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 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 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 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

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. Is there a documented procedure for identifying registered products and ensuring traceability of all products (conforming and non-conforming) to their members/sites?

2. Is a mass balance exercise carried out at least annually for each registered product to demonstrate compliance within the certificate holder’s legal entity?

7. Is there a final document check to ensure correct product dispatch of products originating from certified and non-certified production processes?

10. Are sales details of products originating from certified and non-certified production processes recorded, with particular attention to quantities delivered/sold as originating from certified production processes?

12. Are the PHUs included in the certification scope operating procedures that enable registered products to be identifiable and traceable from receipt through handling, storage, and dispatch?

14. Is this section audited both internally and by the CB also at the PHU level while PHUs are in operation?

1. FV-GFS 19.01: Does the farm have a documented hygiene risk assessment?

2. FV-GFS 19.02: Are documented hygiene procedures in place to minimize food safety risks?

3. FV-GFS 19.03: Have all persons working on the farm received hygiene training?

4. FV-GFS 19.04: Are smoking, eating, chewing, and drinking confined to designated areas?

5. FV-GFS 19.05: Are clean toilets provided for workers, visitors, and subcontractors in the vicinity of their work?

6. FV-GFS 19.06: Are handwashing facilities available for all workers, visitors, and subcontractors who come into direct contact with products?

7. FV-GFS 19.07: Is an animal activity that may result in product contamination managed?

8. FV-GFS 19.08: Are containers used for production and harvesting cleaned, maintained, and appropriate for use?

1. AQ-GFS 06.01.01: Are waste products and sources of pollution identified and classified in all areas of the farm?

1. AQ-GFS 06.02.01: Is there a comprehensive, current, and documented waste management system implemented?

2. AQ-GFS 06.02.02: Is the site kept in a tidy and orderly condition?

3. AQ-GFS 06.02.03: Are holding areas for diesel and other fuel oil tanks environmentally safe?

1. AQ-GFS 06.03.01: Are an environmental impact assessment (EIA) and an environmental risk assessment (ERA), including biodiversity, in place?

1. AQ-GFS 06.04.01: Does water abstraction and discharge meet the requirements set by the competent authority and not pose a risk to local communities and natural biodiversity?

2. AQ-GFS 06.04.03: Is inlet/outlet water quality in compliance with local regulations and requirements of the EIA/EMP?

3. AQ-GFS 06.04.05: Is water quality in all storage systems verified as adequate for its uses?

4. AQ-GFS 06.04.06: Are the measured impacts of effluents in accordance with legislation and the prescriptions of the EIA/EMP?

1. Does the residue monitoring system (RMS) operate independently of its participants, including producers and suppliers?

2. Is there a register maintained that identifies all participants and their relevant information?

3. Does the residue monitoring system (RMS) operator have a signed or confirmed agreement with each participant?

4. Does the residue monitoring system (RMS) registration specify which products originate from GLOBALG.A.P. certified production processes for each producer?

1. Is information on maximum residue limits (MRLs) available for the destination markets where the products will be traded?

2. Has a risk assessment been completed for all registered products, and are the maximum residue limits (MRLs) of the countries of production and destination applied?

3. Does the risk assessment reflect the production conditions of the participating producers or the origin of the products supplied by the participating supply chain actor?

4. For the production of fruit and vegetables, combinable crops, tea, and hops, is the sampling frequency determined based on the risk assessment to assess compliance with the maximum residue limits (MRLs)?

5. For the trade of fruit and vegetables, combinable crops, tea, and hops, is the sampling frequency determined based on the risk assessment to assess compliance with the maximum residue limits (MRLs)?

6. Are the analysis methods for testing maximum residue limits (MRLs) defined?

7. Is an annual sampling plan available, based on the annual risk assessment, and are the maximum residue limit (MRL) test results from the previous year or season considered when establishing the sample plan?

1. Are the sampling procedures documented?

2. Are the sample takers trained and independent?

3. Are records of sampling maintained?

4. For the production of fruit and vegetables, are samples for maximum residue limit (MRL) testing taken from products that are close to harvest or have already been harvested?

1. Is the laboratory used for maximum residue limit (MRL) analysis accredited?

2. Are the test results assessed in accordance with the applicable legislation regarding maximum residue limits (MRLs)?

3. Does the residue monitoring system (RMS) operator have a procedure in place to communicate analysis results to the participant concerned?

4. Are the analysis results traceable?

1. Does the residue monitoring system (RMS) operator inform the participant if an unauthorized plant protection product (PPP) is detected in the sample for maximum residue limit (MRL) testing?

2. Does the residue monitoring system (RMS) operator inform both the participant and the certification body (CB) in the event of a maximum residue limit (MRL) exceedance?

3. Does the residue monitoring system (RMS) operator keep records of maximum residue limit (MRL) exceedances?

1. Are residue monitoring system (RMS) records complete and kept for a minimum of two years?

2. Are residue monitoring system (RMS) records available or made available during the participant’s certification body (CB) audit?

3. Are residue monitoring system (RMS) procedures and records available during the certification body (CB) audit or made available during the CB farm audit?

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)?