GB/T 43268-2023Imported cold-chain food traceability - General rules for traceability system (English PDF)

Foreword

This document was issued on 7 September 2023 by the State Administration for Market Regulation; Standardization Administration of the PRC and takes effect on 1 April 2024.

It is a GB/T standard: recommended rather than compulsory, but it is the text a Chinese reviewer applies when assessing a submission.

1 Scope

GB/T 43268-2023 sets the general rules for the traceability system covering imported cold-chain food in China. The system was built quickly in 2020, when frozen imports were treated as a route by which infection could enter the country, and it has stayed because the underlying problem is permanent: a container of frozen product passes through a foreign plant, a ship, a port, a cold store and a distributor before reaching a consumer, and when something is found wrong the question is how far it has already gone. The standard sets the overall requirements, the traceability process, the key elements to be captured, the implementation of the system and its management, with a normative annex giving the construction scheme for the traceability code and an informative annex with worked examples. It took effect on 1 April 2024.

This document specifies the overall requirements, traceability process, key elements,

implementation, and management of the traceability system for imported cold-chain

food.

This document applies to the establishment and implementation of a traceability system

for imported cold-chain food.

2 Normative references

The following referenced documents are indispensable for the application of this

document. For dated references, only the edition cited applies. For undated references,

the latest edition of the referenced document (including any amendments) applies.

GB/T 7027-2002, The basic principles and methods for information classifying and

coding

GB 12904, Bar code for commodity -- Retail commodity numbering and bar code

marking

GB/T 15425, Bar code for commodity -- 128 bar code

GB/T 18284, QR Code

GB/T 18347, Code 128

GB/T 21049, Han Xin code

GB/T 36365, Information technology -- Radio frequency identification -- General

specifications for passive tag at 800/900 MHz

GB/T 43260, Imported cold-chain food traceability -- Requirements for traceability

information management

GB/T 43265, Imported cold-chain food traceability -- Data elements of traceability

system

3 Terms and definitions

For the purposes of this document, the following terms and definitions apply.

3.1 cold-chain

Based on the characteristics of the goods, logistics technology and organizational

systems that are used to keep the goods in the temperature environment required to

maintain their quality throughout the process from production to consumption.

[Source. GB/T 18354-2021, 5.11]

3.2 traceability system

A set of interconnected or interacting elements that support the maintenance of products

and their components throughout the supply chain or in parts of production and use,

including information such as product history, application status, or location.

[Source. GB/T 38155-2019, 2.9]

3.3 supply chain

In the production and distribution process, a network structure that is formed around

the core products or services of the core enterprise, involving raw material suppliers,

manufacturers, distributors, retailers, logistics providers, and other necessary links, all

the way to the end user.

[Source. GB/T 18354-2021, 3.8, modified]

3.4 traceability system

Based on traceability codes, document records, related hardware and software

equipment, and communication networks, an integration that enables modern

information management and allows for the acquisition of relevant data during the

product traceability process.

[Source. GB/T 38155-2019, 2.6]

3.5 traceability precision

The smallest traceable unit in a traceability system.

[Source. GB/T 38155-2019, 2.15]

3.6 traceable unit

Individual products, products from the same batch, or products of the same category

whose history, application, or location information needs to be recorded, identified, and

traceable.

[Source. GB/T 38155-2019, 2.4]

3.7 traceability code

A code that uniquely identifies a traceable unit in the traceability system.

[Source. GB/T 38155-2019, 2.10]

3.8 traceability participant

Organizations or individuals engaged in domestic customs clearance, production and

processing, packaging, warehousing, transportation, distribution, sales, consumption

(use) and other related businesses in the supply chain.

[Source. GB/T 38155-2019, 2.5, modified]

3.9 cold store

Warehouse buildings that utilize artificial refrigeration for cooling and also have

thermal insulation functions.

NOTE. This includes warehouses, refrigeration rooms, and power distribution rooms.

[Source. GB/T 30134-2013, 3.1, modified]

4 Overall requirements

4.1 The establishment of a traceability system shall be based on ensuring the quality

and safety of imported cold-chain food and domestic public safety, while taking into

account regulatory control, cost, and interoperability.

4.2 The traceability system shall cover traceability information for all links in the supply

chain, from customs clearance within the country to production, processing, and market

circulation. It shall also include recalls and emergency response in the traceability scope.

4.3 The traceability system shall clearly define the responsibilities and requirements of

traceability participant. Management and implementation documents for the

traceability system shall be developed and standardized.

4.4 All participants involved in the traceability system shall cooperate with each other

to achieve the recording, management and sharing of traceability information in key

links.

4.5 The traceability system shall fully consider the cost and benefits of system

construction, and rationally determine the traceable units based on the characteristics

and traceability requirements of the traceable products.

5 Traceability process

5.1 Traceability flowchart

The traceability process for imported cold-chain food is shown in Figure 1.

5.2 Key aspects

Imported cold-chain food generally goes through key stages such as domestic customs

clearance, domestic production and processing, market circulation, and end

consumption. It also involves cold storage, cold-chain transportation, and distribution.

Depending on the actual situation of imported cold-chain food circulation, the stages

involved may be the entire process or only some necessary stages (partial stages).

5.3 Traceability participant

The traceability participants involved in each stage of the imported cold-chain food

distribution process are as follows.

a) Domestic customs clearance. entry customs, importing companies, and customs-

designated third-party cold storage companies, etc.

b) Domestic production and processing. production and processing companies, and

companies with their own or third-party cold storage facilities, etc.

c) Cold storage. companies with their own or third-party cold storage facilities, etc.

d) Cold-chain transportation. shippers, carriers, and consignees, etc.

e) Distribution. shippers, carriers, and consignees, etc.

f) Market circulation. agricultural wholesale markets, farmers' markets, retail

supermarkets, e-commerce platforms, and other circulation companies, and

companies with their own or third-party cold storage facilities, etc.

g) End-consumer. consumers, catering companies, school canteens, etc.

6 Key elements

6.1 Traceability participant

6.1.1 It shall have internal and external traceability capabilities.

6.1.2 Key information such as customs declaration, inspection and quarantine

information, origin and destination of goods, quantity and location of goods shall be

recorded for each batch of imported cold-chain food.

6.1.3 The internal business processes shall record the events, times, locations, and

responsible persons that may affect the quality or safety of imported cold-chain food.

6.1.4 The traceability information for this step shall be recorded, collected, and

preserved in accordance with the requirements of 6.4.

6.2 Traceable unit

6.2.1 The traceable unit and traceability accuracy shall be determined based on the

characteristics of the traceable product and the traceability requirements.

6.2.2 Taking the traceable unit as the core, determine the traceability code, traceability

process, traceability participants and traceability information.

6.3 Traceability codes and identification

6.3.1 Requirements for traceability codes

The traceability code for imported cold-chain food shall meet the following

requirements.

a) The traceability code selects an appropriate coding structure based on traceability

accuracy, product characteristics, and current application status.

b) The traceability code is assigned when a traceable unit is formed or confirmed. It

shall accompany the traceable unit throughout its entire lifecycle, effectively

linking and corresponding the traceability code with its related information

records.

c) The traceability code conforms to the principles of uniqueness, rationality,

extensibility, simplicity, applicability, and standardization. The encoding

requirements comply with Chapter 7 of GB/T 7027-2002.

d) The traceability code is always retained on the product itself, its outer packaging,

or accompanying documents. If the product is repackaged or reassembled after

being repackaged (cut, split), a new traceability code is assigned and affixed to

the new packaging. The new traceability code is linked to the traceability code on

the original packaging.

e) The traceability code is associated with a unique code that includes information

such as the cold-chain facilities and equipment, personnel, and location involved.

6.3.2 Composition of traceability code

The traceability code shall include traceability entity information and traceable unit

information. It can consist of an entity code, product code, batch code, individual item

code, etc. The traceability code structure shall comply with the requirements of Annex

A. See Annex B for an example of a traceability code. The traceability code structure

shall meet the following requirements.

a) When tracing back to the batch, the traceability code includes the main code,

product code, and batch code;

b) When tracing back to an individual item, the traceability code includes the main

code, product code, item code, and/or batch code.

6.3.3 Extended requirements for traceability codes

The traceability code structure shall be scalable to meet more traceability needs. The

expansion of the traceability code shall meet the following requirements.

a) Extended information includes essential details required for product traceability,

such as origin, quantity, and weight.

b) Within the same traceability code structure, the extended code is unique.

6.3.4 Identification carrier

Depending on the actual needs, the identification carrier can be a one-dimensional

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