Globalgap Checklist Version 6 - Smart QMS
FV 12 Laboratory Testing
FO 07 Plant Protection Products
AQ 17 Specifications, Non-Conforming Products, And Product Release At The Farm
QMS 04 Complaint Handling
5. QMS 04 e): If the certificate holder or a producer group member faces a complaint regarding food safety, workers’ well-being, environmental protection, or animal welfare, or if involved in a court trial or has been found by a court to have infringed national or international law, and these actions could endanger the reputation of FoodPLUS GmbH or the GLOBALG.A.P. standard, does the certificate holder inform the CB within 24 hours?
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FV 13 Equipment And Devices
FO 08 Postharvest
AQ 19.01 Chemical Compound Storage
QMS 05 Internal Audits
QMS 05.01 Internal QMS Audits
3. QMS 05.01 c): If the internal QMS auditor lacks necessary training in food safety and/or good agricultural practices (G.A.P.) but only has QMS training/experience, does another qualified person, identified in the QMS, form part of the internal audit team to perform the internal PHU audits and approve internal farm audits? Are persons without food safety and G.A.P. qualifications excluded from performing internal farm audits?
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QMS 05.02 Internal Members/Sites Audits
1. QMS 05.02 a): 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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7. QMS 05.02 g): Does the internal farm audit report contain the following information: • Identification of registered member(s)/site(s) • Signature of the registered member and/or person responsible for the production site • Date • Internal farm auditor’s name and signature • Registered products • Internal farm audit results against each of the GLOBALG.A.P. P&Cs • Comments on P&Cs (including details for Major Must P&Cs found to be compliant, non-compliant, or not applicable) • Details of any non-compliances identified and the period for implementation of corrective actions • Internal farm audit results with the calculation of compliance • Duration of the internal farm audit (record of start and end time) • Name of the internal QMS auditor who approved the audit report?
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QMS 05.03 Non-Compliances, Corrective Actions, And Sanctions
1. QMS 05.03 a): 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 15 Food Defense
FO 12 Workers’ Health And Safety
AQ 20 Farmed Aquatic Species Welfare, Management, And Husbandry
AQ 20.08 Biosecurity
QMS 06 Product Traceability And Segregation
3. QMS 06 c): Are products meeting the requirements of the relevant GLOBALG.A.P. standard and marketed as such handled in a manner that prevents their being mixed with products not meeting the requirements of the GLOBALG.A.P. standard? Is there an effective system to ensure segregation of products originating from certified and non-certified production processes?
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4. QMS 06 d): Are effective systems and procedures in place to prevent any mislabeling of products originating from GLOBALG.A.P. certified and non-certified production processes? Are conforming products entering the PHU(s) immediately identified with a GLOBALG.A.P. identification number (e.g., GGN) or any other reference that provides a unique certification status reference?
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5. QMS 06 e): If the certificate holder wants to label their products with a GLOBALG.A.P. identification number (e.g., GGN), is it either the certificate holder’s identification number, the identification number of the producer group member, or both? Is the identification number used on the smallest individually packed unit, regardless of whether it is final consumer packaging or not?
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8. QMS 06 h): Does all transaction documentation related to sales of products from a certified production process include the GLOBALG.A.P. identification number of the certificate holder and a reference to the GLOBALG.A.P. certification status? Is this not obligatory in internal documentation but required for external sales-related documents?
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9. QMS 06 i): 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? Do records include the following: • Product description • GLOBALG.A.P. certification status • Quantities of incoming/purchased products • List of approved suppliers and supplier details • Copy of the GLOBALG.A.P. certificates (for certified products) • Traceability data/codes • Purchase orders/invoices?
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11. QMS 06 k): Are quantities (including information on volumes or weight) of incoming, outgoing, and stored products recorded and summarized to facilitate mass balance verification? Are documents available for demonstrating the consistent balance between certified and non-certified input and output?
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16. QMS 06 k): Are quantities (including information on volumes or weight) of incoming, outgoing, and stored products recorded and summarized to facilitate mass balance verification? Are documents available for demonstrating the consistent balance between certified and non-certified input and output?
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FV 16 Food Fraud
FO 13 Workers’ Welfare
AQ 24.01 Harvesting – Method Of Harvest/Dispatch
AQ 24.02 Traceability Of Harvested Farmed Aquatic Species
QMS 07: Product Withdrawal
FV 19 Hygiene
AQ 01 Site History And Site Management
AQ 25.01 Farmed Aquatic Species Welfare In Holding And Crowding Facilities, Including Live Well Boat Transfer, And/or Prior To Slaughter
AQ 25.02 Mortalities In Holding Facilities, Including Well Boats, And/or Prior To Slaughter
AQ 25.03 Escapes And Indigenous Species
QMS 08: Outsourced Activities
4. QMS 08 d) If the PHU is subcontracted and holds a post-farm gate food safety certification recognized by the Global Food Safety Initiative (GFSI) for scope BIII, does the internal QMS auditor audit segregation, traceability, and postharvest treatments? Can the internal QMS auditor reaudit all applicable P&Cs if needed? If the subcontracted PHU is included in another GLOBALG.A.P. certification, can the QMS accept this certificate or decide to perform its own internal audit?
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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 Workers' Welfare
AQ 02 Internal Documentation
AQ 26.01 Stunning And Bleeding
AQ 26.02 Blood Waters
QMS 09: Registration Of Additional Members/Sites To The Certificate
4. QMS 09 d) If newly registered farms increase the production area or quantity produced by more than 10% in one year, or if member/site changes exceed 10%, are further CB audits required for the new members/sites, as well as a CB audit of the relevant part of the QMS before they can be added?
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FV 21 Site Management
AQ 03 Hygiene
AQ 27 Depuration
QMS 10: Logo Use
FV 22.03 Natural Ecosystems And Habitats Are Not Converted Into Agricultural Areas
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 28.01 Management Structure
AQ 28.02 Input And Output Verification
1. AQ-Smart 28.02.01: Before or during the transfer of ownership, does the producer have a procedure for systematically authenticating, via the GLOBALG.A.P. IT systems, suppliers’ GLOBALG.A.P. Numbers (GGNs) or Chain of Custody (CoC) Numbers, the expiration date of their certificates, and the country of destination included in each certificate?
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4. AQ-Smart 28.02.04: Does the producer have a procedure for systematically filing a complaint with the GLOBALG.A.P. Secretariat if a supplier fails the input verification in the GLOBALG.A.P. IT systems (e.g., a certificate may be counterfeit, issued to another legal entity, expired, etc.)?
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AQ 28.03 Traceability
AQ 28.04 Identification Of Output With Certified Status (Originating From Certified Production Processes)
AQ 28.05 Products With The GGN Label Visual Elements
5. AQ-Smart 28.05.05: If the producer no longer has a valid license agreement for the use of the GGN label visual elements, is the packaging with the GGN label visual elements replaced in the market with packaging without the GGN label visual elements, and is all off-product label use discontinued?
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AQ 28.06 Food Safety System
QMS 11.1 Key Tasks - QMS Manager
1. QMS 11.1 a) Does the QMS manager manage the organization’s QMS to ensure compliance by all registered members/sites and PHUs, including developing and controlling QMS documentation, managing an internal register, receiving QMS audits (both internal and by the CB), and implementing necessary corrective actions?
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QMS 11.2 Key Tasks - Internal QMS Auditors
QMS 11.3 Key Tasks - Internal Farm Auditors
FV 23 Energy Efficiency
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
QMS 12.1 Formal Qualifications For Internal QMS Auditors
1. QMS 12.1 a) Do internal QMS auditors need a post-high school diploma in a discipline related to the scope of certification (plants and/or aquaculture), an agricultural high school qualification with two years of relevant experience, or any other high school qualification with two years of QMS experience and three years of relevant scope experience after qualification?
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QMS 12.2 Formal Qualifications For Internal Farm Auditors
1. QMS 12.2 a) Do internal farm auditors need a post-high school diploma in a discipline related to the scope of certification (plants and/or aquaculture), an agricultural high school qualification with two years of relevant experience, or any other high school qualification with three years of sector-specific experience (e.g., farm management, commercial consultant, or field experience) and participation in relevant educational opportunities?
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FV 25 Waste Management
AQ 07.06 Energy Efficiency
QMS 12.3.1 Technical Skills And Qualifications - QMS Manager
11. QMS 12.3.4 c) For plant scope, is training in plant protection, fertilizer, and integrated pest management required, either as part of formal qualifications or through successful completion of formal training with specialists on these topics? For aquaculture scope, is training in basic veterinary medicine, including animal health and welfare issues, required?
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FV 27 Genetically Modified Organisms
AQ 09 Recall And Withdrawal Procedure
QMS 12.4 Communication Skills
QMS 12.5 Independence And Confidentiality
FV 30.01 Water Use Risk Assessments And Management Plan
FV 30.02 Water Sources
FV 30.04 Water Storage
FV 30.05 Water Quality
AQ 10 Food Defense
FV 03 Resource Management And Training
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 32.08 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 11 GLOBALG.A.P. Status
FV 05 Specifications, Suppliers, And Stock Management
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
AQ 13 Parallel Ownership
QMS 01.01 Legality
3. QMS 01.01 c): Has the legal entity entered into a contractual relationship with FoodPLUS GmbH by signing the GLOBALG.A.P. sublicense and certification agreement, or explicitly acknowledged receipt and inclusion of the agreement by signing a service contract/agreement with the CB? Does the CB provide a copy of the GLOBALG.A.P. sublicense and certification agreement to the QMS manager, and does the agreement cover all scopes, standards, and add-ons in the QMS certification scope?
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6. QMS 01.01 f): If a producer group/multisite producer with QMS joins another producer group, shall the two QMSs merge into one, managed by a new single legal entity, which will be the certificate holder responsible for all registered production, including placing the product on the market?
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QMS 01.01.01 Legality - Producer Group Members
1. QMS 01.01.01 a): Are there written contracts in force between each producer group member and the legal entity, which include the following elements? • Producer group name and legal identification • Name and legal identification of the producer group member • Producer group member’s contact address • Details of the individual production sites, including certified and non-certified production processes • Details of area (plants) or tonnage (aquaculture) • Producer group member’s commitment to comply with the requirements of the relevant GLOBALG.A.P. standard • Producer group member’s agreement to comply with the producer group’s documented procedures, policies, and technical advice • Sanctions for non-compliance with GLOBALG.A.P. requirements • Signatures of producer group members and representatives
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3. QMS 01.01.01 c): Do producer group members understand that they are not legal certificate holders, and therefore, cannot market products under the producer group certificate name? Are all products sold without reference to the certificate 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. QMS 01.01.02 b): For production sites that are not owned by the legal entity, is there a signed document indicating that the site owner does not have any responsibility or decision-making capacity for production operations at the rented-out site? Do the contracts between the legal entity and the production site owner include the following elements? • Certificate holder name and legal identification • Name and legal identification of the production site owner • Production site owner’s contact address • Details of the individual production sites • Signatures of both parties’ representatives
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QMS 01.02 Internal Register
2. QMS 01.02 b): After certification has been achieved, can the producer group issue a declaration to its members indicating they are producer group members? Does the declaration list the members in the certificate annex and clarify that it does not replace the certificate and cannot be used in a trade or for certification claims?
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QMS 01.02.01 Internal Register - Multisite Producers With QMS
1. QMS 01.02.01 a): Does the internal register contain at least the following information for each production site? • Production site identification • Production site location • Information regarding the relationship of the legal entity to the production site (ownership, rental, etc.) • Registered products • Products not included in registration • Production area and/or quantity for each registered product • CB (including all CBs used for different products or standards) • Production site status (approved, suspended, etc., from the last internal farm audit) • Date of the last internal farm audit
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QMS 01.02.02 Internal Register - Producer Groups
1. QMS 01.02.02 a): Does the internal register contain at least the following information for each producer group member? • Name of producer group member • Name of the contact person • Full address (physical and postal) • Contact data (telephone number and email address) • Other legal entity ID (e.g., VAT number, ID number, etc.), as required in the country of production • Registered products • Details of the individual production sites and their locations, including products originating from certified and non-certified production processes • Production area and/or quantity for each registered product • CB (list of all CBs, including information regarding which products or standards each CB is used for) • Producer group member status (internal status as a result of the last internal farm audit, e.g., approved, suspended) • Date of last internal farm audit
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3. QMS 01.02.02 c): Are the internal register and the list of producers not included in the certification scope maintained for management purposes within the producer group, and are they not disclosed externally unless necessary to clarify issues regarding the effectiveness of the producer group’s QMS? Is the internal register and list available to the CB during the QMS audit?
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FV 10 Complaints
FO 01 Management
AQ 15 Food Safety Policy Declaration
QMS 02 Management And Organization
QMS 02.01 Structure
3. QMS 02.01 c): Is the organizational structure documented and does it include individuals responsible for and capable of: • Managing the QMS (QMS manager(s)) • Conducting the internal QMS audit and verifying the internal farm audits (internal QMS auditor(s)) • Conducting an annual internal farm audit for each member/site (internal farm auditor(s)) • Training the internal auditors and producers • Providing technical advice to the producer group (voluntary)?
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QMS 02.02 Competency And Training Of Staff
2. QMS 02.02 b): Does the management ensure that all staff responsible for compliance with the relevant GLOBALG.A.P. standard are adequately trained and meet the defined competency requirements? This includes: • Ensuring internal QMS auditors and internal farm auditors are independent from the members/sites • Ensuring the competence of internal QMS auditors, internal farm auditors, and QMS managers is checked by management and reviewed by the CB according to the minimum qualification requirements for key staff • Ensuring that technical advisers to the members/sites meet the requirements described in the applicable P&Cs of the relevant GLOBALG.A.P. standard based on the advice provided (e.g., plant protection product advisers, veterinary services)
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4. QMS 02.02 d): If there is more than one internal QMS auditor or internal farm auditor, do they undergo training and evaluation to ensure consistency (calibration) in their approach and interpretation of the relevant GLOBALG.A.P. standard (e.g., through documented internal witness audits)?
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5. QMS 02.02 e): 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? Is evidence of induction and annual refreshment training for key staff available, including regulatory compliance if applicable?
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FV 11 Non-Conforming Products
FO 05 Water Management
AQ 16 Food Fraud Mitigation
QMS 03 Document Control
1. QMS 03 a): Is all documentation relevant to the operation of the QMS for GLOBALG.A.P. compliance adequately controlled? Does this documentation include, but is not limited to, the following: • The quality manual • GLOBALG.A.P. operating procedures • Work instructions and policies • Recording forms • Relevant external standards (e.g., the current GLOBALG.A.P. normative documents)
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4. QMS 03 d): Are the contents of the quality manual reviewed periodically to ensure it continues to meet the requirements of the relevant GLOBALG.A.P. standard and any internal requirements defined by the QMS? Are modifications of the applicable GLOBALG.A.P. standard or published normative documents 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. QMS 03.02 d): Are records kept online or electronically valid? If a signature is required, is it 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, is it present? Are the electronic records available during audits, and are backups available at all times?
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