Can you have traceability without serialization?   I’d say it depends on what granularity you want. For instance, you can’t have case-level traceability without case-level serialization – the application of a unique serial number on each case.

Traceability initiatives want GTIN + Lot Number, but no serial numbers

There are several current industry initiatives for traceability in North America which are, in part, including GS1 bar code requirements.  These recommend incorporating two main components into the bar code: GTIN and the Lot Number.  In at least one initiative, a date code is also required.  Most plans exclude or even discourage the use of serial numbers at the case level.

People involved in setting the standards and consulting with the industries involved have told me that while serialization at the case level would be desirable and will likely be adopted in the future, it’s probably too big a step at this stage.  That’s unfortunate, I think.

I agree that implementing GTINs and Lot Number bar codes is a good step forward, and it’s better than doing nothing.  This will give a level of traceability – to the lot.  But I believe that there are significant benefits to going one step further – to the case.

GS1 case serialization has been around for awhile

Case-level serialization with GS1 bar codes is by no means a new thing.  Meat and poultry companies in Canada were required to supply Canada’s largest grocery retailer with GS1-128 (formerly UCC/EAN-128) bar codes for random (catch) weight cases already back in 1993. Most of these companies implemented serial numbers in the bar codes.  Each case iss individually processed and has a database record applied to it.

Below are scanned samples of serialized case bar code labels from years ago incorporating the following GS1 Applicator Identifiers (AIs):

(01) GTIN

(13) Pack Date  – could instead use (11) Production Date, (15) Best Before Date, or (17) Receive By Date

(3202) Weight in kg to 2 decimal places – could instead use (31xx), where 31 is weight in lbs to xx decimal pts

(21) Serial number – up to 12 digits to stay within the maximum total 48 digits for the entire bar code

With 17 years of experience with case-level serialization using GS1 bar codes, including sitting on the bar code sub-committee for GS1 Canada (formerly ECCC) back in the mid-1990s, I’d like to share a few points about why I believe case-level serialization is a good idea.

Case-level serialization will

• Help isolate supply chain issues from processing, or production issues.

- For instance, a storage-related problem (such as inadequate cooling) would affect only products in that location, not an entire lot.  With just the GTIN and lot number, there would be no way after the fact to determine which affected cases had been in that location.  Using serialized cases with a warehouse management system that supports them will offer you this capability.

• Give more granular traceability than by the lot:

- With case serial numbers, you can track every movement, location, and each transformation or co-mingling event performed – for complete, detailed traceability.

• Enable trace-back to production details: line, time, etc.

- You will know with precision which items were produced from which production source, and at what time.  You will be able to contain problems to a more precise level.

• Offer increased flexibility in pallet handling

- You will be able to accurately track multiple SKUs and/or lots on a pallet.

- By scanning just the serialized pallet label,  you will track all the individual cases as well.

• Support 100% verification of items shipped

- You will be able to associate specific cases with customer shipments – i.e. know exactly which cartons were shipped on which order.

- Due to each and every carton being accounted for, you will be able to identify lost product accurately due to issues such as loss or theft.

• Prevent duplicate scanning and avoid quantity errors. Without serial numbers at the case level, a person will
  1. not know if a bar code has been scanned already and may accidentally scan the same case twice, causing a quantity error.  With serial numbers, the scanning system will detect that the case was already scanned and either ignore the duplicate scan, or alert the person that the case data was already captured.
  2. either be prompted to type in the quantity of cases of that SKU (leading to potential quantity errors), or be tempted to scan the same bar code several times to match the quantity that is believed to be on the pallet (also a source of errors).  With serial numbered cases you will avoid these problems by forcing the operator to scan each case on a mixed SKU pallet, ensuring better accuracy.

• Enable detailed aged inventory by location and better stock rotation

- You will be able to see in the warehouse management system the specific cases that are approaching expiration, showing the specific locations of those products for easy retrieval.

- Product age can be more precise than by the lot – for example, by time – so that even within the lot, you will be able to identify older products.  This is helpful particularly with the produce industry due to the perishable nature of its products.

Use the printing step to your advantage

You can take advantage of the label printing step by performing the following functions:

• Monitor production with a printing system that also offers real-time visibility of what’s printed
• Tie in your orders and production scheduling with the printing solution
• Use the printing process to record and build into finished goods inventory
• Build pallets off the printing process or production line automatically without the need to scan each case, since that data is already captured.

The downsides of case-level serialization are minimal

From a cost perspective, since all cases will be labeled, there does not need to be additional cost to add serialization of cases other than perhaps due to a slightly larger label.

Obviously there needs to be printing and scanning/inventory systems that support case serialization.  But such systems already exist, although they are not altogether common.  Less than 5% of Warehouse Management Systems (WMS), for example, can handle serialized cases.

Data storage is cheap

There’s no need to worry about the amount of data storage required.  And with the extra data comes a wealth of information that can really help a company manage its business better and achieve complete, detailed traceability. Without that data, however, traceability will be limited.

While there are relatively few software solutions for product tracking that can support serialized case tracking, industries can look to meat and poultry solution providers who have successfully implemented solutions with case-level serialization for a number of years.

The good news is that there are also initiatives that are pursuing serialization

Serialization will happen.  There is a lot of development in this area.  For example, the SGTIN (serialized Global Trade Identification Number) will support item level serialization.  RFID will further drive serialization.  It’s my prediction that the industries not currently pursuing the precision of serial numbers at the case level will eventually get on board with it.  It’s just a matter of time.  The forward-thinking companies will adopt it sooner when they understand the benefits to their own organization.