GAP Certification

1. GAP Certification

2. Purpose of the Module • To create awareness and understanding on the requirements of GAP certification • To increase capacity of National Governments/ focal points in countries to develop certification requirements for GAP

3. Outcome of the Module • Participants will understand • What are the important points in getting certification by a producer, group of producers • What is needed by a certification body to certify GAP

4. Overview of the Module • Procedures for Producers and Certification Body) • Procedures for Group Producers) • procedures for Certification Body

5. What is Certification (ISO) • Certification: Third-party attestation related to products, processes, systems or persons • Attestation: issue of a statement, based on a decision following review (verification of the suitability, adequacy effectiveness of selection and determination activities, and the result of these activities, with regard to fulfilment of specified requirements by an object of conformity assessment) , that fulfilment of specified requirements has been demonstrated

6. What is Certification (Codex) • Certification:is the procedure by which official or officially recognized certification bodies provide written or equivalent assurance that foods or food control systems conform to requirements. Certification of food may be, as appropriate, based on a range of inspection activities which may include continuous on-line inspection, auditing of quality assurance systems, and examination of finished products

7. Why Gap Certification • Ensuring quality and safety of product throughout the food chain • Gaining market access • Protection of own-brands of super markets • Maintaining consumer confidence in products • Environmental protection and social welfare an added advantage

8. Certification Scheme is the provisions pertaining to GAP Certification or Criteria for Recognition of GAP Certification in order to build up the confidence in issuing of certificate. GAP is the practices on farm to prevent and/or reduce the possible risks of hazards contaminated during planting, harvesting and post-harvest handlings in order to obtain produces with quality, safety and fit for consumption. GAP Certification is verification of practices on the farm that minimize contamination during the production process on farm produces. It covers verification for compliance with eight sections GAP requirements: water sources, production area, application of hazardous substances, storage and transferring produces on farm, record keeping, pest control, management for quality produces, and harvest & post harvest handlings. It certifies respect for the environment, food safety, safety of farming worker. Definitions

9. Composed of three integral parts, namely Part I General Requirements (Procedures for Producers and Certification Body) Part II Group Certification (Procedures for Group Producers) Part III Certification Body (procedures for Certification Body Certification Scheme for GAP

10. Part I General Requirements (Procedures for Producers and Certification Body)

11. 1. Applicant for Certification and Certification Body (CB) 1.1Applicant under the Certification Scheme is producer which can be classified into two categories: a) Individual producer b) Producer group

12. Rights & Obligations of Producers Rights Obligations • getting services from CB timely, • rights to appeal for CB’s decision, • producer can apply for both individual and group certification but not the same produce, • rights to cancel application with CB or request for temporary suspension, • rights to change CB provided correction must be met and cancellation replied from previous CB, • -to accept auditing plan and requirements of certification body (CB), • producer can apply for both individual and group certification but not the same produce, • CB’s decision regarded as confidential, • responsible for compliance with GAP Certification requirements, • responsible for notifying change on its production status, and • These general requirements as well as CB provisions shall be agreeable by producer.

13. GAP Certification 1.2 Certification Body (CB) to provide service on conformity assessment and accredited for its competency in compliance with ISO/IEC Guide 65 under the scope of accreditation.

14. GAP Certification 2. Application for GAP Certification 2. 1 Producer information Producer applying for GAP Certification shall register with CB and provide required information 2.2 Procedures for application submission of application form along with information and relevant documents as required by CB, Producer ID shall be given by CB

15. GAP Certification 3. GAP Certification Process 3.1 Criteria for certification Criteria for all GAP requirements shall be verified Samples may be collected for analysis 3.2 Procedures for Certification (a) Initial assessment producer shall adopt practices according to GAP requirements at least three (3) months

16. GAP Certification (b) Surveillance annual surveillance at least once a year according to GAP requirements & include corrective actions and preventions as proposed by producer (c) Re-assessment for Extension of Certification CB to notify in advance of expiry date of certificate submission for extension of certification by producer

17. GAP Certification (d) Verification without notification For individual certification, verification without notification annually by 10% sampling of certified individual producers (all requirements of scope of certification to be verified) For group certification, 10% sampling of certified producer groups and only quality management of the group shall be verified,

18. GAP Certification 3.3 Status of GAP Certification (a) Term of Certification Certification effective since date of decision made by CB or immediately after correction of non-compliance validity three (3) years. (b) Issuance of Certificate information of producer shall be indicated in certificate: Name and address of certified producer, Scope of certification which may include products certified with name or type of agricultural commodity, Effective date and validity of certificate Name and address of CB CB must keep list of producers & relevant information updated

19. GAP Certification (c) Scope of Certification covers Type of produce, Production site covering all area registered for production including buildings & planting area, Declaration of ownership, Assessment covers all activities of production to be sold out of farm/plot and process involving until the final consumer though the holding & ownership of such produce has been changed e.g., seller, storage, collection and transport of produce., Covers only primary production & not processed product (d) Date for Assessment of GAP Date fixed after producer completes submission for registration/ extension of certification

20. GAP Certification 4. Certification Categories Two (2) categories of GAP Certification Individual Certification Group Certification.

21. GAP Certification 4.1 Individual Certification Producer shall be subject to external audit annually right after producer registration

22. GAP Certification 4.2 Group Certification: Producer shall be subject to 4 audits Internal audit on internal control system - at least once a year, an audit on internal control system of the group Internal audit on production of members - shall be done according to comprehensive checklist of such scope of application. External audit on internal control system - done annually by CB External audit on production of members CB shall select members of the group through random sampling sampling number of farms/plots shall be at least square root of total producers of the group

23. GAP Certification 5. Non- Compliance and Sanctions 5.1 Non-Compliance (a) Non-compliance with requirements criteria: Producer not complying with requirements criteria on GAP during the valid date of certification. (b) Non-compliance with agreement: Between producer and CB

24. GAP Certification 5.2 Form of Sanctions CB can impose sanction on producer if non-compliance with agreement found - three (3) sequential levels Warning - producer not correcting non-compliance on GAP requirements within prescribed period Suspension - if producer does not take corrective action as warned by CB Revocation. producer cannot correct non-compliance partly or wholly within prescribed period and passed over six months, or non-compliance found on production process & proved that production quality cannot be ensured & certain to affect confidence in product producer cannot change CB unless non-compliance is corrected.

25. GAP Certification 5.3 Warning and Appeal (a) Decision on Sanction - all sanctions (warning, suspension and revocation) shall be determined by GAP Approval Committee of CB (b) Corrective Action taken by Producer  If producer does not agree with the imposed sanction, appeal can be pursued to CB by providing justification If producer not confident of CB, can make complaint to AB (c) Cancellation of Sanction - If corrective action taken effectively within prescribed period & notified accordingly

26. GAP Certification 6. The Application of Certification Mark Producer, Importer, Exporter of produce from GAP certified farm can use its certification mark on ???. 7. Registration of Producer Producer intending to apply for certification to CB shall register with CB according to its pertinent rules

27. Part II Group Certification (Procedures for Producer Group)

28. GAP Certification 1. Producer Group The formation of two (2) or more producers of agricultural produces with legal status or natural group The production shall be under the same management system and internal quality control system under the same policy

29. GAP Certification 2. Structure and Management 2.1 Legal Status Documents for registration with CB shall clearly demonstrate that group of producers applying for certification has legal status or is a natural group with no legal status The group of producers shall be responsible for production, management, and the ownership of produces 2.2 Diagram of Management Management structure of producer group shall be provided with document and clearly indicated the relationship among members and producer group

30. GAP Certification 2.3 Member’s Contract There shall be contract between each member of the group and producer group to cover name and tax payer ID of producer address details of each plot of production type of crop obligations to abide by the requirements of GAP obligations to abide by the procedures of the group, its policy (if any) including technical guidelines of the group sanctions that might be imposed in case of non-compliance with GAP/ any other internal requirements

31. GAP Certification 2.4 Producer Registration Registrar of the producer group shall define status of each member of GAP Certification & ensure all area of production comply with GAP requirements – details: name contact person Address contact numbers (phone, fax, e-mail) ID number (e.g., citizen ID, tax payer ID, etc.) registered produce registered planting / production area &/or quantity of registered produce CB lists, in case producer applies with more than one CB, date of internal audit status of certification: during application, GAP certified, warning, suspension, revocation.

32. GAP Certification 3. Management and Organization 3.1 persons involved in certification Producer group to have management structure and appropriate resources – registered producers trained Management structure coordinator for internal control system Internal auditor group committee on certification 3.2 Functions and Responsibilities Functions and Responsibilities of each staff involving GAP Certification shall be documented

33. GAP Certification 4. Training producer group shall ensure that all staff assigned to operate on GAP Certification are well trained & capable to function according to requirements determine knowledge & competency, required training & qualification of designated staff which shall be well written in line with GAP requirements, keep record on qualification & training of those designated staff Ensure that internal auditor is trained & evaluated to ensure compliance with audit procedures & interpretation of GAP requirements of internal auditor & surveillance auditor ensure that the system of updating information and awareness on developments, dissemination and legislative revision in relation to GAP compliance is in place

34. GAP Certification 5. Quality Manual quality management system and internal control relating to GAP requirements shall be provided in quality manual policy & working procedures detailed adequately to demonstrate the control procedures of the group according to major requirements of GAP policy & related procedures shall be determined for member’s registration & designated members quality manual content shall be regularly verified & updated to ensure compliance with GAP requirements/ other requirements of the producer group, GAP or other regulations in force shall be included in quality manual. In case of improvement or change, producer group shall revise accordingly in time as stipulated by CB.

35. GAP Certification 6. Document Control  6.1 Document of Quality Management System All documents related to implementation of QMS for GAP compliance shall be well controlled and regulated Quality Manual Working Procedures on GAP (may be included in QM) Recommendation on operation (may be included in QM) record formats other relevant standard requirements (current GAP reqts)

36. GAP Certification 6.2 requirements for control of document of QMS control procedures for QMS document shall be written documents verified and approved by authorized person prior to publication and if changed (reasons for change given, as appropriate) all controlled documents to have document number, approved date, volume number and page number copies of all documents to be available where QMS in force, procedures to ensure verification on collecting controlled documents and new publication as well as cancellation of out of date document shall be in place.

37. GAP Certification 7. Record Keeping producer group shall maintain information to demonstrate the efficiency of control in compliance with QMS and GAP requirements QMS information relating to operation in compliance with GAP requirements shall be maintained for at least two (2) years, information to be legible, original, collected and kept in appropriate place which shall be easily accessible for further verification information may be kept on-line or electronic; it shall be provided and accessible during audit of CB though back up system shall be provided and all times available.

38. GAP Certification 8. Complaint Management if complaint notified, e.g. complaint from customer, producer group shall provide efficient response system procedures to be documented covering complaint receiving, problem identification, causative analysis, solution and follow up, document and record related to complaint to be maintained complaint management shall cover both producer group and each member

39. GAP Certification 9. Internal Audit on Quality Internal Audit is the assessment of completeness & adequacy of support information & compliance of QMS implementation as specified in document of the group including audit on farm/plot of each member in compliance with GAP requirements 9.1 Audit of QMS QMS audit to be conducted at least once a year internal auditor of producer group shall acquire qualification as per GAP requirements, be appropriately trained & independent from activities & area to be assessed CB to assess competency of internal auditor during audit period internal audit plan, the audit result, follow up on corrective action based on internal audit to be maintained

40. GAP Certification 9.2 Audit on Production Area and Producer Internal auditor to be designated in writing to audit farm/plot At least once a year Review Process on Internal Audit Result shall be included in internal audit report and producer status new member of group given first priority for internal audit original copy of internal audit report maintained & complete internal audit report to cover following information: name of registered producers and production area signature of registered producers audited Date name of internal auditor registered produce result of internal audit each audited checklist to be detailed on remarks, recommendations detail of non-compliance with requirements & time for corrective action based on the internal audit report, group committee on certification makes decision on whether producer is in compliance with GAP

41. GAP Certification 9.3 Non-Compliance and Corrective Action System Process to manage non-compliance with requirements and guidelines for corrective action shall be in place

42. GAP Certification 10. Identification and Traceability of Product Produce in compliance with GAP shall be traceable to its producer and there shall be management system to prevent mixing up of GAP & Non-GAP produce Procedures for identification of registered produce & further traceability of all produce for both compliance and non-compliance to production area shall be in place for scope of certification on crop, harvesting area shall be managed for registered produce to be identified and traceable based on purchase order through post-harvest handling, storage and distribution, working procedures and efficient system will reduce the risk of wrong labeling or mixing up of GAP and Non-GAP.

43. GAP Certification 11. Sanction and Infringement producer group shall provide sanctions system for member not complying with requirements of GAP contract between each producer & producer group to indicate sanction procedures for warning, suspension & revocation, mechanism/ procedures to promptly notify CB on suspension or revocation of its registered member, all information pertaining to non-compliance, corrective action, and decision process to be recorded 12. Revocation on Certified Produce producer group shall have written procedures of revocation on certified produce - cover form of violation which will induce revocation, responsible person for revocation, process on notifying customer & CB & arrangement to renew certification

44. GAP Certification 13. Sub-contractor In case of sub-contracting, producer group shall provide working procedures to ensure such external service will be in compliance with GAP requirements assessment of such sub-contractor competency shall be conducted & recorded contract on such service shall be done between producer group & sub-contractor stipulating that sub-contractor shall operate in compliance with group’s QMS and relevant procedures 

45. GAP Certification 14. Qualification of Internal Auditor Internal Auditor shall have capability to assess QMS of producer group as well as member’s farm/plot applied to CB in terms of Education, Technical Qualification and Training trained in the following fields: QMS GAP HACCP principles Food Hygiene Agricultural field as related to scope of certification: e.g. plant protection, fertilization, IPM, Veterinary drug administration, Animal Husbandry Working experience at least 2 years Communication Skills

46. Part III Certification Body (CB)

47. GAP Certification Part III Certification Body (CB) 1. Application for Accreditation Certification Body (CB) shall be accredited according to ISO/IEC Guide 65 under scope of GAP and relevant requirements by Accreditation Body (AB) 2. Requirements for CB Operation 2.1 CB shall take all general and/or specific requirements for GAP Certification legally issued by Standard Organization,

48. GAP Certification 3. Auditor 3.1 Qualification of Auditor Auditor shall have capabilities in terms of  Education, Technical Qualification and Training as well as Experiences on Audit 3.2 Main functions

49. GAP Certification 4. Sanction on CB  4.1 Non-compliance categories (a) non-compliance with agreement or obligation of accreditation of AB (b) non-compliance with provisions under the scheme 4.2 provisions on sanction The provisions on sanction shall be stipulated by AB

50. GAP Certification 5. Criteria for Sampling 5.1 Cases in which CB shall collect sample for analysis: major non-compliance found on producer over issue of safety of produce complaint from customer on safety issues CB consideration to collect sample for analysis discretion of auditor