Role of Traceability Systems for Food Safety within Post-Harvest Systems: Indian Context

Abstract

The chapter deals with an understanding of the safety and traceability systems available for perishable food products in India. It represents various traceability standards for production, post-harvesting, pest control and product traceability. Moreover, global standards like GAP, GMP and HACCP are explained in the Indian context in a detailed way, right from production to post-harvesting of perishable food products. The drivers for the traceability system and the lack of infrastructural facilities that drags behind the proper implementation of traceability system in developing and vast nation like India has also been discussed. Finally, a recommendation has been made to the supply chain players in the food supply chain for the implementation of proper safety standards so that traceability and safety guidelines can be followed to meet the global standards in the Indian context. The conclusion part explores the digital advancements in India that are the driving force of the food traceable ecosystem.

1. Introduction

An organized system for tracing food production and improving food safety is the need of the hour for a country like India. The focus should be more on the need for the system in the perishable channel, board profile, food security act, management systems and guidelines to the key players. Consumers, governments and agribusiness firms always need a proper system for maintaining food quality. Every consumer expects good quality of food for the single rupee he spends [1]. It has been noticed that perishable food product meets the risk-based performance and process criteria attached to specific hazards, and also it contains hazard at levels that are harmful to human health [2].

In the channel of food distribution, traceability is a well-coordinated and well-documented movement of product and documented activities associated with the product, that is, from the producer, through a chain of intermediaries and then to the final consumer. As far as proper supply chain management is concerned, food traceability and quality are like its two eyes, as it helps to provide clear and transparent information in the chain. Food quality can be viewed from the availability of food, access to food and food absorption aspects. Availability of food deals with production and distribution of perishables. Access to food compacts with purchasing power and being able to assimilate the food consumed in order to live a healthy and long life; which is meant as food absorption. If food is not completely absorbed by the body, even if it is readily available and inexpensive, the goal is not served. Thus, the issues in food quality are the deficit or surplus of food production in relation to actual and expected consumption; which is followed by the level of staple food intake and calorie intake at the average level; then comes the effect of urbanization and food deficits on the food intake and finally the role of the public distribution system (PDS) in improving the availability and affordability of food in urban areas, respectively. Vepa et al. (2004) [3].

2. Factors affecting the quality of perishable produce

Due to the significance and need of customers for quality consideration of perishable produce, traceability issues in the food supply chain occur. This section explains the variables that affect the product’s quality [4]. They are

• Bulkiness of products

• Quality variation of products

• Temperature variation

• Usage of pesticides

• Material handling practices

• Post-harvest technique used

• Impact of controlled atmosphere

• Impact of microorganism

• Physiology and Biochemical reactions

• Seasonal variation

• Availability of cold chain channel

• Size of operational holding

3. Drivers of traceability

The drivers of traceability can be broadly classified into two main types – hard driver, and soft driver traceability requirements [5]. Hard traceability criteria are those that either local or foreign marketers of perishable goods must adhere to in order to fulfill legal or contractual responsibilities under international trade agreements [6]. While soft requirements may not restrict commerce, they can have a big impact on the economics of specific supply chains. These can involve enhancing supply chain efficiency, adapting to shifting consumer demands, or addressing demands from other parties like importers or merchants. The following are the key drivers of traceability:

1. Production standards: These are standards that are being used as an assurance service to customers, and also as competitive points of differentiation. The outcome of such activities is the development of minimum production standards and good agricultural practice (GAP) protocols, GMP protocols, which are discussed in detail in the latter part of the chapter. Precision agriculture is another standard that involves the capture of spatial, temporal and quantitative information on production activities, such as spraying or fertilizer applications as well as crop quality and production measurements [7].

2. Quality Assurance: The growing need for secure track-and-trace systems for international trade is due to traceability criteria that must be met in order to transact business across international borders. Localized or smaller-scale worries about various food dangers, such as microbial, physical, and chemical dangers in the food supply, further erode consumer and merchant trust. The major consumer concern [8] in this area is the use of agrichemicals and the possible existence of high levels of pesticides in fruits and vegetables. The Government of India has regulated food industries under the Food Security Bill 2006. HACCP is also a certification standard which gives quality assurance to customers.

3. Customers: The Urban population is ready to pay more if the perishable product they buy is quality assured, safe and sustainable. At this level, individual supermarkets or branded marketers require traceability systems that deliver information, and products that support a particular business’ market positioning. The information from the customer must be tracked by the retailer and should be sent to the producer.

4. Chain communication: Traceability data can be used by supply chains for a variety of purposes, one of which is to satisfy internal operational and performance improvements, giving them a commercial advantage. As openness rises, the many information exchanges between businesses made necessary by some traceability regulations may also have positive knock-on effects for the entire chain. Transparency improves vertical supply chain integration, which results in an effective food supply system [9].

5. Feedback to producers: Systems of traceability exist to give producers feedback. Most post-harvest systems entail a grading and sorting procedure. Each piece of food is individually measured before being sorted and graded. It is possible to give producers feedback on the overall quality, variance in quality, and yield across their farm by tying the quality information gained from sorting and grading to the individual bin or trailer and going back to a specific orchard location.

4. Safety and traceability standards

The capacity to backtrack and use recorded data to track an entity’s history, use, or location based on some special identity within a business entity is known as traceability. Van Rijswijk and Frewer (2008) suggested that a useful extension to this definition is, to include the movement of products between businesses. Based on the demand for quality produce, few standards are followed for the assurance of quality to the customers [10]. This section deals with the standards that could be implemented in the food supply chain, based on four basic types. They are based on the production system, based on the post-harvest system, based on pest control and based on product (Figure 1).

Figure 1.

Block diagram of different standards to be followed in chain process.

4.1 Production system traceability: Gap standard for perishable produce

The traceability of production and post-harvest activities involves, providing information on GAP activities, linked to the production process. It also provides information on the use of fertilizers, pesticides, and water, as well as social considerations such as labour conditions [11]. Information collection will likely expand to include evidence of sustainable production systems and energy efficiency.

Consequently, food retailers and customers have forced growers to follow certain growing practices that could lessen the microbial contamination of the perishable product. Many farmers in developed and developing countries apply GAP through sustainable agricultural methods, such as integrated nutrient management, conservation agriculture and integrated pest management. According to the Food and Agriculture Organization (FAO), Good Agricultural Practices (GAP) is the application of available knowledge to address economic, social sustainability and environmental [12]. It also emphasizes the need for the development of on-farm production and post-production processes, resulting in safe and healthy food and non-food agricultural products. The important functions of GAP are as follows:

1. Risk evaluation

2. Guarantee to food safety at verticals

3. Preventing issues before they arise

4. Information sharing along the vertical and horizontal integration

5. Compulsory training at various operational level

6. Sanitation in equipment and in field

7. Pest Control through integrated approach

8. Monitoring and control

9. Verification by unbiased, outside audits

10. Upholding GAP Workbook for Self-Audit

The scope for Good Agricultural Practices starts from the selection of the site by a farmer, till the perishable produce is post-harvested. In the following section, a summary of the rules to be followed by farmers for quality output is listed.

1. Pre-Planting measures: Site selection is the first process in the pre-planting measure. Land or site for fruit and vegetable production should be selected on the basis of previous manure applications, land history and crop rotation history. After the selection of site, manure handling, livestock manure and field application are essential to cultivate the soil. Proper and in-depth composting of manure, incorporating it into the soil prior to planting, and avoiding top-dressing of plants are important steps toward reducing the risk of microbial contamination. Farmers should avoid growing root and leafy crops in the year when manure is applied to a field. The long period between application and harvest will reduce risks. All planned vegetable or fruit acreage should have manure sprayed at the end of the season, especially when the soils are warm, not waterlogged, and covered with cover crops. When applying manure at the beginning of the season, it should be distributed 2 weeks before planting, preferably on fruit and vegetable crops [13].

2. Irrigation water quality: Ideally, water used for irrigation or chemical spray should be free from pathogens. Drip irrigation method should be used, whenever it is possible to reduce the risk of crop contamination, as the edible parts of most crops are not wetted directly. Farmers can filter or use settling ponds, to improve the quality of fruit and vegetable crops. If side dressing is required, well-composted or well-aged (greater than 1 year) manure should be used for the application. Plant disease levels also may be reduced and water use efficiency is maximized with this method [14].

3. Harvest: Bins and all crop containers have to be washed and rinsed under high pressure. All crop containers should be sanitized before harvest. Bins should be properly covered, when not in use, to avoid contamination by birds and animals. Good personal hygiene is particularly important during the harvest of crops. Employee awareness, meaningful training and accessible facilities with hand wash stations encourage good hygiene [15].

4. Post-harvest: Loading, staging, and all food contact surfaces should be cleaned and sanitized at the end of each day. Packaging material should be stored in a clean area. Fruits and vegetables should be rapidly cooled after harvesting in order to prevent the growth of diseases and preserve quality. The temperature of the water bath used for cooling should not be more than 10°F colder than the temperature of the produce pulp. The capacity of the refrigeration chamber should not be exceeded by overload (Table 1).

Commodity	Temperature (°F)	Relative humidity (%)
Apple	30.2–37.4	90–98
Beans, green	39.2–44.6	90–95
Cabbage, carrots, brinjal	32–35.6	95–97
Cherries	31.1–32	90–95
Cucumber	44.6–50	90–95
Grapes	30.2–33.8	85–90
Lemons, lime	39.2–59	86–88
Mango	51.8–64.4	85–90
Melon water	35.6–39.2	85–90
Orange	32–50	85–90
Potato	34.7–39.2	90–94

Table 1.

Standards followed in storing major perishable crops.

Source: FAO 2011.

4.2 Institutional standards and traceability - GMP for perishable produce

Good Management Practices (GMP), are guidelines, advising producers how to manage the water, nutrients, and pesticides they use, in order to minimize agriculture’s impact on the state’s natural resources (Raspor 2008). GMPs were developed because the agricultural activity has been linked to the contamination of watersheds with nutrients (e.g., nitrogen and phosphorus), pesticides and discharged sediments and water. The application of GMP guidelines is listed below.

• Chemical Irrigation means applying fertilizer, pesticide, or other agricultural chemicals to cropland through an irrigation system. Chemical irrigation reduces the number of passes across a field with tractors, sprayers, fertilizer applicators and machinery [16].

• Combining Tractor Operations means performing two or more cultivations, tillage, planting, or harvesting operations with a single tractor or harvester pass. Combining tractor operations reduces the number of passes or trips that a tractor.

• Integrated Pest Management means the use of a combination of techniques including organic, conventional and biological farming practices. Integrated pest management creates insect habitats that are beneficial and reduce the use of herbicides/pesticides, thereby reducing the number of passes for spraying [17]. It also reduces soil compaction and the need for additional tillage.

• Watering the soil prior to planting activities is referred to as “Planting Based on Soil Moisture.” From the time of planting to crop establishment, planting based on soil moisture is successful since it is low during the planting operation.

• Precision Farming” means using GPS to precisely guide farm equipment in the field. Precision farming reduces overlap and allows operations to occur during inclement weather conditions and at night thereby generating less PM [18].

• Reduced Harvest Activity” refers to fewer mechanical harvest passes that involve cutting and removing crops from a field. Anytime work is done in a field, the soil structure may change, and some materials may be released into the air [19].

4.3 Product traceability: HACCP

Food safety is managed using the HACCP (Hazard Analysis and Critical Control Point) approach, which is recognized globally. The Codex Alimentarius Commission has approved it [20]. It is a tool that may be used to methodically identify risks unique to particular products and processes and outline ways to control such risks to assure the safety of perishable goods [21]. In order for the HACCP Plan to be implemented effectively within the industry, Good Manufacturing Practices (GMPs) procedures that effectively control general hazards to food safety must be followed. The chain must have a structural requirement stated by GMP and operational requirement stated by both GAP and GMP. The main purpose of HACCP is to prevent, reduce and eliminate hazards in food and to provide a safe product to the end customer.

4.3.1 Principles of HACCP

• Conduct a hazard analysis.

• Identify the critical control points.

• Establish critical limits.

• Establish monitoring procedures.

• Establish corrective actions.

• Establish verification procedures.

• Establish record-keeping and documentation procedures.

The operation of HACCP in the perishable food chain is described with respect to different key players of the supply chain in the next section. In India, the aforementioned Good Agricultural Practices (GAP) are still in their infancy. Due to pressure from foreign buyers, only a small number of farmers may be engaging in it. But it needs to be clearly stated that every player in the perishable food channel is accountable for ensuring food safety from farm to fork (Figure 2).

Figure 2.

Flowchart showing process HACCP implementation.

5. Implementation plan for perishable food supply chain using HACCP in developing nations

In order for the HACCP plan to be implemented effectively within the establishment, it must be based on a firm foundation of Good Manufacturing Practices (GMPs) and procedures that effectively control the general hazards to food safety The step-by-step procedure to be followed for the standardized food supply chain is listed above.

5.1 Guidelines for certified growers

Based on the need for quality and safe produce, a few guidelines have been suggested to farmers based on the HACCP standard. The guidelines help farmers to integrate into the channel and help in the transparent flow of information. It also helps the farmers to integrate horizontally into the food chain. The following few steps are to be followed in order to obtain a traceable chain in the channel [22].

Step 1: Follow the GAP principle: This task involves providing a general description of all fresh produce, ingredients, processes and methods followed by the grower, starting from the pre-planting activity till harvesting. In this process, the grower’s day-to-day activity must be noted or tabulated on an activity table.

Step 2: Develop a flow diagram: The next process is developing a flow diagram. The purpose of the flow diagram is to provide a clear, simple outline of the steps involved in the production of the perishable produce. The diagram must cover all steps in the growing process. It is the step-by-step procedure followed in the chain, starting from the soil selection process till harvesting, followed by a grower according to GAP guidelines (Figure 3).

Figure 3.

Flow diagram for certified grower.

Step 3: Application of hazard principle: The first step is to identify the list of processes involved in growing, and list all the potential hazards that are not already controlled through Good Agricultural Practices, including the listing of procedures. The hazards should be classified based on three factors – biological, chemical and physical [23]. A possible source of hazards also must be tabulated. For example, while taking the situation of pest management, wrong sourcing, over usage, usage of banned chemicals, and improper dilution of pesticides are the potential hazards to be documented.

Step 4: Determine the Critical Control Points and Establish Critical Limits: An element, practice, procedure, process, or site is referred to be a critical control point (CCP) if it can be managed to prevent, control, eliminate, or decrease a hazard or to reduce the risk that it will occur [24]. One method of determining CCPs is to use a CCP Decision Tree. A Critical Limit is a limit to which a hazard must be controlled to prevent, control, eliminate or reduce the occurrence of the hazard to an acceptable level. It needs to be monitored to ensure that limits are met. For example, if over usage of pesticides is identified, then that process should be highlighted for critical analysis. The critical limit for the usage of pesticides must be found out, based on the scientific method and for the main crop to be considered.

Step 5: Establish Corrective Actions, Documentation and Record Keeping: Once the critical control point is identified and critical limits are identified, Corrective Actions are required. They are required when operations go out of Critical Limits, which ensure safety and suitability. Corrective Actions must identify and fix the problem, and investigate what can be done to prevent the problem from occurring again [25]. Finally, documentation and record keeping is the key to any standardization. Accurate record-keeping is essential to the application of a HACCP system, for auditing purposes, be it an own internal audit, verification procedures, an AQIS audit, or another external audit.

5.2 Guidelines for standardized agribusiness

The activities which are carried out after harvest till it reaches the final customer constitute the agribusiness. It is a long chain and the key processes involved are packing, distribution, transportation, and retailing. Organizing these functions is called vertical integration. To have an organized supply chain management in perishable produce, the effective implementation of standard process is essential. Following are the guidelines for the standardized agribusiness.

Step 1: Follow GMP principle: This task involves providing a general description of all fresh produce, ingredients and processes and methods followed by chain players starting from post-harvesting till the retail outlet. The process each key player does in his day-to-day activity must be noted or tabulated on an activity table. Series of product description and processes carried out are

• The source of the raw material

• The preservation method

• The packaging (e.g. vacuum packed, plastic liner in cardboard cartons, etc.)

• Transportation of the product (including the method of transportation)

• Storage conditions (e.g. frozen, refrigerated, at ambient temperature, etc.)

• The product standards applicable to the product (according to the Food Safety and Security Act 2006)

Step 2: Develop a flow diagram: The next process is developing a flow diagram. The purpose of the flow diagram is to provide a clear, simple outline of the steps involved in the operation of the perishable produce, from the farmer’s farm gate to the retailer. The flow diagram must cover all steps in the post-harvest, distribution and retailing process. It is a step-by-step procedure followed in the chain starting from the soil selection process till harvesting followed by a grower according to GMP guidelines.

Step 3: Application of hazard principle: Here the list of activities involved in each functionality must be identified, and all potential hazards in each process must be listed. The hazards should be classified based on three factors – biological, chemical and physical of the product. A possible source of hazards like improper grading, unstandardized material handling and over-waxing must also be tabulated (Figure 4).

Figure 4.

Flowchart showing process in agribusiness.

Step 4: Determine the Critical Control Points and Establish Critical Limits: A Critical Control Point (CCP) is arrived based on the requirement of the customer. The process which is out of control is listed.

Step 5: Establish Corrective Actions, Documentation and Record Keeping: Corrective actions are required, when operations exceed Critical Limits, which ensure safety and suitability. Corrective actions must identify and fix the problem. Accurate record-keeping makes the HACCP system effective and makes the distribution channel an efficient and effective one.

6. Conclusion

The purpose of the chapter was to understand the need for security and traceability with regard to perishable produce, to establish a proper supply chain management. Several standards which exist in the global market that are essential for maintaining the safety of perishable products have been discussed. Several definitions and principles of traceability and safety of food have been presented. An attempt has been made to draw a guideline for farmers (grower) and agribusiness that will help pursue a good traceability model. Various technologies like GPS, and RFID, are available that help to track the produce from the farm gate till it reaches the final customer, which has been briefly presented in this chapter. The traceability implementation in the chain could help to improve the quality and reduce hazards in the chain. But the costs involved in integration and implementation of technology in the diversified rural background is the challenge that exists for the government and private entities. Information system is a key driver of effective supply chain management.