GAP Certification

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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

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Outcome of the Module

• Participants will understandWhat are the important points in getting

certification by a producer, group of producers

What is needed by a certification body to certify GAP

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Overview of the ModuleProcedures for Producers and Certification

Body)

Procedures for Group Producers)

procedures for Certification Body

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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

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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

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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

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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

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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

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Part I General Requirements (Procedures for Producers and

Certification Body)

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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 producerb) Producer group

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Rights & Obligations of Producers

• 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.

Rights Obligations

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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.

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GAP Certification2. 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

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GAP Certification3. GAP Certification Process 3.1 Criteria for certification

Criteria for all GAP requirements shall be verifiedSamples 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 15

GAP Certification(b) Surveillance annual surveillance at least once a yearaccording 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 certificatesubmission for extension of certification by producer

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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,

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GAP Certification3.3 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 certificateName and address of CB

CB must keep list of producers & relevant information updated

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GAP Certification(c) Scope of Certificationcovers

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 GAPDate fixed after producer completes submission for registration/ extension of certification 19

GAP Certification4. Certification Categories Two (2) categories of GAP Certification

Individual CertificationGroup Certification.

 

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

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GAP Certification4.2 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 samplingsampling number of farms/plots shall be at least square root of

total producers of the group

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GAP Certification5. 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

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GAP Certification5.2 Form of SanctionsCB 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, ornon-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.

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GAP Certification5.3 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

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GAP Certification6. 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

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Part II Group Certification (Procedures for Producer

Group)

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GAP Certification1. 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

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GAP Certification2. 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 ManagementManagement structure of producer group shall be provided

with document and clearly indicated the relationship among members and producer group

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GAP Certification2.3 Member’s ContractThere shall be contract between each member of the group and producer group to cover

name and tax payer ID of produceraddressdetails of each plot of production type of cropobligations to abide by the requirements of GAPobligations to abide by the procedures of the group, its

policy (if any) including technical guidelines of the groupsanctions that might be imposed in case of non-

compliance with GAP/ any other internal requirements30

GAP Certification2.4 Producer RegistrationRegistrar 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.31

GAP Certification3. Management and Organization 3.1 persons involved in certification

Producer group to have management structure and appropriate resources – registered producers trained

Management structurecoordinator for internal control systemInternal auditorgroup committee on certification

3.2 Functions and ResponsibilitiesFunctions and Responsibilities of each staff

involving GAP Certification shall be documented32

GAP Certification4. Trainingproducer 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

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GAP Certification5. 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. 34

GAP Certification6. 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 ManualWorking Procedures on GAP (may be included in QM)Recommendation on operation (may be included in QM) record formatsother relevant standard requirements (current GAP reqts)

 

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GAP Certification 6.2 requirements for control of document of QMS

control procedures for QMS document shall be writtendocuments 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.

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GAP Certification7. 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. 37

GAP Certification8. 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

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GAP Certification9. 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 39

GAP Certification9.2 Audit on Production Area and ProducerInternal 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  40

GAP Certification9.3 Non-Compliance and Corrective Action System Process to manage non-compliance with requirements and guidelines for corrective action shall be in place

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GAP Certification10. 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.

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GAP Certification11. 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 Produceproducer 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

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GAP Certification13. 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 

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GAP Certification14. Qualification of Internal AuditorInternal 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:QMSGAPHACCP 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 yearsCommunication Skills 45

Part III Certification Body (CB)

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GAP CertificationPart III Certification Body (CB) 1. Application for AccreditationCertification 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 Operation2.1 CB shall take all general and/or specific requirements for GAP Certification legally issued by Standard Organization,

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GAP Certification3. Auditor 3.1 Qualification of AuditorAuditor shall have capabilities in terms of  Education, Technical Qualification and Training as well as Experiences on Audit

3.2 Main functions

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GAP Certification4. 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 sanctionThe provisions on sanction shall be stipulated by AB

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GAP Certification5. Criteria for Sampling5.1 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 issuesCB consideration to collect sample for

analysisdiscretion of auditor

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GAP Certification5.2 Issue of Analysis and Criteria for Sampling (a) Scope on Crop

issue of analysis: pesticide residue and microbes contamination,

criteria for sampling: weight of crop sample not less than one (1) kilogram, put in seal plastic bag, 1 sample each with label on bag as follows:

-crop species-date of sampling-collector or sender

LAB: shall be accredited as per ISO/IEC Guide 17025

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