, production, purchas-

ing power, processing capacity and capability, our total

overseas distribution chain; (d) our quality assurance and

monitoring systems (i.e., HACCP, GMP), traceability, and

communication (database and telecommunication); (e) our

liability and ﬁnancial limits; (f) our national regulatory

compliance and policy impact levels; (g) our loss of scientiﬁc,

technological, innovative, and intellectual properties; (h)

our loss of personal and scientiﬁc independence, as well as

territorial and cross-cultural integrated autonomy; (i) dete-

rioration of the environment, the public health as well as for

my animals, plant, ﬁsh, poultry, and forest including air,

water, and soil; and (j) our country’s loss of ‘‘brand recogni-

tion’’ and global perception of high quality and safety of

foods.

Today’s quality assurance (QA) and packaging depart-

ments are involved jointly in research, development, and

adaptation (RDA), and most of them are involved in

HACCP and setting up traceability tools, database, detail-

ing procedures, and so on, for client requests, for Regional,

Federal Inspection, and Certiﬁcation Agency, or for proof

documents for exports.

TRACEABILITY TERMS, DEFINITIONS,

CONCEPTS, PERSPECTIVES INCLUDING WORKING

PRINCIPLES/ GUIDELINES AND INTERNATIONAL

STANDARDS

To facilitate understanding of this chapter and the

literature information, we present a list of abbrevia-

tions, deﬁnitions, and terminology most encountered or

standardized.

1030 PRODUCT QUALITY AND INFORMATION TRACEABILITY

Activity A speciﬁc pursuit in which a

person partakes. Also, a func-

tion to be performed. A piece of

work that one must do (task).

An organizational unit for per-

forming a speciﬁc function.

ADC/AIDC/AIS Automatic Data Capture/Auto-

matic Identiﬁcation and Data

Capture /Automatic Identiﬁca-

tion System.

BC Bar code/Bar coding. A bar code

symbol is a pattern of bars

(black or otherwise) and spaces

(white or otherwise) following

speciﬁc standards that, when

read by a scanner, interpret

the pattern in characters and

numbers and that, when called

up in a computer, provide var-

ious information, depending on

the application, the industry

and the type of code. Today, we

have linear or one-dimensional

codes, two-dimensional (2D)

codes like PDF-417, Reduce

Space Symbology (RSS or called

DataBar), and three-dimen-

sional (3D symbology) or bumpy

BC exit.

EAN European Article Number; an

8- or 13-digit code used by com-

panies outside North America.

EAN

International

Based in Brussels; a member

organisation that jointly man-

ages EAN. UCC system with

UCC.

EDI Electronic Data Interchange.

EDP Electronic Data Processing.

ERP/MRP Enterprise replenishment pan-

ning/ Material resource plan-

ning.

EPC Electronic Product Code, which

identiﬁes the manufacturer,

product category and individual

item.

EPC Global The joint venture of the EAN

International with the Uniform

Product Council, representing

100+ member organizations

worldwide. It is based in Brus-

sels and a member organization

that jointly manages EAN. UCC

system with UCC.

eXML Extensible Mark-up Language.

GAP/GPP/GMP/

GLP

Good Agriculture Practice/Good

Production Practice/Good Man-

ufacturing Practice/Good La-

boratory Practice.

GS1 Global Standard 1, a worldwide

organisation.

GLN/GTIN Global Location Number/Global

Trade Item Number.

GPS/GIS Global Positioning System (sa-

tellites or land cellular towers)/

Geographical or Geo-referenced

Information System.

HACCP Hazard Analysis Critical Con-

trol Points. Now under a new

standard: ISO-22000 (2005).

ISO-8402 Quality Management and Qua-

lity Assurance: Vocabulary

(1994). Is generally recognized

and of current use. Some deﬁni-

tions are as follows:

1. Entity An item that can be individu-

ally described and considered —

that is, an activity, a process,

processes (business like or

how we do activityy), a pro-

duct, an organization, a system,

a person, or any combination

thereof.

2. Organization A company, a corporation, a

ﬁrm or institution that could

be public or private.

3. Procedure

A speciﬁed way to perform an

activity

. In many

cases, proce-

dures are documented (i.e.,

quality system procedure). It

contains the purpose and the

scope of an activity; what shall

be done and by whom; and

when, where, and how.

4. Process A set of interrelated resources

and activities that transform

inputs into outputs. Here, re-

sources may include personnel,

ﬁnance, facilities, equipment,

techniques, and methods.

5. Product A result of activities or process,

includes service, hardware, pro-

cessed material, and software,

or a combination thereof. Also,

can be an intangible form as

knowledge or concepts.

6. Quality (Q) Totality of characteristics has

an entity that bears on its abil-

ity to satisfy stated or implied

needs.

7. Quality assur-

ance (QA)

All the planned and systematic

activities implemented within.

8. Quality control

(QC)

Operational techniques and

activities that are used to ful-

ﬁll requirements for quality

(to achieve economical effec-

tiveness).

9. Quality

management

(QM)

All activities of the overall

management function that

determine the quality policy,

objectives, and responsibilities,

as well as implement them by

PRODUCT QUALITY AND INFORMATION TRACEABILITY 1031

means as quality planning,

quality control, quality assur-

ance, and quality improvement

within the quality system.

10. Quality

system (QS)

Organizational structure, proce-

dures, processes, and resources

needed to implant quality man-

agement. It is there to satisfy

the intended managerial needs

or costumers or regulatory

agency, in most cases.

11. Record A document that furnishes ob-

jective evidence of activities

performed or results achieved.

Could be handwritten, paper

format, or electronic medium.

12. Traceability The ability to trace the history,

application or location of an en-

tity by means of recorded iden-

tiﬁcations. In a product, it may

relate to the origin of material

and parts, the product proces-

sing history, and the distribu-

tion and location of the product

after delivery (in combination

with ISO-9001(2000) and ISO-

22005).

13. Lot The ensemble of units of the

same reference that is decided

to produce, manufacture, or

package consecutively, under

identical conditions. Or, the ma-

terial we just bought, which, we

can reference, with our speciﬁ-

cations and purchasing order.

Other deﬁnitions exist.

Logistic The ensemble of tasks and ac-

tivities that concur or converge

to bring order to physical ﬂows

within an enterprise—that is,

raw materials, various compo-

nents, fabrication, operational

research. It includes the pur-

chase, stock handling, storage,

client recalls, sales, administra-

tive tasks, and quality manage-

ment as well as information

ﬂuxes.

Pervasive

technology/

Ubiquitous

computing

Pervasive is what is going

through, diffuse throughout

every part of, and the word

Ubiquitous means existing or

being everywhere, constantly

encountered or widespread.

Pervasive computing is the

trend toward increasing ubiqui-

tous computing devices in the

environment brought about by

convergence of advance electro-

nic, portable devices, wireless

technology, and the internet

interactions. Pervasive or ubi-

quitous computing within the

context of Adaptive Business

Network (ABN) is more than

the ability to access information

virtually anywhere and at any

time. It provides a business

with the ability to sense and

respond to changing market

more quickly.

PLU Price look-up. Referring to the

International Federation for

Produce coding or IFPC, for

fresh fruits and vegetables. A

very small sticker on the pro-

duce or tag unit.

RFID Radio-Frequency Identiﬁcation

or/and Radio-Frequency Identi-

ﬁcation and Detection

Risk (s) The probability of unpleasant

event (s) happening.

SSCC Serial Shipping Container

Code.

System &

Process(es)

A system is the summation of

all processes capable of accept-

ing multiple situations without

variations. Must be within lim-

its to be under control. Pro-

cess(es) mean all methods,

various means also, with re-

quired competences, and tech-

nologies transforming inputs

into

outputs with a

value added:

including material as well

as information. If, integrated,

means internally and with part-

ners externally within the food

chain of interest.

Traceability:

Ascending/

Upstream

Ability to ﬁnd all steps for a

given lot of ﬁnish product, up

to retail clients per se, the com-

plete history up and down to the

origin of all raw materials in-

cluding packaging/ingredients.

Many times call or refer to

Trace or Tracing Back:If,Iam

the processor, Level ‘‘0’’.

Traceability:

Descending/

Downstream

Ability to retrieve all steps for a

given lot of ﬁnish product; the

complete industrial utilization

and its global distribution from

its fabrication. Many times call

or refer to Track or Tracking:If,

I am the processor, Level ‘‘0’’.

Traceability:

Proximity/

Internal

Ability to use mass balance and

time stamp on continuous or con-

trolled production batches. With

my MRP and ERP (material

resource/enterprise resource re-

plenishment planning) we mea-

sure the state of optimization or

1032 PRODUCT QUALITY AND INFORMATION TRACEABILITY

not. One can use statistical prob-

ability, on that machine and that

lot produced to provide infor ma-

tion on quality, rework, incoming

recall lot, etc. Rapid information

on no mixtures of lots appended

and no breakage in trace/links

(product and pertinent informa-

tion). Requires an operational da-

tabase (DB).

Total

Traceability

Combines the proximity, mini-

mum one step backward and

step forward, plus ascending

and descending complete ele-

ments . So, one can determine

its limits of traceability in the

Food Chain. Find a package with

its ID and the right information.

TRU Traceable Resource Unit for

batch and batch process, de-

cided by system designer.

UCC Uniform Code Council. It is

based in the United States of

America. Uniform Code Council

jointly manages EAN.UCC sys-

tem with EAN.

Looking at Figure 1, one can see the multiple, mini-

mum, required components or elements (16) to construct

an in-house traceability system as complement to any QA

and HACCP systems. Sharing and retrieval of pertinent

information ‘‘a step backward’’ and ‘‘a step forward’’ were a

minimum.

Schaeffer and Caugant (3) presented in a practical

guide the deﬁnitions, the applications, and the limits of

traceability. The main interests were the communications,

the commercial impact, and the usefulness, as a multi-

function tool. Also, the guide is well-detailed with

schematics, a glossary, and questions. A step-by-step

methodology to build an internal and total system for

the producers or the enterprises was presented. Examples

were included.

AFNOR (4) was a soft-cover document that guides you

through agri-food sector speciﬁc clusters or ﬁle sector. You

ﬁnd Good Manufacturing Practices (GMP) for the vegeta-

ble quality-model for reciprocal commitment between

producers and organized production. It included identiﬁ-

cation and traceability; and the case for fresh potato

production GMP and reception/delivery acceptance GMP

was described to the reader. Finally, bar-coding operation

and speciﬁcations/symbology RFID principles and opera-

tion were discussed.

Viruega (5) wrote a challenging book composed of three

main segments: (i) evolution of traceability from 1960 to

today; (ii) tools and methods, including an exhaustive

terminology section; and (iii) ‘‘Market for Traceability,’’

hybrid competence, and new perspectives. A new domain

by itself for the 21st century was born!

Datamax (6) introduced, full traceability for the Eur-

opean fruit and vegetable supply chain. It was based on

the well-structured and recognized European Article

Numbering (EAN) family for products labeling to all

points: grower/packer, shipper/logistics, and retailer le-

vels. Food safety was deﬁned as global concerns. The main

thrust was toward GMO contamination, food-borne ill-

ness, and bio-terrorism threats. Minimum information

available was speciﬁed for retail, shippers/logistics, and

farmer/producer point. Schiefer (7), reviewed traceability

and certiﬁcation on quality assurance systems and major

initiatives on policy agricultural groups and industries.

The infrastructure was based on a large number of small

production enterprises (farmers). It was a good tool to gain

or ensure trust and certiﬁcation. The EAN International

Fresh Produce Traceability Guidelines: 2001 (8) was pre-

sented and aimed at proposing a common approach to

tracking and tracing produce by means of EAN.UCC

internationally accepted numbering and bar coding.

They deﬁned the minimum requirements, and they accu-

rately and timely identiﬁed products, origin, locations,

with efﬁcient recall. It was recommended to use common

identiﬁcation and communication standards. Pilot pro-

jects were completed in Belgium, Namibia, New Zealand,

South Africa, and Spain. There was also a Bahamas

supply chain traceability guideline. Additional informa-

tion, the direct web access site, can be available under the

correspondent reference number.

CPMA/PMA (9) was referred as a guide (edited in

March 2005) to implementation, between PMA (US) and

CPMA (Canada) Associations. It included an executive

summary, data, and elements for traceability with two

Vehicle

Packaging +

Raw material

+ Ingredients

Product (4) as in Raw, in Progress,

as Finish and in Logistic unit

with unique Code Identifier

Doyon, Lagimonière &

Veilleux, 2008

Environment:

Processes +

Procedures

Time stamp

LInks...

Site or

Location

DataBase

(DB)

LOT ID

Figure 1. Multiple basic traceability components (16).

PRODUCT QUALITY AND INFORMATION TRACEABILITY 1033

functions: mandatory and optional data. Mandatory en-

compassed two types: (a) master data that seldom change

and (b) transactional data. This was in accordance with

Can-Trace data standard. Data elements across

the supply chain were divided into primary producers,

processors, wholesalers, and distributors/retailers, includ-

ing data to collect, to keep, and to share. Implementation

approaches were (i) paper-based and human-readable;

(ii) automatic-technology-based (bar codes) and (iii) based

on RFID. The 10 best practices were also summarized.

Additional information at the direct web access site can

be available under the correspondent reference number.

Can-Trace (10) was a collaborative and open initiative

committed to the development of traceability standard for

food products in Canada. A second version of the Canadian

Food Traceability Data Standard would be available by

the ﬁrst half of 2006. GSI Canada was the initiative’s

secretariat, the mission being to deﬁne and develop mini-

mum requirements based on EAN.UCC system. Also, it

offers global traceability information and links.

EAN.GENCOD (11) was a guide published in 2001 to

act as common reference document for implementing

traceable system between partners in a supply chain. It

was composed of deﬁnitions from ISO-8402 with many

explicit ﬂows of information diagrams. It was composed of

several chapters: traceability structural factors: essential

issues, principles, and options; description of a traceability

system; the implementation of it; conclusions; and case

studies; also a bibliography, appendices, and a glossary

are presented. Additional information at the direct web

access site can be available under the correspondent

reference number. EAN International (12) discussed a

traceability management tools for agriculture, food, and

beverage products as well as GS1 2006. The global trace-

ability standard included supporting visibility, quality,

and safety in the supply chain. The documentation from

GS1 provided (a) global standards for bar coding, (b) global

standard for electronic business messaging, (c) environ-

ment for global data synchronization, and (d) global

standards for RFID-based identiﬁcation. This was applic-

able across the supply chain. This new standard can be

integrated with previous operational and detailed guide-

lines. Also, important was the new tools to view and

navigate with the GS1 XML 2-02 language. Additional

information at the direct web access site can be available

under the correspondent reference number.

Furness and Smith (13) described the urgent need to

harmonize a wide range of methods for identiﬁcation and

management of food entities. Here the individual stake-

holder uses his own methods. It was critical to develop

generic framework for all. The framework was explained

in detail. The standardized approach was the EAN.UCC

standards and guidelines.

Doyon et al. (14) put emphasis on terminology and

deﬁnitions generally recognized in North America and

with ISO-8402. Great discrepancies existed for lot deﬁni-

tion and its understanding. Reliability, perception of value

from the client, and probability of failure in the future was

linked to spread of recall. Components of internal ﬂow in

processing and minimum components of trace system

were schematized in color images.

Moe (15) explained fundamental features of traceabil-

ity and adopted also the terms of ISO-8402. He added up

four distinct contexts with different implied sense: pro-

duct data, calibration, information technology (IT), and

programming. He included a step, a chain, a product, and

case entities with its essential descriptions and subde-

scriptions. He introduced also the TRU (Traceable Re-

source Unit) deﬁnition. Interesting reﬂection on chain

versus internal traceability with their respective advan-

tages was a good selling tool for both newcomers and

professionals.

Food Traceability Report (16) This electronic press

letter was ﬁrst edited by CRC in 2001. Key words on

traceability up to 2007 generated 200+ hit documents.

Very informative news and events were available. It

required a paid fee for access. Additional information at

the direct web access site can be available under the

correspondent reference number.

Virue

ga (17) described 10 good reasons and ﬁve recom-

mendations following the new EC Reg 178/2002, Article 18,

effective on January 2005 from the European Community.

The International Standard Organization (ISO) is con-

tinually upgrading its quality management, food safety,

and also traceability in feed and the food chain, including

packaging basic requirements for system design.

The four main leitmotifs were (a) the new EU

obligation to prove traceability, (b) the best tool for recall

purpose, (c) an argumental tool facing regulatory frame-

work and for extended needs such as for sales, and (d) a

marketing impact relevant for suppliers’ selection.

COMPUTER MODELING: ENTITY RELATION WITH

QUALITY, DATABASE OPTIMIZATION, IDENTIFIER

INTERACTION, AUTOMATIC COLLECTION, AND

INFORMATION INTERCHANGE

Praat et al. (18) mapped fruit quality using supply chain

information in Australia and New Zealand presented the

basic tools of GMP, discussed product quality attributes

using (a) electronic tags, and (b) near-infrared for Brix and

dry matter, and discussed geographical information (GIS).

Results of combined technologies were promising for

orchard fruit mapping, and as well important for trace-

ability proof.

Jansen-Vuller et al. (19) showed their approach to de-

sign information systems for traceability of food based on

Gozinto Graph modeling of goods ﬂow—that is, from raw

materials to end product. Graphical data are translated

into reference data model that shall become the foundation

for

designing

information system. The bill of lots provided

the necessary information to determine the composition of

a material item out of component items. The system can be

used to recall items and also to certify product quality. Very

important was its capacity to adjust production process to

ﬁne optimization. The van Dorp thesis (20) discussed

reference-data modeling for tracking and tracing, de-

scribed its application, and described how to establish

functionality within an object system. Three questions on

reference models were targeted: (i) What are the expected

advantage of using reference models? (ii) Which examples

1034 PRODUCT QUALITY AND INFORMATION TRACEABILITY

can we obtained? and (iii) On which elements of reference

models do we focus? Research challenges and approaches

were delimited. Four reference-data models were con-

structed and carefully elaborated. The cases included

slaughter facility, food processor, a leather producer, and

a pharmaceutical manufacturer. The models successfully

allowed for the registration of historic relations between

lots and batches, the registration of operations on lots and

batches, the registration of associated operation variables

and values, and, ﬁnally, the registration of capacity units

on which operations were executed. From the industrial

models, a reference-data model was constructed with

success. Raynaud et al. (21) speciﬁcally compared govern-

ance of supply chains when a private brand assured

quality to chains, and where ofﬁcial certiﬁcations assured

product’s quality for customers. In seven European coun-

tries the study was conducted on a set of 42 cases studies in

the agri-food sectors: processed meats, cheese, fruit, and

vegetables. They concluded that the relation between

quality enforcement mechanisms used in transaction

with consumers and the governance of the vertical chains

were different. Following a transaction cost economics

(TCE) framework, they argued that ‘‘different quality

enforcement device should be aligned with different gov-

ernance of the supply chains.’’ For many transactions, they

were able to evaluate dominant governance structure.

Finally, we were closer to a hierarchy-like mode of govern-

ance in cases where reputation is the main quality factor,

whereas market-like governance was more relevant in

case of public certiﬁcation.

Smith (22) described a computer approach ‘‘Re: Trace’’

to address the reception and quality control data for

pallets tracking from ﬁeld/grower to supplier, importer,

and packing house to the ﬁnal destination, the customer.

Bar coding was combined with email and radio data

terminal (hand-held). A new product and new company

was created ‘‘Safe track.co.uk’’. The integrated database

collected data for every links in the chain.

Da Silva et al. (23) demonstrated a solution for exchan-

ging large quantities of data between retailers and suppliers

in order to guarantee safety and quality of Portuguese

market of fruit and vegetables. They proposed a new

information system architecture. This, integrated well

with ERP and support administrative functions through

internet.

TRACEABILITY TOOLS: AUTOMATIC DATA COLLECTION

(ADC), AND IDENTIFICATION SYSTEM (AIS),

TECHNOLOGIES, SENSORS WITH COMPUTER (PC) AND

CONNECTING LANGUAGES FOR UNIFORMITY IN

TRANSMISSION

Traditional manual entering of data into computers, or

handheld assistant, involved manual keying (MK) the

information, collecting them on sheets of papers, and,

ﬁnally, a drafted version report. It was unfortunate, but

the error-prone ratio of characters entered this way was

1:300. If double veriﬁcation occurred, then, automation of

the collection with proper identiﬁer and tag id and/or any

other automated systems means (i.e., artiﬁcial vision,

optical ﬁber, etc.) was required.

Doyon et al. (24) described the importance and the

multiplicity of technologies besides BC and RFID to collect

data and identiﬁcation without manipulations. They were

2D (optical character recognition) symbology, smart card,

machine vision, and biometric as the most current. Main

logistic identiﬁers were GLN and GTIN; also, newly

Reduce Space Symbology (RSS) was showing potential.

Of great interest was the work of Opara (25); in his

paper he discussed the advancement in information tech-

nology (IT) and communication technology (CT) for data

capture, storage, retrieval, nondestructive testing and

geospatial science; he also discussed genetic analyses

(DNA), nanotechnology for miniature machines, and, ret-

inal images.

Tracking genes from seed to supermarket—techniques

and trends—was reviewed by Auer (26). This was aiming

at tracking plant genes as GMO (genetically modiﬁed

organism) during pre-commercialization research and

post-commercialization detection, identiﬁcation, and

quantiﬁcation. A glossary and a comparison of principal

laboratory techniques used were presented. Also a case

study for beets was detailed. Science and policy challenged

laboratory techniques, and labeling had an impact. Major

critical areas were in the creation of standardized and

validated methods and protocols.

Also vital were Pervasive Computer Technologies

(PCT) with incredible interactions of sensors and portable

devices and handheld (HH) to improve life quality and

support adaptive structure anywhere (27). Additional

information, direct web access site, was available under

the correspondent reference number. In that same line of

thought, Heinrich and Betts (28) had that vision to trans-

form and adapt process creating interactive business net-

work. Additional information on the direct web access site

was available under the correspondent reference number.

Giacomini et al. (29), in their paper on traceability by

cooperatives, described the use of bar code technology,

scanners, and LIMS (laboratory information management

system) for quality control of plant residues analysis. Cost

analysis was also included in the document.

Recent work by Rieback in Amsterdam Vrije University

precluded serious danger for unprotected RFID systems.

Information and educational material were provided in the

web sites (30). Additional information on the direct web

access site was available under the correspondent reference

number. Nobel (31) described some potential and limitations

in RFID . Revenue for 2006 would exceed $3.2

billion US a

$9 billion by 2009. The success would depend on ﬁnding

popular applications beyond retail distribution.

Boucher-Ferguson (32) mentioned many hurdles that

remained to be resolved, such as lack of international

standards, lack of return-on-investment (ROI) models,

and the need to upgrade infrastructure to support RFID.

The average price for tag was 25–30 cents US but would

fall at 9 cents a clip.

Terry et al. (33) presented the application of biosensors

to fresh produce and the wider food industries. Principles

of biosensor technology were detailed and also deﬁned. In

general, the objective was to convert a biologically induced

PRODUCT QUALITY AND INFORMATION TRACEABILITY 1035

recognition event (i.e., enzyme, antibody) into a detectable

signal via a transducer and processor. The end result was a

display depicting both the presence and the concentration

of the target analyte. Electrochemical, calorimetric, opti-

cal, acoustic, immunosensors, sensor arrays, and whole

immobilized cells (usually bacteria) as recognition element

was also described. The ﬁeld is open for improvement of

QC methods on fresh produce. Under tabulated format, we

have described the range of analytes detection for produce

and other food matrices. Future technology development

and global food analysis market were discussed.

Wang et al. (34) provided an overview on recent devel-

opment of wireless sensor technologies standards for

communication. They discussed advantages and obstacles

that prevent fast application adoption. They presented

future trends and, in particular, high demand for food

quality, health beneﬁts, and safety. We are now in a

ubiquitous computing age!

Kamoeka et al. (35) provided the setting up of sensing

devices in combination with information system (data-

base) to monitor quality at farm level in Japan. The

standard language was XML. The produce under study

was tomato plant, spinach, and lettuce under nondestruc-

tive testing with laser-induced ﬂuorescence (LIF) and soil

moisture by near-infrared (NIR). The database system

was with Java Applet Typed analytical tools for color,

shape, and spectroscopy. The Bio Information Exchange

(BIX) system seemed to have potential for traceability of

produce, ﬁeld, and quality.

Golan et al. (36), in their investigation into traceability

baseline in the United States, ﬁnd that private sector

ﬁrms had a substantial capacity to trace. The private

sector had developed a number of mechanisms to correct

problems: They used contracting out, third-party safety/

quality audits, and industry-maintained standards. Ben-

eﬁts and costs were delimited and varied across indus-

tries. The studies covered fresh produce, grain, and

oilseeds as well as cattle and beef; selected milestones in

U.S. traceability requirements for foods were closing the

report. Additional information in the direct web access site

was available under the correspondent reference number.

Carantino (37) presented RFID as a promising tool, still

limited by the price. Its application areas are industrial,

logistical, and distributional. They allowed for reading

and writing from very close to long distance. The pioneers

are Wal-Mart, Tesco, Metro, and Carrefour in France.

RFID has allowed the knowledge of the exact location of

products into warehouse. Efﬁciency improved 12–17%,

stolen goods were reduced by 11–18%, and products

availability improved 9–14% following Future store and

Metro trials. Tag prices are still an important limiting

factor, and the dead zone in reading capability in shelves

were of concern.

Anonymous (38) described the acceptance of GSI stan-

dard to harmonize logistical traceable practices, and

equally important was interoperability of electronic data

transmission. Therefore, pallets identiﬁcation was with

EAN-128 and notice of expedition, EDI. The codiﬁcation of

logistical unit was with SSCC (Serial Shipping Container

Code). All product codes (trade units) were with GTIN

(Global trade item number).

Osborne (39) reported that the e.centre, the UK author-

ity for EAN-UCC system, celebrated its 25th anniversary.

It was the champion of open standards. The main struc-

tures were the bar codes and computer-to-computer mes-

saging. He maintained that the fresh produce supply

chain channel had changed and was stabilized. In Europe,

the large supermarkets were the biggest customers of

fresh produce, with 79% of the whole market in 2001.

Among six types of identiﬁers, the three most relevant

were GTIN, GLN, and SSCC. Business electronic language

was still EDI and XML. One remaining major concern was

fresh produce individual coding and bar coding. Currently,

retailers used PLU system. In North America, one poten-

tial solution was in small bar code or RSS (reduced surface

symbology or databar) application. The cost–beneﬁt ana-

lysis (CBA) was performed for 100 U.S. supermarkets: The

savings resulting was from reduction in labor, improved

inventory, and improved control would reach $2.3 million.

Scanning, scale, and software equipment under two years

old could also be upgraded around $2500 per store.

Schwa

gele (40) and Smith et al. (41) both reviewed

papers from European and U.S. traceability perspectives,

respectively, on feedstuffs and on processed meats for

human consumption. Respective regulations, technolo-

gies, terms, and deﬁnitions were presented, and a compar-

ison between countries regarding identiﬁcation and trace

system compliance locally, nationally, and internationally

was reported in a daily newspaper. Governmental agen-

cies were involved to minimize product recalls and make

crisis protocols more effective in any event. Overall,

traceability was becoming an integral feature of markets

for all foods, and the application of biosensors (immuno-

electrodes and optical ﬁber biosensors) was even more

present. Computer modeling and risk assessment were

being used to predict risks and better controls to protect

human health.

Kleist et al. (42) described in detail into RFID basics,

data transport layers, EPC and smart labels, industry

initiatives, deployment models, case analysis; and proof of

concept.

Finkenzeller

(43) showed the

fundamentals and appli-

cations of RFID. Physical and operating principles of

systems were detailed. Applications examples with mar-

ket potential were reviewed. Palmer (44) and Ash et al.

(45) were two technical commercial application-driven

documents that, educated scientiﬁc and nontechnical peo-

ple to bar coding reading, printing, speciﬁcation, and

application. They included excellent photos, presented

symbology explanations, and is taught how to be success-

ful in Bar Coding.

CONCLUSION

A large portion of the references in the ﬁrst part dealt with

food quality assurance, GMP, HACCP, regulations, and

food safety, including risk analysis and management.

In the second part, software modeling (entity relation

for database and tracking) was in development in combi-

nation with identiﬁcation (AIDC) BC and RFID mainly

and GPS-GIS; ﬁnally, the most common of commercial

1036 PRODUCT QUALITY AND INFORMATION TRACEABILITY

e-language were EDI and XML. The most favorite medium

with personal computer (PC) and personal digital assis-

tant (PDA) was the Web. Information structures proposed

by EAN-UCC guidelines are showing the path. Looking at

traceability family principles, deﬁnitions, and related

terminology, the most interesting data where we have

concensus are the following: ascending, descending, total,

and integrated traceability. International Standard Orga-

nization (ISO) is continually upgrading its quality man-

agement, food safety, and also traceability in feed and the

food chain, including packaging basic requirements

for system design. The linkage is clear between ISO-

8402 (1994), ISO-9001: (2000), ISO-22000 (2005), and

ISO-22005 (2007) (46–48). Besides manual keying and

written instruction, AIDC technologies were presented

with some practical cases. Very little data or no informa-

tion were available on advantages and costs related to

traceable technology, training, and selection choices. And

ﬁnally, a new updated 2006 version of the GS1 Global

Traceability standard is for everyone. In many cases,

packaging is the support for most identiﬁer application

on or within the material itself. Finally, packaging unit or

entity remains a vital component of traceability in quality

assurance for successful long-term trade.

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