Global GAP Audit Checklist v6 - IFA QMS
AQ 25.01 Farmed Aquatic Species Welfare In Holding And Crowding Facilities
AQ 25.02 Mortalities In Holding Facilities, Including Well Boats, And/or Prior To Slaughter
AQ 25.03 Escapes And Indigenous Species
QMS 02 Management And Organization
QMS 02.01 Structure
5. Should members of management annually conduct a management review, make necessary changes, and document the review and results? Can the management review take the form of an annual staff meeting where food safety resources, the status of actions from previous management reviews, external and internal changes relevant to the QMS, and the effectiveness of the QMS are reviewed? Is evidence of this management review available and verified by the CB auditor?
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QMS 02.02 Competency And Training Of Staff
5. Are systems in place to demonstrate that key staff are informed and aware of developments and legislative changes relevant to compliance with the relevant GLOBALG.A.P. standard? Should evidence of induction and annual refreshment training for key staff, including regulatory compliance if applicable, be available?
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FV 12 Laboratory Testing
AQ 01.03 Legislative Framework
AQ 26.01 Stunning And Bleeding
AQ 26.02 Blood Waters
QMS 03 Document Control
4. Are the contents of the quality manual reviewed periodically to ensure that it continues to meet the requirements of the relevant GLOBALG.A.P. standard and those internal requirements defined by the QMS? Are any relevant modifications of the applicable GLOBALG.A.P. standard or published normative and obligatory documents that come into force incorporated into the quality manual within the period given by the GLOBALG.A.P. Secretariat?
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QMS 03.01 Document Control Requirements
QMS 03.02 Records
4. Are records that are kept online or electronically valid? If a signature is required, can it be a password or electronic signature that ensures the unique reference and authorization of the person signing? If a signature of the responsible person is needed, should it be present? Are electronic records available during the audits? Are backups available at all times?
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FV 13 Equipment And Devices
AQ 02 Internal Documentation
AQ 27 Depuration
QMS 04 Complaint Handling
5. If the certificate holder or a producer group member faces a complaint regarding food safety (i.e., potentially involved in a foodborne outbreak), workers’ well-being, environmental protection, or animal welfare, or is involved in a court trial or has been found by a court of law to have infringed a national or international law, and these actions can endanger the reputation and credibility of FoodPLUS GmbH and/or the GLOBALG.A.P. standard, must the certificate holder inform the CB within 24 hours?
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FV 15 Food Defense
AQ 03 Hygiene
AQ 28.01 Management Structure
AQ 28.02 Input And Output Verification
AQ 28.03 Traceability
AQ 28.04 Identification Of Output With Certified Status
AQ 28.05 Products With The GGN Label Visual Elements
AQ 28.06 Food Safety System
QMS 05 Internal Audits
QMS 05.01 Internal QMS Audits
3. Where the internal QMS auditor does not have the necessary training in food safety and/or good agricultural practices (G.A.P.) but only QMS training/experience, does another person with these qualifications (and identified in the QMS) form part of the internal audit team to perform the internal PHU audits and the approval of the internal farm audits? Can persons without food safety and G.A.P. qualifications perform internal farm audits?
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10. Is the internal QMS audit based on the GLOBALG.A.P. QMS requirements? Is the producer group/multisite producer with QMS complete and sign the food safety policy declaration as a commitment to be renewed annually for each new certification cycle? If the QMS (central management) makes this commitment for the organization and for all its members/sites by completing and signing one declaration at the QMS level, is this declaration attached to or included in the QMS checklist used for the internal QMS audit? If the food safety policy declaration has not been completed and signed at the QMS level, does each member/site complete and sign the declaration individually and keep it attached to or included in the internal audit checklist?
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QMS 05.02 Internal Members/Sites Audits
1. Are internal farm audits against all relevant GLOBALG.A.P. P&Cs carried out at each registered member/site (including corresponding production sites and PHUs) at least once per year? Are farm/site production-related records (e.g., medicine/plant protection product (PPP) application records) present and audited on-farm to cross-check them with the farm situation (e.g., products, interviews, stores)?
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QMS 05.03 Non-Compliance, Corrective Actions, And Sanctions
1. Is there a documented procedure for handling non-compliance and corrective actions that may result from internal or CB audits, customer complaints, or failure of the QMS? Does this procedure describe how to identify and evaluate non-conformances and non-compliances detected at the QMS, PHU, and member/site levels?
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FV 16 Food Fraud
AQ 04.01 Workers’ Occupational Health And Safety
AQ 04.02 Training And Assigned Responsibilities
AQ 04.03 Workers’ Hazards And First Aid
AQ 04.04 Personal Protective Equipment
AQ 04.05 Workers’ Welfare
AQ 06.01 Identification Of Waste And Pollutants
AQ 06.02 Waste And Pollution Action Plan
AQ 06.03 Environmental Impact And Management
AQ 06.04 Water Usage And Disposal
1. Organizational Requirements For The Residue Monitoring System (RMS) Operator
2. Risk Assessment
3. Sample Taking
4. Test Results
5. Plan Of Action
6. Records
QMS 06 Product Traceability And Segregation
3. Are products meeting the requirements of the relevant GLOBALG.A.P. standard and marketed as such handled in a manner that prevents them from being mixed with products not meeting the requirements of the GLOBALG.A.P. standard? Is an effective system in place to ensure segregation of products originating from certified and non-certified production processes, which can be done via physical identification or product handling procedures, including the relevant records?
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4. Are effective systems and procedures in place to prevent any mislabeling of products originating from GLOBALG.A.P. certified and non-certified production processes? Do conforming products entering the PHU(s) (either from members/sites or from external sources) immediately identified with a GLOBALG.A.P. identification number (e.g., GGN) or any other reference clearly explained in the QMS procedures and providing a unique reference to their certification status in order to ensure proper segregation during handling processes? Is this reference used on the smallest individually identified unit?
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5. If the certificate holder wants to label their products with a GLOBALG.A.P. identification number (e.g., GGN), can it be the identification number of the certificate holder (producer group/multisite producer), the identification number of the producer group member who produced the product, or both numbers? If producer group members pack and label the product, may the producer group require those members to include the identification number of the producer group (e.g., the GGN of the producer group) with or without the identification number of the producer group member? In the case of multisite producers with QMS, will it be the identification number of the certificate holder? Is the identification number used on the smallest individually packed unit, regardless of whether this unit is final consumer packaging or not? Is the GLOBALG.A.P. identification number not used to label products originating from non-certified production processes?
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6. Does the individual producer/producer group registered for PO identify all final ready-to-be-sold products (either from farm level or after product handling) with the individual producer’s/producer group’s GLOBALG.A.P. identification number if the product is certified? Is the GLOBALG.A.P. identification number not used to label non-certified products? In the cases of multisite producers with a QMS and producer groups, does the QMS ensure correct use of the GLOBALG.A.P. identification number? Are all products traceable to the respective production site/product handling unit (PHU), and are certified and non-certified products fully segregated at all times? Is the individual producer/producer group able to demonstrate that their traceability and recording system guarantees full traceability and segregation? Is having IFA v6 Smart and IFA v6 GFS certification at the same time not considered PO? However, whenever a need arises to identify and segregate the certified product according to the IFA v6 Smart and IFA v6 GFS editions, does the individual producer/producer group use the GLOBALG.A.P. identification number for IFA v6 Smart (e.g., GGN_1234567890123) and the GLOBALG.A.P. identification number with GFS extension for IFA v6 GFS (e.g., GGN_1234567890123_GFS)?
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8. Do all transaction documentation (sales invoices, other sales-related documents, dispatch documentation, etc.) related to sales of products coming from a certified production process include the GLOBALG.A.P. identification number of the certificate holder and contain a reference to the GLOBALG.A.P. certification status? Is this not obligatory in internal documentation, and is positive identification enough (e.g., “GGN_GLOBALG.A.P. certified ”)? Is the indication of the certification status obligatory regardless of whether the certified product (i.e., product coming from a certified production process) is sold as certified or not? Can this not be checked during the initial CB audit because the producer group/multisite producer is not yet certified and cannot refer to the GLOBALG.A.P. certification status before the first positive certification decision?
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9. Appropriately to the scale of the operation, are procedures established, documented, and maintained for identifying incoming products originating from certified and non-certified production processes from members/sites or purchased from different sources (i.e., other producers or traders)? Do records include:
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11. Are quantities (including information on volumes or weight) of incoming, outgoing, and stored products (including the certification status, whether originating from certified or non-certified production processes) recorded and a summary maintained so as to facilitate the mass balance verification process? Do the documents demonstrate a consistent balance between certified and non-certified input and output? Is the frequency of the mass balance verification defined and appropriate to the scale of the operation, but is the verification done at least annually for each product? Are documents for demonstrating mass balance clearly identified? During initial CB audits, is the system ready, but are there still no records available as the processes have not yet been certified?
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13. Are conversion ratios calculated and available for each relevant handling process? Are all generated product waste quantities recorded? Are losses due to handling, sorting, grading, and others be calculated, and records of the losses available for each handling process where the loss occurs? Can the losses be estimated but must be justifiable and supported by records? Is a valid estimated record of the quantity or volume of harvested/slaughtered/processed product compared with the records of the amount of product sold?
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FV 19 Hygiene
AQ 07.06 Energy Efficiency
QMS 07 Product Withdrawal
FV 20.01 Risk Assessment And Training
FV 20.02 Hazards And First Aid
FV 20.03 Personal Protective Equipment
FV 20.04 Workers’ Welfare
AQ 09 Recall And Withdrawal Procedure
QMS 08 Outsourced Activities
4. If the PHU is subcontracted and it already has a post-farm gate food safety certification recognized by the Global Food Safety Initiative (GFSI) for scope BIII (www.mygfsi.com), does the internal QMS auditor audit, as a minimum, segregation and traceability, as well as postharvest treatments, if applicable? Does the internal QMS auditor re-audit all other applicable P&Cs in the case of doubt? If the subcontracted PHU is included in another GLOBALG.A.P. certification (e.g., IFA, CoC, PHA), does the QMS accept this certificate or decide to perform its own internal audit of the PHU?
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FV 21 Site Management
AQ 10 Food Defense
QMS 09 Registration Of Additional Members/Sites To The Certificate
3. If the number of approved members/sites increases by more than 10% in one year, are further CB farm audits of the newly added members/sites and an audit of at least the relevant part of the QMS required before additional members/sites can be added to the certificate? Is the relevant part of the QMS the internal approval procedure: internal farm audit, review of the internal farm audit report, inclusion of the new member/site in the QMS internal register with the status “approved”?
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4. Regardless of the percentage by which the number of approved members/sites increases in one year, if the newly registered farms increase the production area or quantity produced (in the case of aquaculture) of previously registered products by more than 10% in one year, or a change in members/sites exceeds 10%, are further CB audits of the newly added members/sites and a CB audit of at least the relevant part of the QMS required before additional members/sites can be added to the certificate?
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FV 22 Biodiversity And Habitats
AQ 11 GLOBALG.A.P. Status
QMS 10 Logo Use
FV 23 Energy Efficiency
AQ 13 Parallel Ownership
QMS 11.1 Key Tasks - QMS Manager
1. Does the QMS manager manage the organization’s QMS in order to ensure compliance by all registered members/sites and PHUs? This includes, for example, the development and control of QMS documentation, management of an internal register, receiving the QMS audits (both internal and by the CB), and implementing the necessary corrective actions.
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QMS 11.2 Key Tasks - Internal QMS Auditors
QMS 11.3 Key Tasks - Internal Farm Auditors
FV 24 Greenhouse Gases And Climate Change
AQ 15 Food Safety Policy Declaration
QMS 12.1 Formal Qualifications For Internal QMS Auditors
1. Is a post-high school diploma in a discipline related to the scope of certification (plants and/or aquaculture), or an agricultural high school qualification with two years of experience in the relevant scope after qualification, or any other high school qualification with two years of experience in QMS and three years of experience in the relevant scope after qualification, required?
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QMS 12.2 Formal Qualifications For Internal Farm Auditors
1. Is a post-high school diploma in a discipline related to the scope of certification (plants and/or aquaculture), or an agricultural high school qualification with two years of experience in the relevant scope after qualification, or any other high school qualification with three years of sector-specific experience (e.g., farm management, including own operations in the relevant product; commercial consultant in the relevant product; field experience relevant to specific products) and participation in educational opportunities relevant to the scope of certification, required?
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QMS 12.3.1 Technical Skills And Qualifications - QMS Manager
QMS 12.3.2 Technical Skills And Qualifications - Internal QMS Auditor
QMS 12.3.3 Technical Skills And Qualifications - Internal Farm Auditor
QMS 12.3.4 Technical Skills And Qualifications - Training In Food Safety And Good Agricultural Practices For Internal QMS And Farm Auditors
3. For plants scope: Is training in plant protection, fertilizer, and integrated pest management, either as part of formal qualifications or through the successful completion of formal training; all formal training by specialists on these topics, required? For aquaculture scope: Is training in basic veterinary medicine, including animal health and welfare issues, required?
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QMS 12.4 Communication Skills
QMS 12.5 Independence And Confidentiality
1. Are internal auditors not allowed to audit their own work? Is the independence of key staff controlled and ensured by the QMS (i.e., an internal QMS auditor cannot evaluate their own operations or a producer they have also consulted in the last two years, and the QMS manager cannot perform QMS audits)?
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FV 25 Waste Management
AQ 16 Food Fraud Mitigation
FV 02 Continuous Improvement Plan
FV 27 Genetically Modified Organisms
AQ 17 Specifications, Non-conforming Products, And Product Release At The Farm
General Inspection
FV 03 Resource Management And Training
FV 30.01 Water Use Risk Assessments And Management Plan
FV 30.02 Water Sources
AQ 19.01 Chemical Compound Storage
Product Handling
FV 05 Specifications, Suppliers, And Stock Management
FV 30 Efficient Water Use On The Farm
FV 30.04 Water Storage
FV 30.05 Water Quality
AQ 20.02 Farmed Aquatic Species Health And Welfare
AQ 20.08 Biosecurity
Residue Monitoring System (RMS)
FV 10 Complaints
FV 32.01 Plant Protection Product Management
FV 32.02 Application Records
FV 32.04 Empty Containers
FV 32.05 Obsolete Plant Protection Products
FV 32.06 Disposal Of Surplus Application Mix
FV 32.08 Application Of Other Substances
FV 32.09 Plant Protection Product And Postharvest Treatment Product Storage
FV 32.10 Mixing And Handling
FV 32.11 Invoices And Procurement Documentation
AQ 24.01 Harvesting – Method Of Harvest/Dispatch
AQ 24.02 Traceability Of Harvested Farmed Aquatic Species
QMS 01 Legality And Administration
3. Has the legal entity entered into a contractual relationship with FoodPLUS GmbH by signing the GLOBALG.A.P. sublicense and certification agreement in its latest version (available on the GLOBAL GAP website) with a GLOBALG.A.P. approved CB, or explicitly acknowledged the receipt and the inclusion of the GLOBALG.A.P. sublicense and certification agreement by signing the service contract/agreement with the CB, with the CB handing over a copy of the GLOBALG.A.P. sublicense and certification agreement to the QMS manager? Does the GLOBALG.A.P. sublicense and certification agreement include all scopes, standards, and add-ons in the QMS certification scope?
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6. If a producer group/multisite producer with QMS joins another producer group, must the two QMSs merge into one, to be managed by one new single legal entity that will be the certificate holder, who is legally responsible for all registered production, including placing the product on the market?
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QMS 01.01.01 Legality - Producer Group Members Of Producer Groups
4. Are there written contracts in force between each producer group member and the legal entity that include the details of the individual production sites, including products originating from certified and noncertified production processes (or does the contract refer to the producer group’s internal register for this information)?
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11. Since producer group members are not legal certificate holders, can they not market any products under their name with reference to the producer group certificate, and should all products sold without reference to the certificate be recorded in the producer group mass balance system?
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QMS 01.01.02 Legality - Production Sites Of Multisite Producers With QMS
2. For production sites not owned by the legal entity, is there a signed document indicating that the site owner has no responsibility and input or decision-making capacity for the production operations at the rented-out site, and are there written contracts in force between each production site owner and the legal entity that include the following elements: Certificate holder name and legal identification
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3. For production sites not owned by the legal entity, is there a signed document indicating that the site owner has no responsibility and input or decision-making capacity for the production operations at the rented-out site, and are there written contracts in force between each production site owner and the legal entity that include the following elements: Name and legal identification of the production site owner
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4. For production sites not owned by the legal entity, is there a signed document indicating that the site owner has no responsibility and input or decision-making capacity for the production operations at the rented-out site, and are there written contracts in force between each production site owner and the legal entity that include the following elements: The production site owner’s contact address
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5. For production sites not owned by the legal entity, is there a signed document indicating that the site owner has no responsibility and input or decision-making capacity for the production operations at the rented-out site, and are there written contracts in force between each production site owner and the legal entity that include the following elements: Details of the individual production sites
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6. For production sites not owned by the legal entity, is there a signed document indicating that the site owner has no responsibility and input or decision-making capacity for the production operations at the rented-out site, and are there written contracts in force between each production site owner and the legal entity that include the following elements: Signature of both parties’ representatives?
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QMS 01.02 Internal Register
2. After certification has been achieved, can the producer group issue a declaration to its producer group members indicating that they are indeed producer group members? Should producer group members be listed in the certificate annex to receive this declaration, and does the declaration not replace the certificate and shall not be used in trade or to make a claim of certification?
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QMS 01.02.01 Internal Register - Multisite Producers With QMS
QMS 01.02.02 Internal Register - Producer Groups
3. Are the internal register and the list of producers not included in the certification scope used for management purposes within the producer group? Is their content not required to be disclosed externally, unless needed to clarify issues regarding, for example, the effectiveness of the producer group’s QMS? Are the internal register and list of producers not included in the certification scope available to the CB during the QMS audit?
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FV 11 Non-conforming Products
FV 33.01 Packing (In-Field Or Facility) And Storage Areas
FV 33.02 Foreign Bodies
FV 33.03 Temperature And Humidity Control
FV 33.04 Pest Control
FV 33.05 Product Labeling
FV 33.06 Environmental Monitoring Program
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