Global GAP Audit Checklist v6 - IFA QMS

Utilize the GlobalGAP Audit Checklist v6 for IFA (Integrated Farm Assurance) QMS as a template for self-assessments of your quality management system.

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Global GAP Audit Checklist v6 - IFA QMS

QMS 07 Product Withdrawal

2. Do procedures identify the types of events that may result in a withdrawal, persons responsible for making decisions on the possible product withdrawal, the mechanism for notifying customers and the GLOBALG.A.P. approved CB and methods of reconciling stock?

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FV 20.01 Risk Assessment And Training

FV 20.02 Hazards And First Aid

FV 20.03 Personal Protective Equipment

FV 20.04 Workersâ€™ Welfare

AQ 07.06 Energy Efficiency

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 09 Recall And Withdrawal Procedure

QMS 09 Registration Of Additional Members/Sites To The Certificate

1. Are new sites and members added to a valid certificate (provided internal approval procedures are met)? Is it the responsibility of the certificate holder to immediately update the CB on any addition or withdrawal of members/sites to/from the list of approved members/sites?

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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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6. Regardless of the number of members/sites and the increase in quantity, if a new product is to be added to the certificate between surveillance CB audits and certification audits, is a CB audit carried out to the square root of the members/sites growing the new product?

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FV 22 Biodiversity And Habitats

AQ 10 Food Defense

QMS 10 Logo Use

FV 23 Energy Efficiency

AQ 11 GLOBALG.A.P. Status

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 13 Parallel Ownership

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

1. Is training in the HACCP system either as part of formal qualifications or by the successful completion of formal training based on the principles of the Codex Alimentarius or training in food safety management standards (e.g., ISO 22000, BRCGS, IFS, PHA) required?

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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 15 Food Safety Policy Declaration

FV 02 Continuous Improvement Plan

FV 27 Genetically Modified Organisms

AQ 16 Food Fraud Mitigation

General Inspection

FV 03 Resource Management And Training

FV 30.01 Water Use Risk Assessments And Management Plan

FV 30.02 Water Sources

AQ 17 Specifications, Non-conforming Products, And Product Release At The Farm

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 19.01 Chemical Compound Storage

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 20.02 Farmed Aquatic Species Health And Welfare

AQ 20.08 Biosecurity

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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5. Are there written contracts in force between each producer group member and the legal entity that include the details of the area (plants) or tonnage (aquaculture) (or does the contract refer to the producer group’s internal register for this information)?

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7. Are there written contracts in force between each producer group member and the legal entity that include the producer group member’s agreement to comply with the producer group’s documented procedures, policies, and, where provided technical advice?

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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

2. Are those producers who do not apply to be included in the GLOBALG.A.P. producer group certification listed separately and not registered in the GLOBALG.A.P. IT systems (unless they have applied for a benchmarked scheme/checklist or any other GLOBALGAP standard)?

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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

FV 33.07 Air And Compressed Gases

AQ 24.01 Harvesting â€“ Method Of Harvest/Dispatch

AQ 24.02 Traceability Of Harvested Farmed Aquatic 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

1. Must the competency requirements, training, and qualifications for key staff (those mentioned in section QMS 02.01 Structure, but also any other identified personnel) be defined and documented? Do these qualification requirements also apply to external consultants?

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4. If there is more than one internal QMS or internal farm auditor, must they undergo training and evaluation to ensure consistency (calibration) in their approach and interpretation of the relevant GLOBALG.A.P. standard (e.g., by documented internal witness audits)?

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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 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 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

1. Are there records to demonstrate effective control and implementation of the QMS (including requirements, policies, and procedures of the quality manual and other relevant QMS documentation) and compliance with the requirements of the relevant GLOBALG.A.P. standard?

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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 26.01 Stunning And Bleeding

AQ 26.02 Blood Waters

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 27 Depuration

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 Workersâ€™ Occupational Health And Safety

Global GAP Audit Checklist v6 - IFA QMS

Utilize the GlobalGAP Audit Checklist v6 for IFA (Integrated Farm Assurance) QMS as a template for self-assessments of your quality management system.

1. Are documented procedures in place to effectively manage the withdrawal of registered products?

2. Do procedures identify the types of events that may result in a withdrawal, persons responsible for making decisions on the possible product withdrawal, the mechanism for notifying customers and the GLOBALG.A.P. approved CB and methods of reconciling stock?

3. Is the procedure capable of being operated at any time?

4. Is the procedure tested in an appropriate manner at least annually to ensure that it is effective and records of the test are retained? If a real withdrawal occurred during the last 12 months, can it be counted as the annual test?

1. FV-GFS 20.01.01: Is there a documented risk assessment for workers’ health and safety?

2. FV-GFS 20.01.02: Does the farm have health and safety procedures?

3. FV-GFS 20.01.03: Have all staff received health and safety training according to the risk assessment?

1. FV-GFS 20.02.01: Are accident and emergency procedures displayed and communicated?

2. FV-GFS 20.02.02: Is safety advice for substances hazardous to workers’ health and safety immediately available and accessible?

3. FV-GFS 20.02.03: Are first aid kits accessible at all permanent sites and fields near the work?

4. FV-GFS 20.02.04: Is there always at least one person trained in first aid present on the farm whenever on-farm activities are being carried out?

1. FV-GFS 20.03.01: Are workers, visitors, and subcontractors equipped with suitable personal protective equipment (PPE)?

2. FV-GFS 20.03.02: Is personal protective equipment (PPE) maintained in clean conditions and stored appropriately so as not to pose any contamination risk to personal items?

3. FV-GFS 20.03.03: Is there evidence that the provided personal protective equipment (PPE) is used by the workers?

4. FV-GFS 20.03.04: Are suitable changing facilities available where necessary?

1. FV-GFS 20.04.01: Is there communication between management and workers on issues related to their health, safety, and welfare?

2. FV-GFS 20.04.02: Do workers have access to clean drinking water, food storage, and areas to eat and rest?

3. FV-GFS 20.04.03: Are on-site living quarters compliant with applicable local regulations, habitable, and equipped with basic services and facilities?

4. FV-GFS 20.04.04: Is transportation provided to workers safe?

1. AQ-GFS 07.06.01: Is on-farm energy use monitored?

2. AQ-GFS 07.06.02: Is there a plan to improve energy efficiency based on monitoring results?

3. AQ-GFS 07.06.03: Does the plan to improve energy efficiency consider minimizing the use of nonrenewable energy where possible?

1. Where any activities are outsourced to third parties, do procedures exist to ensure that these activities are carried out in accordance with the requirements of the relevant GLOBALG.A.P. standard?

2. Are records maintained to demonstrate that the competency of any subcontractor is assessed and meets the requirements of the relevant GLOBALG.A.P. standard?

3. Do subcontractors work in accordance with the QMS-relevant procedures, and is this specified in service-level agreements or contracts?

1. FV-GFS 21.01: Is a documented risk assessment completed for all registered sites?

2. FV-GFS 21.02: Has a management plan that establishes strategies for minimizing the risks identified in the risk assessment for operation suitability been developed and implemented and is it reviewed regularly?

3. FV-GFS 21.03: Does the producer have a system for identifying sites and facilities used for production?

4. FV-GFS 21.04: Is the site kept in a tidy and orderly condition?

5. FV-GFS 21.05: Does the producer recognize the farm as an agricultural ecosystem that interacts with neighboring landscapes (while the legal scope of the producer is on the farm)?

6. FV-GFS 21.06: Where the operation handles or stores allergens, does the operation have a documented allergen management program?

1. AQ-GFS 09.01: Are documented procedures in place to manage the recall and withdrawal of products originating from certified production processes from the marketplace, and are these procedures tested annually?

1. Are new sites and members added to a valid certificate (provided internal approval procedures are met)? Is it the responsibility of the certificate holder to immediately update the CB on any addition or withdrawal of members/sites to/from the list of approved members/sites?

2. Can up to 10% of new members/sites in one year be added to the approved list by registering the members or sites without necessarily resorting to further verification by the CB?

5. In 3) and 4) is the minimum sample of members/sites to be audited by a CB the square root of the number of new members/sites?

6. Regardless of the number of members/sites and the increase in quantity, if a new product is to be added to the certificate between surveillance CB audits and certification audits, is a CB audit carried out to the square root of the members/sites growing the new product?

1. FV 22.03: Are natural ecosystems and habitats not converted into agricultural areas?

2. FV-GFS 22.03.01: On the farm (within the farm boundaries), have no areas with legally recognized conservation value (or effectively protected by other means) been converted into agricultural areas or into other uses since 1 January 2014?

1. AQ-GFS 10.01: Is a food defense system in place to address risks associated with malicious attacks or contamination?

1. Does the producer group/multisite producer use the GLOBALG.A.P. claim according to the rules in “GLOBALG.A.P. trademarks use: Policy and guidelines”?

1. FV-GFS 23.01: Is on-farm energy use monitored?

2. FV-GFS 23.02: Based on the results of the monitoring, is there a plan to improve energy efficiency on the farm?

3. FV-GFS 23.03: Does the plan to improve energy efficiency consider minimizing the use of nonrenewable energy?

4. FV-GFS 23.04: Is the management of energy supported with metrics?

1. AQ-GFS 11.01: Does transaction documentation include reference to the GLOBALG.A.P. status and the GLOBALG.A.P. Number (GGN)?

2. Does the QMS manager conduct internal farm audits (at members/sites) to assess compliance with the certification requirements?

3. Does the QMS manager produce timely and accurate reports on such internal farm audits?

4. Does the QMS manager not perform internal QMS audits?

5. If the QMS manager does not perform the internal farm audits, can they approve the members/sites based on the audit reports of the internal farm auditor(s)?

1. Does the internal QMS auditor audit the QMS and central PHUs of the producer group/multisite producer with QMS to assess compliance with the certification requirements?

2. Does the QMS auditor produce timely and accurate reports on such audits?

3. Does the QMS auditor approve the members/sites based on the audit reports of the internal farm auditor(s)? If internal QMS auditors conduct the farm audits, do they not approve those audit reports?

1. Does the internal farm auditor conduct farm audits at members/sites and their PHUs (of producer group members) to assess compliance with the certification requirements?

2. Does the internal farm auditor produce timely and accurate reports on such audits?

3. Does the internal farm auditor not perform internal QMS auditor tasks?

1. FV-GFS 24.01: Does the farm contribute to reducing GHG emissions and removing them from the atmosphere?

1. AQ-GFS 13.01: Is there an effective system in place to identify all products originating from GLOBALG.A.P. certified processes and segregate them from products originating from noncertified processes?

2. AQ-GFS 13.02: Is the GLOBALG.A.P. Number (GGN) indicated on all final products originating from certified production processes when registered for parallel ownership?

3. AQ-GFS 13.03: Is a final verification step in place to ensure the correct dispatch of products originating from certified and noncertified production processes?

4. AQ-GFS 13.04: Are products purchased from different sources identified?

5. AQ-GFS 13.05: Is a documented test of the traceability system conducted annually?

1. Is the completion of internal QMS auditor training related to QMS and training related to the relevant GLOBALG.A.P. standard (total minimum duration of 16 hours) required?

1. Is practical knowledge of QMS required?

2. Is the completion of internal QMS auditor training related to QMS (minimum duration 16 hours) required?

1. Is sign-off of internal farm auditors required to occur as a result of:

1. Is training in the HACCP system either as part of formal qualifications or by the successful completion of formal training based on the principles of the Codex Alimentarius or training in food safety management standards (e.g., ISO 22000, BRCGS, IFS, PHA) required?

2. Is food hygiene training either as part of formal qualifications or by the successful completion of formal training required?

4. In all cases, shall internal auditors have practical knowledge about the products they are auditing? Can this experience be complemented by training on product characteristics and handling operations, which can be done internally?

1. Do the QMS manager and internal auditor(s) have “working language” skills in the corresponding native/working language? This includes locally used specialist terminology in the respective working language.

2. Are exceptions to this rule clarified beforehand with the CB before the internal audit?

2. Do key staff strictly observe the producer group’s/multisite producer’s procedures for maintaining the confidentiality of information and records?

1. FV-GFS 25.01: Is a waste management system implemented?

2. FV-GFS 25.02: Are waste products and sources of pollution identified in all areas of the farm?

3. FV-GFS 25.03: Are all forklifts and other driven transport trolleys clean and well maintained and of a suitable type to avoid contamination through emissions?

4. FV-GFS 25.04: Are holding areas for diesel and other fuel oil tanks environmentally safe?

5. FV-GFS 25.05: Is organic waste managed in an appropriate manner to reduce the risk of contamination of the environment?

6. FV-GFS 25.06: Is the water used for washing and cleaning purposes disposed of in a manner that minimizes the environmental, health, and safety impact?

7. FV-GFS 25.09: Is food waste prevented and managed?