Identity preserved systems a reference handbook

The section defines IP, discusses the purpose of the handbook, identifies the Association of Official Seed Certifying Agencies AOSCA, provides an overview of the seed industry and the gr

A REFERENCE HANDBOOK

Preserved Systems

Identity-C RIdentity-C PR E S S

Boca Raton London New York Washington, D.C

Dennis Strayer

A REFERENCE HANDBOOK

Identity-Preserved Systems

This handbook, written under the auspices of the Association of Official Seed Certifying Agencies, does not necessarily represent the views of that organization Responsibility for any errors or omissions remains with the author The use of product or service names does not imply endorsement by the author.

This book contains information obtained from authentic and highly regarded sources Reprinted material is quoted with permission, and sources are indicated A wide variety of references are listed Reasonable efforts have been made to publish reliable data and information, but the author and the publisher cannot assume responsibility for the validity of all materials or for the consequences of their use Neither this book nor any part may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, microfilming, and recording, or by any information storage or retrieval system, without prior permission in writing from the publisher.

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© 2002 by CRC Press LLC

No claim to original U.S Government works International Standard Book Number 0-8493-1390-2 Library of Congress Card Number 2002276806 Printed in the United States of America 1 2 3 4 5 6 7 8 9 0

Printed on acid-free paper

Library of Congress Cataloging-in-Publication Data

Strayer, Dennis.

Identity-preserved systems : a reference handbook / Dennis Strayer.

p ; cm.

Includes bibliographical references (p ).

ISBN 0-8493-1390-2 (alk paper)

1 Grain—Standards—United States 2 Grain—Certification—United States 3 Farm produce—Standards—United States 4 Farm Produce—Certification—United States 5.

Transgenic plants—Standards—United States 6 Transgenic plants—Certification—United States 7 Grain trade—United States 8 Produce trade—United States I Title.

SB189.8 S77 2002

PREFACE

The idea for an identity-preserved (IP) handbook originated in the U.S commodity grain trade The first need was seen as an effort by grain and oilseed traders to protect their own place in world trade The U.S position and ability in world grain trade was being questioned U.S grain and oilseed trading industries saw the need to take a new initiative to protect their market share in world trade Identity-preserved products were becoming much more prominent in these markets An identity-preserved system would facilitate the segregation of shipments of grains or oilseeds that are distinguishable, by some morphological, physiological, or other characteristic, from other shipments

Even though the current emphasis was centered on the genetically modified organism (GMO) issue, the long-term opportunities in identity-preserved products will develop from specialty grain and oilseed traits, whether perfected through conventional or transgenic breeding methods The U.S trade saw the opportunity (and probably a great need) to demonstrate the unified ability to provide identity-preserved crops to widespread markets

The U.S has a well-established niche marketing effort that has served specialty markets for many years Even though this effort was well established it was fragmented rather than unified Individual efforts have basically met the markets’ needs At this point in time, with tremendous growth in demand for identity-preserved products, there is increased opinion within the grain, oilseed, and specialty trade industries that the U.S needs a unified and sophisticated identity-preserved program

A proposal to develop identity-preserved guidelines, in the form of a user’s handbook that could be used

by various parties in the industries as they enter into new identity-preserved enterprises surfaced The program would need to be flexible enough to allow the development of individual company programs within the overall framework of the broader program, yet demonstrate a unified U.S effort This unified program would help to make evident to buyers and consumers that the well-respected U.S grain industry has the ability and means to deliver identity-preserved products, even in large quantities Interest in a system that was not government based, but which may utilize the services of government grain inspection agencies, seems to prevail

The U.S grain and oilseed trade is rapidly changing from commodity-based trade to value-enhanced crops that require some system of separation from their commodity counterparts and verification methods

to assure that this segregation is accurate With the availability of crops with specific value-enhanced traits it is becoming important to maintain those traits from the grower to the end user manufacturer and ultimately the consumer As the U.S grain and oilseed production and trade infrastructure moves into this specialized area, it is becoming apparent that a system of preserving the identity of these crops from farm to market must be implemented which producers all the way to overseas buyers understand

This program will be based on systems used in the seed and niche crop industries that have been in place for many years These systems are well understood by these specialty industries but have not been used within the commodity grain and oilseed industries As the rapidly expanding production of specialized crops moves from the small niche markets into trade where commodity people and facilities will be utilized, it is becoming important that these entities become aware of systems that will be demanded by end users to assure them of values within the value-chain

It is essential to develop a system of identity-preserved verification, which will allow the U.S seed, specialty crop, and grain and oilseed industries to easily provide products, which can be identified with a paper trail verifying identity, product quality, and special characteristics The handbook should be very

“user-friendly” for not only parties involved in IP trade but also people not directly involved in trade but who have concerns for product integrity as affected by identity preservation

The handbook will describe an overall IP system, which may be utilized in ways that will meet the particular needs of parties involved in specific trade agreements The system can be adapted to work with

“in-house” documentation, third-party verification, or third-party system accreditation The handbook will discuss the background of IP systems originating in the seed industry, the basics of a total IP system, and the potential electronic transfer of data and documents

IP is rapidly becoming of major importance in world trade of agricultural crops that are enhanced genetically, grown under specific conditions, or have specific characteristics, which must be identified and maintained from the seed planted to the delivery of the crop to the end user This proposal is an effort

to unify the U.S position in IP crops, to outline the protocol for IP systems, and to provide a handbook that may be used by various parties in the value-chain of this production and marketing effort As the project evolved it became much more centered on providing a reference for the development and utilization of IP systems rather than the protection of U.S trading efforts

The concept of this handbook began to emerge in 1999 as the grain trade and niche market industries recognized the changing atmosphere of world trade in agricultural products The stratifications of these markets demonstrated the need for guidelines to product segregation and traceability At first proposal the author, as a consultant, was approached to write an identity-preservation handbook for an individual company Early in the negotiation of that proposed project the company determined that the industry was really dictating an industry-wide protocol that would be acceptable by traders around the world

Approaches to commodity groups and other broad industry organizations pointed toward a very neutral party such as the Association of Official Seed Certifying Agencies (AOSCA) to provide auspices to the project AOSCA is further identified in section 1

ACKNOWLEDGMENTS:

Groups and individuals

Alan Galbraith, of Indiana Crop Improvement Association, provided

viewpoints from a third-party certifying agency’s position

Dr Arnel Hallauer, C F Curtiss Distinguished Professor in

Agriculture, Iowa State University, Ames, Iowa, provided a corn breeder’s review of technical information in biology, genetics, and biotechnology His review and comments on the entire handbook were very much appreciated

Dr Paul D Meints, Assistant Professor, Plant and Soil Sciences,

Mississippi State University, Mississippi State, Mississippi, provided insight into the technical areas of biotechnology His review of the handbook and suggestions provided valuable analysis from an academic viewpoint

Numerous Association of Official Seed Certifying Agency members from various agencies reviewed the handbook and made comments and suggestions

Broad acknowledgment:

As the concept of this handbook began to emerge it was apparent that wide audiences would best receive it if it were endorsed by some official entity Early in the planning stages of the project it was determined that the industry was really dictating an industry- wide protocol that would be acceptable by traders around the world Approaches to commodity groups and other broad industry organizations pointed toward a very neutral party such as the Association of Official Seed Certifying Agencies (AOSCA) to provide auspices to the project AOSCA is further identified in

section 1

Special

acknowledgments:

TO HANDBOOK:

This handbook is written under the auspices of the Association of Official Seed Certifying Agencies (AOSCA) This introduction to the handbook describes the goals and the handbook itself The introduction to identity-preservation in section 1 will introduce the subject in more detail and also the AOSCA organization

Goals of this handbook regarding the topic of identity preservation

• Establish a position of uniformity

• Provide a comprehensive background

• Develop the basis for uniform protocols

• Enhance the concept of a team effort to trade

• Provide industry people with a reference handbook

• Gather a wealth of information in one document

• Provide the basis for individual programs that will demonstrate a unified effort

Features of this handbook which make it important

• The handbook is generated by an unbiased, third party

• Industries involved have provided limited overview of the project to ensure that the material produced meets industry and end user needs and is user-friendly

• The handbook encompasses government regulations where appropriate but the intent should not be to generate new regulations and that if possible the identity-preserved crops industries should remain self-regulated

• The handbook educates industries to the services and laboratory facilities of various unbiased, third-party, AOSCA individual agencies

Intent of this handbook

• The handbook develops the basis for systems of identity-preserved (IP) verification, which will allow the U.S seed, specialty crop, and grain and oilseed industries to easily provide products, which can be identified with documentation, whether it is a paper trail or an electronic trail, verifying identity, product quality, and special characteristics The handbook is designed to be very “user-friendly” for not only parties involved in identity-preserved trade but also people not directly involved in trade but who have concerns for product integrity as affected by identity preservation

• The handbook describes an overall identity-preserved system, which may be utilized in ways that will meet the particular needs of parties involved in specific trade agreements The system can be adapted to work with “in-house” documentation, third-party verification, or third-party system accreditation and auditing The handbook discusses the background of IP systems originating in the seed industry, the basics of a total IP system, and the potential electronic transfer of data and documents

About this handbook For easy reference, this handbook has 14 sections divided into three parts

It also has an appendix This handbook will be an important reference

for people developing identity-preserved systems A “workbook” has been developed, for use of people working within an identity-preserved

system, which is basically one section of the handbook

How to use To begin, please read the first three sections, or Part I This gives a good

background and an overview of identity preservation and some important concepts and terminology that will be basic to the rest of the handbook Part II is briefly described on the next page and works through the considerations important in developing an identity-preserved system This part completes an analysis of the development of a system

Part III covers several separate related topics that you can pick and choose for reading, without concern for order

Introduces the topic of identity preservation and provides discussion of background to build a base for the handbook itself The section defines IP, discusses the purpose of the handbook, identifies the Association of Official Seed Certifying Agencies (AOSCA), provides an overview of the

seed industry and the grain and IP industries

Section 2: Crop differentiation: Self-pollinated crops versus

cross-pollinated Provides background basic to field production of

crops as related to crop pollination methods The pollination method or flower type for each crop influences the potential contamination by outside pollen

Section 3: Basics of an identity-preserved (IP) system Details the

basics as well as the theory behind an IP system More details of the system itself and mechanics will follow later

Section 4: A complete value-chain IP system Details the

development of a complete IP system, based on theories presented in section 3, for the entire value-chain for an IP product This section is almost a “stand-alone” handbook for

an IP system, without some of the background and support materials presented throughout the rest of the handbook

Section 5: Mechanics and economics of IP systems Reviews how an

IP system works and briefly overviews the economic considerations from a more application oriented or operational point of view A “workbook” approach is introduced as section 5a

Section 6: Inspections, sampling, and testing Introduces the

additional inspection, sampling, and testing which differentiates an IP system from a commodity system

Section 7: Verification and documentation requirements Covers

verification and documentation requirements that also differentiate IP The records or documentation that puts the verification in writing will be part of the entire IP process

Section 8: Third-party inspection, testing, and verification

Discusses the use of third parties to inspect, test, and verify parts of the IP system This option for any IP program has philosophies and ramifications that need to be considered when developing an IP program

Introduction

and theory

Part II:

Application

Section 9: Innovations in IP Looks at some of the innovations in the

rapidly developing IP industry

Section 10: Implications for each value-chain level Reviews some of

the implications for each party in a value-chain Understanding the responsibilities of all parties in a value-chain is an important factor in the success of an IP system

Section 11: Scenarios regarding the demand for IP crops The

scenarios developing regarding the demand for IP crops are changing constantly This section reviews what is happening

at this point in time

Section 12: GMO: Genetically modified organisms Genetically

modified organisms (GMO) have recently influenced the demand for IP products This poses some unique IP requirements in a very complex subject

Section 13: Country requirements for importation Some countries

have developed standards for IP products This presents challenges for exporters to be aware of these requirements

Section 14: Existing IP systems Existing IP systems are reviewed in

this constantly emerging industry

Part IV: Appendices The appendices offer several presentations that are

referenced in thehandbook text, which are easier to present in this format than in the text itself

Appendix A Seed Certifying Agencies Appendix B AOSCA Summary of IP Services Appendix C Organizations Related to IP Appendix D Acronyms Used in Agriculture and World Trade Appendix E Adventitious Pollen Intrusion into Hybrid Maize Seed Production Fields – research paper

Glossary Defines words and phrases used in agriculture, identity preservation, and world trade that may not be familiar to all readers

It is suggested that it be used frequently, as needed The handbook is intended to be non-technical, but because of the subject matter some words and terms may be foreign to some readers

Part III:

Separate

related topics

• You have experience working with IP systems – and want to

expand your knowledge

• You have no experience working with IP systems – and want to get started

• You are involved with the food production chain, but are not directly involved with the IP system – but want some background

• You don’t really care about IP – but someone told you if you were concerned about food safety you should know about IP Hopefully the handbook will fill your needs – no matter which category you fit

From the supply side of IP trade there are two broad categories of trade entities:

• Those involved in trading/exporting without

experience with IP (The grain trade)

• Those with IP experience but without grain trading

experience (The niche market)

Preface

Acknowledgments Introduction to handbook

Section 1: Introduction: Background and project objectives 3

Section 2: Crop differentiation: Self-pollinated crops versus cross-pollinated 11

Section 3: Basics of an identity-preserved (IP) system 17

Section 4: A complete value-chain IP system 29

Section 5: Mechanics and economics of IP systems 41

Section 6: Inspections, sampling, and testing 83

Section 7: Verification and documentation requirements 101

Section 8: Third-party inspection, testing, and verification 107

Section 9: Innovations in IP 113

Section 10: Implications for each value-chain level 117

Section 11: Scenarios regarding the demand for IP crops 123

Section 12: GMO: Genetically modified organisms 127

Section 13: Country requirements for importation 135

Section 14: Existing IP systems 147

Part IV: Appendices and glossary 167

Appendix A: Seed Certifying Agencies 171

Appendix B: AOSCA Summary of IP Services 181

Appendix C: Organizations Related to IP 183

Appendix D: Acronyms Used in Agriculture and World Trade 193

Appendix E: Adventitious Pollen Intrusion into Hybrid Maize Seed 195

Production Fields – a research paper with analysis and

interpretation for application to identity-preserved systems

Index 229

Tables and figures

Table 1.1 Potential parties in a supply-chain or value-chain 10

Table 2.1 Crop flower types, pollination methods, and natural cross-pollination 16

Table 2.2 Crop isolation requirements and seed standards for certified seed production 16

Table 3.1 Example of potential contamination in IP corn 23

Table 3.2 Example of potential contamination in IP corn with higher allowed mixture 23

in planting seed Not labeled as tables or figures – Step-by-step procedures and checklists 52-81

Tables and figures as part of Japan Bulk Commodity non-GMO 139-145 Soybeans and Corn Distribution Manual

Tables as part of Canadian Soybean Export Association – Approved 159-165 Identity Preservation Standard

Appendix B AOSCA summary of individual agency IP services 181

Tables as part of research paper – Adventitious Pollen Intrusion 195-208 into Hybrid Maize Seed Production Fields

INTRODUCTION and THEORY

Section 2: Crop differentiation: Self-pollinated crops versus

cross-pollinated

Page 11

Provides background basic to field production of crops

as related to crop pollination methods The pollination method or flower type for each crop influences the potential contamination by outside pollen

Section 3: Basics of an identity-preserved (IP) system

Page 17

Details the basics as well as the theory behind an IP system More details of the system itself and mechanics will follow later

Part

I

2 Identity-Preserved Systems: A Reference Handbook

INTRODUCTION:

This handbook’s mission is to develop a uniform basis for preserved (IP) efforts, to outline the protocol for IP systems, and to provide a handbook that may be used by various parties in the value-chain of this production and marketing activity The world grain and oilseed trade is rapidly changing from commodity-based trade to value-enhanced crops, which require some system of separation from their commodity counterparts and verification methods to assure that this segregation is accurate

Vision: A comprehensive, uniform identity- preserved plan for world trade

4 Identity-Preserved Systems: A Reference Handbook

This handbook will develop identity-preserved guidelines, in the form of

a reference or user’s manual that can be used by various parties in the industries as they enter into new identity-preserved enterprises The program is flexible enough to allow the development of individual company programs within the overall framework of the broader program, yet demonstrate a unified effort A system of identity-preserved verification, which will allow the U.S seed, specialty crop, and grain and oilseed industries to easily provide products, which can be identified with traceability verifying identity, product quality, and special characteristics The handbook is “user-friendly” for not only parties involved in IP trade but also people not directly involved in trade but who have concerns for product integrity as affected by identity preservation

The handbook describes an overall IP system, which may be utilized in ways that will meet the particular needs of parties involved in specific trade agreements The system can be adapted to work with “in-house” documentation, third-party verification, or third-party system accreditation and auditing The handbook discusses the background of

IP systems originating in the seed industry, the basics of a total IP system, and the potential electronic transfer of data and documents

The ultimate goal is encompassed in the vision statement, which expanded would include the following specific goals:

• Provide a unified IP background and protocol for world grain, oilseed, and specialty crop industries

• Provide the grain and oilseed industry – growers, first buyers, and traders – with a comprehensive IP handbook

• Provide traders with a protocol to take to their customers

• Provide the basis for individual IP programs to meet specific customer needs

• Provide a place where the industry can go for answers on IP

• Gather IP information together in one document

Channeling is a recently coined term describing alternative marketing

channels for various agricultural products The term is usually applied within a commodity or crop type, such as high-oil corn Specific market channels are developed to maintain segregation of products with or without certain attributes Channeling may be accomplished by a wide range of marketing methods from contractual arrangements to simply identifying limits for specified grade-determining characteristics Growers prior to planting establish a channeling market plan Involved first-buyers or elevators must make arrangements for segregation throughout their facilities Channeling describes several levels of segregated marketing dependent upon factors including attribute market value, the level of special handling and management required, risks involved, and the volume of the commodity handled in the export system Identity preservation (IP) is the highest level of channeling – requiring a documented segregation system

Goals

IP guidelines

Overall IP system

“Channeling”

Identity preservation is a process or system of maintaining the

segregation of and documenting the identity of a product An IP system

is a strict production and delivery method, which possesses procedures

of an effective internal segregation system, that includes observing, inspecting, sampling, and testing to assure the presence (or absence) of

certain traits Identity preserved refers to a crop product that has

identifiable characteristics which have been maintained from the seed planted to produce the crop through all steps of production and transportation to the end user

Growers must follow strict growing and handling practices, including segregation, inspections, and cleaning of equipment to prevent other varieties from mixing with or contaminating the IP variety

Other parties that handle, transport, condition, or process the IP product must also maintain and document a similar segregation system

The key to an IP system is traceability Each production, processing, and delivery step is documented, so that products can be traced from the store shelf back to the farmers’ fields and every stage in between

Identity preservation (IP) is a process by which a crop is grown, usually under contract, and handled, conditioned, processed, and delivered under controlled conditions, whereby the end user of the product is assured that

it has maintained its unique identity from the seed planted to the end user

In common use the process or system of “identity preservation” would result in an “identity-preserved” product “IP” seems to be used interchangeably to identify both the system and the product

The definitions above look at IP from several different aspects From this readers can pick what best suits their system needs

It should be emphasized that identity preservation must include a system

of verified steps following the crop through the entire production and delivery system Testing crop samples as a stand-alone procedure does

not qualify as an identity-preservation system

With specific value-enhanced traits it is important to maintain those traits from the grower to the end user manufacturer and ultimately the consumer An identity-preservation system facilitates the segregation of shipments of grains or oilseeds that are distinguishable, by some morphological, physiological, or other characteristic, from other shipments Even though the current emphasis may be centered on the genetically modified organism (GMO) issue, the long-term opportunities

in identity-preserved products will develop from specialty grain and oilseed traits, whether perfected through conventional or transgenic breeding methods

6 Identity-Preserved Systems: A Reference Handbook

This handbook is an effort to unify IP efforts, to outline the protocol for

IP systems, and to provide a written document (handbook) that may be used by various parties in the value-chain of this production and marketing effort The intent is not to provide an IP program, but rather

to provide the basis for users to develop their own programs to fit their specific IP situations Identity-preservation systems will all have very similar basic protocols, but may have very different tolerances and documentation requirements

The world grain and oilseed trade is rapidly changing from based trade to value-enhanced crops, which require some system of segregation from their commodity counterparts and verification methods

commodity-to assure that this segregation is accurate As the world grain and oilseed production and trade infrastructure moves into this specialized area it is becoming apparent that a system of preserving the identity of these crops from farm to market must be implemented which producers all the way

to overseas buyers understand

There are well-established niche marketing efforts that have served specialty markets for many years Even though these efforts are well established they are fragmented rather than unified Individual efforts have basically met the markets’ needs At this time, with tremendous growth in demand for identity-preserved products, there is increased opinion within the grain, oilseed, and specialty trade industries that a unified and sophisticated identity-preserved program is needed This users’ handbook develops identity-preserved guidelines that can be used

by various parties in the industries as they enter into new preserved enterprises The program is designed to be flexible enough to allow the development of individual company programs within the overall framework of the broader program, yet demonstrate a unified effort Interest in a system that is not government based, but which may utilize the services of government grain inspection agencies, has prevailed

identity-This handbook provides background materials and leads a user through the steps of developing a program or system of identity-preserved verification, which will allow the U.S seed, specialty crop, and grain and oilseed industries to easily provide products, which can be identified with traceability verifying identity, product quality, and special characteristics The handbook is intended to be very “user-friendly” for not only parties involved in IP trade but also people not directly involved

in trade but who have concerns for product integrity as affected by identity-preservation

This handbook describes an overall IP system that may be utilized in ways that will meet the particular needs of parties involved in specific trade agreements The system can be adapted to work with “in-house” documentation, third-party verification, or third-party system accreditation and auditing The handbook discusses the background of

IP systems originating in the seed industry, the basics of a total IP system, and the potential electronic transfer of data and documents

The handbook includes reviews of IP programs currently in place, including programs administered by third-party agencies, and countries that have initiated programs

• The handbook includes a review of some individual AOSCA programs as well as the general AOSCA program (see section 14)

• Programs, rules, or guidelines of countries or other political entities for IP trade are reviewed (see section 13)

What or who is AOSCA and why is it the logical author of this handbook? AOSCA is the acronym for Association of Official Seed

Certifying Agencies, an international organization of seed certifying agencies with long-standing third-party service in the seed industry

AOSCA is a non-profit organization whose stated purpose is “dedicated

to the production and use of high quality seeds and propagating materials of superior plant varieties by establishing minimum genetic standards and uniform certification procedures: providing assistance to members in the development of educational and promotional programs; and coordinating the interests of members with other organizations to improve agriculture through optimum use of certified seed and other services of certifying agencies.” For many years some AOSCA member

agencies have been involved in identity-preserved (IP) activities Since

IP activities fit within the stated purpose of the organization an IP committee has been part of the organization’s committee structure for more than 10 years Individual agencies of AOSCA are listed in appendix A

Most importantly AOSCA is an unbiased, third party to IP activities AOSCA can logically develop a system that is unbiased from the point

of view of being directly involved in the production and trade of IP products

There are currently no comprehensive IP manuals available AOSCA and some of its individual agencies have IP programs in print but there is

no comprehensive background material on identity preservation and IP systems There are some commercial, third-party service organizations

as well as some exporting or trading companies that have their own house programs that have manuals, again which are not comprehensive This handbook is intended to provide a comprehensive but also unifying effort to the IP process

in-Many of the protocols and procedures of IP programs are based on systems used in the seed and niche crop industries that have been in place for many years These systems are well understood by these specialty industries but have not been used within the commodity grain and oilseed industries As the rapidly expanding production of specialized crops moves from the small niche markets into trade where commodity people and facilities will be utilized it is important that these

Seed industry

model

Who is AOSCA?

8 Identity-Preserved Systems: A Reference Handbook

entities become aware of systems that will be demanded by end users to assure them of values within the value-chain

The quality control and seed certification programs within the seed industry have evolved in the last 100 years or more Among other quality aspects, varietal purity is of utmost importance in both the seed and IP industries As identity-preserved systems have begun to emerge

in the last few years it was logical that methods of maintaining varietal purity within the seed industry would be applied Documentation methods used to trace seed lots from the seed breeder through a system

of certified seed classes to the grower planting the seed could also be extended to include the grain or oilseed products of this seed to the end user of grains and oilseeds in an IP system

IP systems are not new Niche markets in the specialty crop industries have developed systems to maintain and verify various product qualities

in these special markets for many years Industries involved in specialty corns, soybeans, wheats, and some minor crops have developed systems

to meet their needs in those markets Most of those systems were based

on contractual arrangements of production contracts or contracted sales

of these products Contractual language usually defined the desired qualities and methods of verification on an individual contract basis The systems used to meet these needs were not generally overall systems but were systems devised to meet the needs of a specific contract

In recent years some comprehensive and all-inclusive systems have evolved from those contractual systems This handbook builds on those systems and provides the means to unify or set some industry standards

or guidelines

Commodity or commodities are the terms usually applied to grains and oilseeds that are grown and marketed for general uses These are widely traded on various markets around the world Individual commodities tend to establish their own markets and market patterns depending on areas of production and usage Commodity corns are used for livestock feeds and unspecified industrial uses Commodity soybeans are used for oil crushing, which result in soybean oil products and soybean meal products, which in turn are used in various food, feed, and industrial end uses Commodity wheat is already separated to a large extent into classes or types that are grown in specific areas and are used for specific food and feed uses

Because these grains and oilseeds are so widely traded around the world

we have developed a “commodity mindset.” The commodity mindset is where everything is based on a Chicago commodity or other commodity market price Certain industry specifications have been established for each commodity, with grain quality standards set for various classes or grades within each specific commodity This commodity mindset is present all the way from growers, through all of the handlers and traders

Commodity

industries and the

supply-chain

Niche markets

involved, to the end user Buyers and sellers are continuously basing supply and demand strategies and pricing strategies on central markets

A supply-chain describes the steps (links in the chain) or path that a commodity or product takes from the production stage to the consumer

A commodity supply-chain describes the various steps in the commodity marketing process, the physical movement, and ownership of the commodity

A value-chain carries this supply-chain concept a step further and looks

at where in the chain value is added and possibly quantifies that added value With commodities, and even with products where values of inputs change frequently, the value added at various points and even the total product value may be difficult to pin down To maximize the utility

of a value-chain it is important for all parties to shed the commodity mindset You are no longer working with a commodity – but with a product that has enhanced value This enhanced value may be due only

to the preservation or separation of a particular trait from commodity counterparts

As the volume of a specialty product in a market increases it is likely that that particular product may establish a “stand-alone” position in the market Pricing systems may or may not be tied to its commodity counterpart The wheat markets are probably a good example The wheat market has evolved into several differentiated markets At some time in the future high-oil corn may separate from the current commodity corn market

As this takes place it does not eliminate the need for IP systems Depending upon the requirement for complete differentiation of specific traits from their commodity counterparts there may be a need for IP systems to provide a system and verification and documentation that demonstrate this segregation

Table 1.1 lists additional parties that might be involved in a value-chain Later in the handbook the responsibilities will be discussed The reasoning behind the visualization exercise of the tables is to establish in our minds these relationships and interrelationships in a value-chain Even though the parties may be similar the relationships differ considerably from a commodity supply-chain to an IP value-chain

Establishing a

“value-chain”

10 Identity-Preserved Systems: A Reference Handbook

There are many potential parties in a supply-chain or value-chain, some physically handling the product and others

involved only in the “paper” transactions Still others may provide services that may be critical to the movement of

the product or documents involved in the transaction Some of these parties are described below

Plant breeder Although not usually considered part of these chains may be vitally involved in the

development of varieties with characteristics for specific end uses

Genetic supplier Responsible for taking seed from breeder, increasing it while maintaining or improving

genetic purity, and providing to seed company for further increase

Seed company Responsible for taking seed from breeder or genetic supplier, increasing it, and

providing to seed delivery system to furnish grower seed

Grower Takes delivery of seed, plants, grows, harvests, stores, and delivers – all while

maintaining genetic purity of product

First receiver Receiver taking the first delivery from grower May be a country elevator, seed

conditioner, or even a transportation party May or may not take ownership

Conditioner Specialized receiver taking delivery from grower and then performing services of

“cleaning” and/or sizing the seed, and possibly bagging the product May or may not take ownership

Contractor Sometimes a party not involved in the physical handling of product, but contracting with

growers for production of product Will usually also contract with a buyer for this production Usually takes ownership

Third-party inspection Service provider that may provide grower field inspection, sampling at various locations

in chain, sample observations, and testing Provides certificates

River terminal In bulk delivery of product, usually by ocean vessel, the river terminal takes delivery by

truck or rail and loads barges Seldom stores or takes ownership

Barge transportation Provides transportation from river terminal near production area to port facility Does not

take ownership

Port terminal elevator Transloads from barge to ocean vessel May provide short-term storage, but rarely

takes ownership

Ocean transportation Provides transportation from exporting country to importing country May be either bulk

vessel or container vessel Does not take ownership

Export trader Involved in marketing the product, including all negotiations of price, payment terms,

product specifications, delivery terms, and delivery logistics May or may not be involved with physical product and usually takes ownership at some time

Import trader Involved in purchasing the product, including all negotiations of price, payment terms,

product specifications, delivery terms, and delivery logistics Usually not involved in physical product handling and usually does take ownership at some time

Port silo Takes delivery of bulk products from ocean vessel May provide short-term storage

Seldom takes ownership

Sorting plant A type of conditioning plant providing conditioning services and possibly bagging

services Seldom takes ownership May provide short-term storage

Consumer The ultimate end user that whether intentionally or not sets the standards for all others in

the supply or value-chain

Not all of these parties are involved in every supply- or value-chain One party may perform several of the services described in

the table, which will reduce the total number of parties The order shown above is an approximation of physical movement order,

but can be modified within the chain The physical movement will be different between bulk and bagged products Bulk

movement of IP products is a greater challenge for complete segregation This table shows export trade but domestic movement

will be similar, without the export party involvement In an IP system all parties must maintain genetic purity at levels, which

will ultimately result in meeting genetic specifications throughout the entire value-chain

This background will affect how and where a grower plants his IP crop in relationship to other crops of his own and his neighbors Understanding the mechanisms of crop pollination will give basis to these planting decisions

The flower is the reproductive organ or combination of organs in a plant Depending upon the plant species, a flower can contain male, female, or both structures within the flower structure The anther, borne by the filament, produces pollen that can fertilize the ovules within the ovary Pollination takes place when the pollen lands on the stigma and works its way down the ovary, where fertilization of the ovules occurs Depending

Objectives of section:

This section discusses the basics of botany or more specifically plant physiology, as related to plant reproduction, to provide the basis for planting decisions, and discusses implications for several

of the major individual crops considered for IP production

Importance to IP

Flower structure

and pollination

11

12 Identity-Preserved Systems: A Reference Handbook

on the flower structure and the flower location on plants this pollination process may require “help” from the wind, insects, or some other mechanical manipulation to either move the pollen or “trigger” the flower to pollinate itself

Some plants have “perfect flowers,” in that the male and female parts of the flower are totally enclosed by the petals or other appendages that are fused together or are very tightly enclosed This flower structure makes

it nearly impossible for cross-pollination to occur In very remote cases the flower enclosure might be damaged by insects or other mechanical intrusion that would open the flower to cross-pollination In most crops with this type of flower structure this occurrence is a very minute percentage

There are exceptions in the perfect flower situation where there is incompatibility for self-pollination This incompatibility lies in the relationship between the pollen and the stigma (part of the female flower structure) The pollen, stigma, and related fluids all contain proteins, which are either compatible or not compatible with each other In the cases of incompatibility the proteins of the pollen and the stigma do not allow pollen growth or penetration to complete the pollination This forces the plant to be cross-pollinated

self-The relationship between the male and female flower parts also affects pollination Flowers where the male and female parts are not in close proximity may make self-pollination difficult or at least make cross-pollination much more likely Corn is an example where the male and female flower parts are located at different positions on the plant

The structure of individual pollen grains also affects how pollination occurs Some plant species have pollen grains that are fine and dustlike which are easily carried by the wind allowing cross-pollination to occur

Other species have heavy, sticky pollen grains that tend to stick to each other and if cross-pollination were to occur insects or other vectors would need to facilitate the process

Crops that are normally self-pollinated pose the best scenario for IP production Crops with perfect flowers are usually self-pollinated – with exceptions noted above

Crops that are normally cross-pollinated require more care in planning IP production These crops will usually require some isolation distances or barriers that will limit cross-pollination contamination of the IP crop

What does this all have to do with IP? Understanding the mechanisms of pollination gives reason to decisions on how IP production is planned and consideration of the increased costs involved with providing isolation of the IP crops

The pollination of crops and varietal purity have been thoroughly studied and applied to standards for growing seed crops Plant breeders have researched the pollination characteristics of various crops and this information has been used to formulate standards for seed production The practical application has been adapted over the years by crop production specialists, seed certification agencies, and the seed industry

to provide the best balance between desired varietal seed purity and production costs This information is valuable to applications of identity-preserved crop production

In designing an IP system one of the first steps will be to determine the varietal purity required by the buyer for his particular end use When this

is determined it can then be calculated what planting seed varietal purity and crop isolation may be required to provide that end-use purity This will all influence production costs and therefore the price to the buyer Two tables are shown which provide individual crop characteristics related to flower structure, flowering, and pollination Table 2.1 compares flower types, pollination methods, and potential contamination Table 2.2 shows the requirements for certified seed production of these crops This table shows the requirement for the land – what the previous crop might be and isolation considerations Isolation standards or distances required to potential contamination pollen sources are listed for the foundation, registered, and certified seed classes These standards can be considered when making isolation decisions for IP production The seed standards for these same seed classes give some indication of what might be expected in varietal purity for seed purchased for IP production and also illustrates what the progression might be to an IP production class Seed classes are discussed on page 19

The varietal purity of the seed planted for IP production and the adherence to isolation needs for the crop will influence the potential varietal purity of the IP production The effect on tolerance levels is further discussed in section 3

It is recommended that people making decisions on IP systems become acquainted with seed certification agencies in their area of production and with the seed certification standards in their state These can be valuable tools for application in an IP system As far as the crop growing step of an IP system the purity of seed planted and the isolation distances for cross-pollinated crops will influence the IP purity to a large extent

14 Identity-Preserved Systems: A Reference Handbook

Soybeans have perfect flowers and are very seldom cross-pollinated

Planting isolation need only consider that enough spacing is allowed so that mechanical mixing with surrounding crops does not occur at planting

or harvest If the IP field and surrounding fields are planted or drilled, care must be taken not to plant into the IP field from any surrounding fields If surrounding fields are broadcast, either by ground or air, then more distance needs to be allowed for seed drift

These grain crops all have perfect flowers and are self-pollinated The percentage of expected naturally occurring cross-pollination varies between these crops from 0.2% for barley to about 4.0% for wheat The cross-pollination that occurs in these crops is usually between very nearby plants (in the same field) rather than across greater distances The same planting precautions should be taken as with soybeans

Cotton is slightly different than the above-mentioned crops in that it has a more open flower structure There is more insect cross-pollination in cotton The pollen of cotton is very sticky and single pollen grains gather together and form larger units These do not move easily by air currents but are moved by insects

Rye is a grain with a perfect flower structure, but is usually pollinated because of self-incompatibility Even though this pollination may come from nearby plants in the same field it could logically come from any outside source Veritable clouds of pollen blow from rye fields

cross-in bloom Although most flowers cross-in a field of one variety of rye will be fertilized by pollen of nearby plants of the same variety, there is some danger of inter-varietal crossing over distances of a mile or more

The flower structure of sorghum varies widely from very compact to open Sorghum is mainly self-fertilized with a wide variation in cross-pollination rates Wind and convection currents are the chief agents for pollen movement Because of the ease of cross-pollination isolation distances are a major consideration for IP production

Individual crop pollination considerations:

A discussion of individual crops and the considerations that need to be given for IP production

follows Some crops that have very similar production characteristics are grouped together as

isolation requirements and other growing and production considerations are the same The

crops are discussed in an order progressing from those with little potential IP pollination

production problems to those crops that require isolation or barriers to reduce cross-pollination

contamination References to Tables 2.1 and 2.2 are given as background for production

Corn is different than most other crops in that the male flower structure (tassel) and the female flower structure (ear) are at different positions on the plant The tassel is at the top of the plant, while the ear is about half way down the stem or stalk The pollen is large (by comparison to many other plants) but is easily carried by wind movement For these reasons pollination is generally by cross-pollination There are many considerations when deciding upon appropriate isolation distances and buffer plantings A separate study of corn is included in appendix E, which is a research paper on hybrid seed corn production with analysis

on the application to identity preservation This paper is a good background on corn pollination and also a good example of the type of research within the seed industry and academia for seed purity

The sunflower is another crop with perfect flowers and yet is incompatible and therefore widely cross-pollinating This self-incompatibility varies between lines Sunflower pollination is mostly by insects with very little wind pollination Since insects are needed for pollination isolation distances are greater to reduce pollination from undesired outside sources

self-This crop classification (the Mustard – Cruciferae family) contains a diverse group of crops The plant types and flower types are also diverse Some types are highly wind pollinated while others are mostly insect pollinated This family also has several weed species The possibility of cross-pollination between the types of brassicas raises some unusual issues There is more concern with “escapes” of genetically modified traits to other family members than with most other crops The flowering and crossing characteristics of sorghum, corn, sunflower, and rapeseed lend themselves to commercial hybridization more easily than the other crops These same characteristics also present greater problems for IP production

Tables 2.1 and 2.2 are provided as background for planting and production decisions Table 2.2 lists some considerations for isolation distances based on the method of planting Some definition may be worthwhile here Broadcast seeding is an imprecise planting method of spreading seed either by ground or aerial equipment where the spreading seeds may be affected by winds and may fall in unwanted locations Drilled seeds are planted in closely spaced rows that are usually too narrow to mechanically cultivate Row planting is accomplished with rather precise metering and furrowing equipment that places the seed in rows that may be mechanically cultivated

16 Identity-Preserved Systems: A Reference Handbook

Oats Avena sativa Perfect Self 0.5% in natural state

Rapeseed Brassica napus Self 20.0%, some self-incompatible Wind, insects

Rye Secale cereale Perfect Cross 95.0%, self-incompatible Wind

Soybeans Glycine max Perfect Self 1.0% adjacent plants within row

0.5% plants in adjacent rows miniscule from other fields Sunflower Helianthus annus Perfect Cross Varies, self-incompatible Insects

Wheat, common

durum

Triticum aestivum

Triticum durum

Perfect Self Varies, 3.0–4.0% common Wind

Table 2.2 Crop isolation requirements and seed standards for certified seed production

Crop

(common) Previous crop year(s) Land requirement Consideration Field Isolation (distance in feet) standards

Found Reg Cert

Seed standards Other varieties (max.) Found Reg Cert

Barley, wheat Another kind or certified

seed of same variety Strip of ground adequate to prevent mechanical mixtures –

mowed, uncropped, or other crop

660 410

* see separate table of modification by buffer rows

Oats Another kind or certified

seed of same variety

Strip of ground adequate to prevent mechanical mixtures – mowed, uncropped, or other crop

0.20% 0.30% 0.50%

Rapeseed Hybrid

Found No rapeseed 4 years

Cert No rapeseed 2 years

Self-pollinated Cross-pollinated

Rice Another kind or certified

seed of same variety

Drill seeded Ground broadcast Aerial broadcast

Rye Another kind or certified

seed of same variety 660 660 660 0.05% 0.10% 0.20%

Sorghum Another kind or certified

seed of same variety

990 990 660 0.005% 0.01% 0.05%

Soybeans Another kind or certified

seed of same variety

Strip of ground adequate to prevent mechanical mixtures

0.10% 0.20% 0.50%

Sunflower Not sunflower previous year Same type flower

Other type flower 2640 2640 2640 5280 5280 5280 0.02% 0.02% 0.10% 0.02% 0.02% 0.10%

It is recommended that IP growers or people making crop planting and isolation decisions become

acquainted with seed certification standards in their state Study the standards and recommendations for

the specific IP crop to be produced for isolation consideration that may affect IP purity See section 4

of an identity-preserved (IP) system

An identity-preserved (IP) system must be designed to provide assurances that the desired qualities or traits are present (or absent) in a product from the seed source, through all steps of production and delivery, to the end user Usually these assurances will need to be documented in some way from one party to the next in the entire value-chain Traceability is key to an IP system

An IP system is a strict production and delivery method, which possesses procedures of controlled production, observing, inspecting, sampling, and testing to assure the presence (or absence) of certain identifiable traits

3

Introduction to section:

This handbook section provides the basics as well as the theory

behind an IP system More details of the system itself and the mechanics will follow in later sections

Objectives of section:

The section will provide the basics around which an IP system can

be developed We will review the seed industry – which provides the basis for the current IP systems Topics included are:

• Objectives of an IP system

• Basic IP system

• Detailed IP system

• Definitions

• The seed industry model

• The certified seed system

• Certified seed standards example

• The Federal Seed Act

• Tolerances

• Potential points of contamination

• Cumulative effect of contamination

• Development of IP system

Objectives

of an IP system

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18 Identity-Preserved Systems: A Reference Handbook

A very basic IP process will:

• Determine the level of purity desired

• Develop a system to meet that level

• Provide documentation that system was followed

• Determine the testing desired to assure that system worked

An identity-preserved system should include methods to assure the following:

• Seed purity – the seed used to plant the IP production should be identified as having sufficient varietal purity to produce a crop that will meet the specifications required of the IP product It needs to

be assumed that varietal impurities will also enter at later steps

• Maintaining purity during production – procedures of production should be established that will not allow mixtures of other varieties and crops into the IP production

• Maintaining purity during storage and transportation – procedures

of handling, storage, and transportation should be established to maintain varietal purity during these steps

• Maintaining purity during conditioning and processing – procedures that will eliminate varietal contamination during conditioning (seed cleaning) and processing (changing the physical

or compositional state of the product) should be established

• Inspecting and testing to detect variations – visual inspections of fields at various growth stages, and visual and/or compositional inspections of the seed will detect variations or problems with varietal purity

• Verifying the above steps – a system needs to be established that will verify that the procedures and steps were accomplished in the

IP system

• Documenting the above steps – a system of records (either on paper or electronically) that will record and demonstrate that the IP steps were accomplished

Development of seed purity standards – the seed industry

Since the basis of much of an IP system has evolved from the seed industry we will review seed purity standards Most of the traits identified in an IP system are genetic traits which are tied to a specific variety or hybrid that have evolved from a particular breeding program, and therefore varietal purity is of utmost importance Varietal or genetic purity can often be identified and quantified by visual plant and seed characteristics that differentiate one variety from another variety Refer

to Table 2.2, in section 2, for seed standards It must be recognized that the environment can influence the visual appearance of both plant and seed characteristics

Basic IP system

Detailed IP system

The seed

industry model

Recognizing plant or seed variances is important for all parties involved

in IP production and handling Field inspectors and seed analysts are trained in observation techniques, analytical methods, and morphological differences between varieties of crops they are inspecting and observing

It is prudent for people involved in IP production management to develop similar observation skills as these trained seed inspectors

Seed certification standards are developed for each crop or crop type to

be certified Variation of standards between crops is usually based on the pollination method for each individual crop Differentiation between crops was discussed in detail in section 2 Classes of certified seed in the U.S include breeder, foundation, registered, and certified Canada has

an additional class between breeder and foundation classes (select) Theoretically breeder seed would be the purest class progressive to the certified class that would have more production steps where contamination might enter In practice foundation seed may be purest because field rouging of off-types and more precise seed conditioning may remove potential off-types more efficiently on a larger scale than in breeder seed

To further define the classes of seed recognized in seed certification the

following is taken from the AOSCA Genetic and Crop Standards

handbook Breeder Seed is seed directly controlled by the originating or

sponsoring plant breeding institution, or person, or designee thereof As applied to certified seed, breeder seed is the source for the production of

seed of the other classes of certified seed Select Seed is unique to the

Canadian certification system It is the approved progeny of breeder or select seed produced in a manner to ensure its specific genetic identity and purity by those growers authorized by the certifying agency for the production of this class Select seed is not a seed of commerce

Foundation Seed is seed, which is the progeny of breeder, or foundation

seed produced under the control of the originator or sponsoring plant breeding institution, or person, or designee thereof As applied to certified seed, foundation seed is a class of certified seed, which is produced under procedures established by the certifying agency for the

purpose of maintaining genetic purity and identity Registered Seed is

the progeny of breeder, select, or foundation seed handled under procedures acceptable to the certifying agency to maintain satisfactory

genetic purity and identity Certified Seed is the progeny of breeder,

select, foundation, or registered seed so handled as to maintain satisfactory genetic purity and identity, and which has been acceptable to the certifying agency

In seed production schemes for self-pollinated, non-hybrid crops each class of seed would be used progressively to produce the next class Thus breeder seed would be used to produce foundation seed; foundation seed would be planted to produce registered seed; and registered seed would be used to produce the certified class of seed The breeder, the company marketing the seed, or the certification agency for various reasons, may limit certified classes of seed Some breeders eliminate the registered class of seed Seed produced from the certified class is called

The certified

seed system

20 Identity-Preserved Systems: A Reference Handbook

“farmer saved production” and is not included in certification schemes

It is questionable whether using farmer saved productionis wise in an IP system Some large seed companies have their own internal quality assurance programs that do not include the third-party certification or quality assurance programs

Certification standards are established for each crop type and may include a land requirement (previous crop), isolation distance to bordering crops, establishment of source of seed, field inspection, and seed inspection Specific standards are set with allowable tolerances

All of these criteria also affect an IP system and similar methods of segregation and inspections need to be established Refer to Table 2.2

As an example, certification standards for soybeans include:

A land requirement that soybeans shall be grown on land which the previous crop was of another kind, or planted with a class of certified seed of the same variety or with a variety having an identifiable character difference

Seed source standards would require that breeder seed would be used to produce foundation seed: foundation seed would be planted to produce registered seed; and registered seed would be used to produce the certified class of seed This was explained in detail above

Field standards include isolation of the inspected field from any other

variety or uncertified seed of the same variety by a distance adequate to

prevent mechanical mixture Field inspection standards would allow a

maximum count of plants of other varieties for foundation class of 1:1000; for the registered class 1:500; and for the certified class 1:200

These ratios calculate to 0.1% in foundation class, 0.2% in registered class, and 0.5% in certified class

Seed standards for varietal mixture for each class would be 0.1% in foundation class, 0.2% in the registered class, and 0.5% in the certified class Other seed standards for certified seed that do not relate to IP production include pure seed, inert matter, weed seeds, other kinds of seeds, and germination These are usually addressed in IP production as part of the quality standards set between the seller and buyer

The Federal Seed Act (FSA), administered by the Agricultural Marketing Service (AMS) of the United States Department of Agriculture (USDA), regulates the interstate and foreign commerce of agricultural and vegetable seeds The FSA requires that seed shipped in interstate commerce be labeled with information that allows seed buyers to make informed choices Seed labeling information and advertisements pertaining to the seed must be truthful The FSA helps to promote uniformity among state laws and fair competition within the seed trade

All state seed laws are intended to fall within the FSA regulations

Certification standards, as set by certification agencies, are regulated by the FSA All international, federal, and state government agencies, as

well as seed certification agencies, attempt to work together closely to develop uniform standards for the production and trade of seed

The genetic purity of a crop starts with the seed and then extends into the production of the IP crop itself First let us look at the genetic seed purity standards in the U.S The Association of Official Seed Certifying Agencies (AOSCA) established the following genetic purity standards for classes of certified soybean seed (allowable other varieties and off-types): foundation class 0.1%; registered class 0.2%; and certified class 0.5%

A mathematical projection to one other class – the food-grade class – would be as follows:

foundation 0.1% > registered 0.2% > certified 0.5% > food-grade 1.5% Another seed certifying standard, the Organization for Economic Co-operation and Development (OECD) seed scheme, has similar genetic standards Under the OECD scheme soybeans of the basic or foundation class are allowed 0.5% other varieties or off-types and the certified class

is allowed 1.0% These standards are for field inspections

In light of the above projections from seed standards it would seem that the recently adopted European standards for labeling foods with ingredients with a 1.0% tolerance would be unreasonable Even the European-driven OECD seed scheme projections would suggest that over 1.0% tolerance should be allowed in crops produced from certified seed The OECD certified seed standards of 1.0% other varieties or off-types are not as strict as the AOSCA standards of 0.5% in the certified class

On the one hand the projection of varietal contamination through the seed system into the food-grade crop is the worst-case scenario Hopefully the seed contamination would be less than the allowable limits On the other hand the care of the genetic purity in the production system within the food-grade industry may be less than within the seed industry Growers of food-grade crops may not take the same care in cleaning their equipment as is required in the seed industry

The lower the tolerance level, the higher the cost will be of identity preservation A 1.0% tolerance level suggests that foundation or registered seed would need to be planted for the food-grade crop in addition to very strict growing and handling protocols The costs of such

a system to growers, conditioners, and handlers will be high These costs will need to be passed on to the buyers

The tolerance levels discussed above relate to soybeans, a self-pollinated crop The issues in corn, a cross-pollinated, hybrid crop, are different The acceptable levels of variety mixtures in hybrid corn in the seed industry are lower, but the problem lies in potential cross-pollination in the food-grade production fields Isolation distances, buffer strips, and

Tolerances

22 Identity-Preserved Systems: A Reference Handbook

other potential pollen control mechanisms all affect potential pollen contamination These are questions that the seed corn industry and seed certification officials can help to answer The identity preservation of non-GMO corn will be more difficult than non-GMO soybeans

Varietal purity can be affected at many different points in the production

of IP crops, beginning at the source of seed

• Seed source It may be extremely important in IP production to specify a very low tolerance of varietal impurity in the seed source

if the IP contract has a very low tolerance for varietal mixture If the varietal mixture (contaminant) happens to be a higher yielding variety, the mixture in the resulting crop may worsen

• The land requirement Varietal contamination can occur from the choice of the land for IP production Volunteer plants from the previous crop may produce seeds that will contaminate or, on cross-pollinating crops, may pollinate the IP crop causing mixture

• Isolation Very close proximity to other varieties can cause mixtures at harvest just by imprecise control of harvest equipment

Washouts early in the growing season can “transplant” plants from other varieties nearby In cross-pollinating crops pollen from nearby (and even not so nearby) fields may cause varietal mixture

• Planting A mechanical mixture of seeds of other varieties can happen at planting by either dumping a bag of the wrong seed in the planter or not thoroughly cleaning the planter before planting

• Harvesting Harvesting equipment must be thoroughly cleaned between varieties This includes the combine and any equipment used in handling and transporting the crop As previously mentioned care must be exercised in manipulating the equipment around other varieties planted nearby

• Storage Storage facilities need to be completely cleaned This includes handling equipment as well as the storage bins

• Handling and transportation equipment When delivering the IP product to the next step in the chain the same care is needed to check and clean the equipment used to move the grain from storage to the transportation equipment The transportation equipment should be checked just prior to loading

• Handling and processing equipment From the point of the grower

to the ultimate end user there may be a few or many points for potential contamination The same care is required at each point of physical transfer of the IP product and any equipment used in the conditioning and processing of the product

• Equipment design considerations When considering equipment that will be used to plant, harvest, handle, transport, store, condition, and process IP crops it is wise to observe the ease of cleaning The equipment should be “self-cleaning” as much as possible In other words there should be few places where seed and other plant materials will lodge in the equipment

Varietal purity

potential points

of contamination

When considering the seed purity of the planting seed for the IP crop and the thoroughness or precision of the IP procedures at each step in the production and handling it is important to remember that any varietal purity contamination throughout the IP system will be cumulative It will be the total varietal or type impurity in the delivered product that will determine the level of IP purity delivered As an example let’s look

at several points of varietal contamination:

Table 3.1 Example of potential contamination in IP corn

Purchase planting seed Varietal mixture in seed 0.40 Grower planting Mechanical mixture in planter 0.01

Grower harvesting Mechanical mixture in combine 0.02 Grower handling and storage Mechanical mixture in handling 0.01 Delivery and receiving Mechanical mixture in handling 0.01 Barge loading Mechanical mixture in handling 0.01 Transloading to ship Mechanical mixture in handling 0.01 Ship unloading Mechanical mixture in handling 0.01 Receiving and storage Mechanical mixture in handling 0.01 Delivery to end user Mechanical mixture in handling 0.01

Accumulated varietal mixture 1.00

At the time this handbook is being written the seed industry is asking for

a 1.00% tolerance for GMO material in non-GMO seed varieties If this were to be enacted the above table might look like this:

Table 3.2 Example of potential contamination in IP corn with higher allowed varietal mixture in planting seed

Purchase planting seed Varietal mixture in seed 1.00 Grower planting Mechanical mixture in planter 0.01

Grower harvesting Mechanical mixture in combine 0.02 Grower handling and storage Mechanical mixture in handling 0.01 Delivery and receiving Mechanical mixture in handling 0.01 Barge loading Mechanical mixture in handling 0.01 Transloading to ship Mechanical mixture in handling 0.01 Ship unloading Mechanical mixture in handling 0.01 Receiving and storage Mechanical mixture in handling 0.01 Delivery to end user Mechanical mixture in handling 0.01

Accumulated varietal mixture 1.60

These tables point up the need to manage potential contamination at each

of the points in the growing and handling of IP production When the seller and buyer agree upon tolerance levels for the IP product these will need to be considered Obviously the goal needs to be obtainable and costs will need to be transferred to pricing of the IP product The lower the tolerance for off-types, the higher the costs will be to obtain those

specifications These tables are only examples, hopefully showing

worst-case scenarios It is very possible to attain very low contamination

Cumulative effect

of contamination