INTEGRITY REPORT 2016 - GLOBALG.A.P. · EXECUTIVE SUMMARY 3 GLOBALG.A.P. INTEGRITY REPORT 2016 The GLOBALG.A.P. Integrity Program, the first of its kind in food certification, is

INTEGRITY REPORT 2016

03 Executive Summary

04 Training and Harmonization

06 CertificationBodyApproval

07 MonitoringCertificationBodyPerformance

11 ProtectingtheGLOBALG.A.P.Brand

12 ComplaintsManagement

13 ResiduesMonitoringSystem

16 ProvidingCompleteandAccurateInformation

17 TheFuture

CONTENT

EXECUTIVE SUMMARY

3 GLOBALG.A.P. INTEGRITY REPORT 2016

TheGLOBALG.A.P.IntegrityProgram,thefirstofitskindinfoodcertification,isactivearoundtheworld tobuildconfidenceandtrust.

Itsaimistoensureconsistentdeliveryandimplementationofthestandardbyover1,800 trained inspectors and auditorsworkingformore than 154 accredited certification bodiescertifyingover530 products and more than180,000 producers,spreadacrossmore than125 countries in 5 continents.

Italsoactsasafeedbackmechanismthatservestheongoing improvementofallaspectsoftheGLOBALG.A.P.System.

TheIntegrityProgramisbasedondifferentactivitiesthatareinterconnectedandincludetheexplanation ofthesystemandharmonizationofthestandardcriteriathroughdifferentkindsofcertification body (CB) trainings,theadministrationofCB approval,monitoringofCBperformancethroughCB office and producer assessments,theprotection of the GLOBALG.A.P. Brand,controllingthecompleteness and accuracy of database information,andtheinvestigation of complaints,includingthoserelatedto residues in certified products.

AndrasFeketeVicePresident/ChiefIntegrityOfficer

TRAINING AND HARMONIZATION


Everycertificationbody(CB)workingintheGLOBALG.A.P.Systemhastoappointaschememanager,whohastoattendanannualupdateworkshop(SMU – scheme managers update workshops),andanin-housetrainer,whoisresponsibleforthetrainingofauditorsandinspectors,whoisscopespecific,andhastoattendaface-to-facetraining(IHT – in house-trainer trainings)andpassanexamonthecontentoftheentirestandardheisresponsiblefor(IFA-IntegratedFarmAssurance,CoC–ChainofCustody,GRASP–SocialPractice,etc.),foreverystandardversion.

AllGLOBALG.A.P.approvedauditors,whoaretheonesauditingthequalitymanagementsystems(QMS)ofproducergroupsandmultisiteproducers,havetoattendaface-to-facetrainingandpassanexamonhowtoaudittheGLOBALG.A.P.QMS(QMS trainings).Atthesametime,allGLOBALG.A.P.approvedauditorsandinspectorshavetopass

an online examonthecontentofthenormativedocumentsofthestandards,scopesandversions theyareallowedtoaudit.

In2016,1341auditorsandinspectorspassedtheonlineexamforIFAVersion5,571auditorsandinspectorspassedtheonlineexamforGRASP

(GLOBALG.A.P.RiskAssessmentonSocialPractice)and157auditorsandinspectorspassedtheonlineexamforChainofCustody(CoC)StandardVersion5.Examswereavailableinthefollowinglanguages:Arabic,Dutch,English,French,German,Greek,Hungarian,Italian,Polish,Portuguese,Spanish,TurkishandVietnamese.

TrainingNº of Trainings Participants Language

IHTGRASP(GLOBALG.A.P.Risk AssessmentonSocialPractices)

3 24 English

IHTAquaculture 2 14 EnglishIHTCompoundFeedManufacturers 2 14 EnglishIHTCrops 10 90 English,Spanish,GermanIHTLivestock 3 12 EnglishQMS 15 237 English,Spanish,French,ItalianIHTCoC(ChainofCustody) 2 19 EnglishSMU 9 141 English,Italian,German,SpanishTOTAL 46 551

CB Trainings Performed in 2016


IHT Crops, QMS, SMU in San Diego, USA

IHT Crops in Warsaw, Poland

IHT Crops in Biejing, China

QMS in Taipei, Taiwan

QMS in Nairobi, Kenya

IHT Crops, QMS inNew Delhi, India

QMS, SMU inBologna, Italy

IHT Crops, QMS, SMU in Buenos Aires, Argentina

QMS in Queretaro, MexicoQMS in Abijan, Ivory Coast

QMS in Tolouse, France

SMU in Amsterdam, Netherlands IHT GRASP, IHT Aqua, IHT CFM,IHT Crops, IHT Livestock, QMS, SMUin Cologne, Germany

IHT Crops, QMS, SMU in Madrid, Spain

SMU in Frankfurt, Germany

DISTRIBUTION OF CB TRAININGS WORLDWIDE IN 2016


CERTIFICATION BODY APPROVAL

TheGLOBALG.A.P.Secretariatmanagesa certificationbodyapprovalprocessthatis describedinthenormativedocumentsand ontheGLOBALG.A.P.website.

CertificationbodiesthatwanttobecomeGLOBALG.A.P.approvedmustbeaccreditedforISO/IEC17065fortherelevantscope(e.g.Crops,Aquaculture,Livestock)andsub-scope(e.g.FruitsandVegetables,Pigs,etc.)byanaccreditationbody(AB)thatshallbeamemberoftheInternationalAccreditationForum(IAF)andsignatoryoftheMultilateralAgreement(MLA)onProductCertification.Thismeansthattheaccreditationbody(AB)hasbeen

subjecttoapeerevaluationintheproduct certificationfieldandhasreceivedapositiverecommendationinitsreport.

GLOBALG.A.P.signslicenseandcertificationagreements(LCA)withthecertificationbodies thathavesuccessfullypassedtheGLOBALG.A.P.internalapprovalprocess.Theagreementsand theaccreditationensureastandardizedhigh levelofqualityandintegrityofcertification bodies’procedures.

Bytheendof2016thenumberofGLOBALG.A.P.approved CBswas154.

Standards ScopesNº of Approved CBs

IFA–IntegratedFarmAssurance

Crops 133

Aquaculture 15Livestock 9

CFM–CompoundFeedManufacturing

6

CoC-ChainofCustody

40

GRASP 24AlbertHeijn Add-on

47

TOTAL 154


MONITORING CERTIFICATION BODY PERFORMANCE

GLOBALG.A.P.approvedcertificationbodies(CBs)aremonitoredannuallybytheirownaccreditationbodiesaccordingtotheinternationalrulesforproductcertification(ISO17065).

Inaddition,GLOBALG.A.P.hasitsownteamofexpertassessorsthatperformassessmentsoftheCBofficesandofasampleoftheirGLOBALG.A.P.certifiedclients(producerassessments).

TheaimofCBofficeandproducerassessmentsistoverifythatcertificationactivitiescarriedoutbyCBsarecarriedoutinaccordancewiththescheme’snormativedocumentsandthesignedlicenseagreement.

Withthisnumberofassessments,theIntegrity Programcoveredonethirdoftheapprovedcertificationbodiesduring2016,asitusually doeseveryyear.

Theselectionofofficeandproducerstobe assessedisbasedmainlyonriskassessment andfollow-upofsanctions,butthereisalways atleastonethirdoftheassessmentswherethe sampleisselectedrandomly.

Thisyearassessmentshavebeenperformedin 21countrieslocatedinAmerica,Europe,Asia andAfrica.

Assessment Nº CBsNº of Assessors Scope

CBOffice 18 18 5 AllscopesCBsareapprovedfor

IndividualProducers(Op.1)

65 29 5 FV,GRASP

ProducerGroups(Op.2)

35 25 6 FV

TOTAL 118 50 6

Integrity Assessments Performed in 2016:


INTEGRITY ASSESSMENTS WORLDWIDE IN 2016: Aftertheassessments,reportsarereviewedcentrallyandCBassessmentsareclassifiedaccordingtotheirperformance:

1. Unacceptableperformance:GLOBALG.A.P.totakeactionimmediately2. Verypoorperformance:CBneedsmajorimprovement3. Inadequateperformance:CBneedssomeimprovement4. Acceptableperformance5. Performancewellaboveaverage

Basedontheresultsofoneormoreassessmentreportsandincaseoffailuretodemonstrateimprovementfrompreviousassessments,theGLOBALG.A.P.SecretariatforwardstheinformationtotheIntegritySurveillanceCommittee(ISC),forittodecideonCBsanctions.Madeupofindustryexpertswithalocallegalbackground,ISCmembersareappointedbytheBoard,butworkindependentlyandmeetatleast3timesayear.

Toguaranteeanimpartialevaluation,theintegrityassessmentreportsareanonymizedbeforesendingthemtotheISC(i.e.theydon’tincludeinformationregardingtheproducername,GGN,country,certificationbodyname,etc.).

CurrentIntegritySurveillanceCommitteemembersaredisplayedontheGLOBALG.A.P.website.Countriescoveredbyintegrityassessmentsin2016.


Thecertificationbodiesareinformedabouttheirproposedperformanceclassificationandaregiventheopportunitytorespondinawrittenstatement within14daysafternotification.

Certification Body Sanctions:1stWarning: Thecertificationbodyanditsaccreditationbody areinformed.2ndWarning: Thecertificationbodyanditsaccreditationbody areinformed.YellowCard: Thecertificationbodyanditsaccreditationbody areinformed.Thesanctionispublishedonthe GLOBALG.A.P.website.RedCard: Thecertificationbodyanditsaccreditationbody areinformed.Thesanctionispublishedonthe GLOBALG.A.P.website.TheCBisnotallowedto (re)issuenewcertificates.ContractCancellation: Thecertificationbodyanditsaccreditationbody areinformed.Thesanctionispublishedonthe GLOBALG.A.P.website.Thelicenseand certificationagreementiscancelled.

Sanctioningsteps1to5arenotnecessarilyconsecutive.Incaseofdemonstratedfraudorseverebreachofnormativerequirements,thehighestsanctionscanbeappliedimmediately.

Throughtheyears,theamountofofficeswithverylowperformancesorcriticalincidenceshasdiminished.Classification1hasnotbeenfoundsince2009.During2016,noperformanceswithclassifications1or2werefoundatCBofficelevel.Probablyduetothechangeofstandardsversion,mostoftheofficesshowedtheneedtoimplementsomeimprovement,whileonethirdofthemshowedacompletelyacceptableperformancewithnoneedforanycorrection.

Evolution of Certification Body (CB) Performance during Integrity Assessments (2008-2016): CBOfficeAssessmentOutcome

2008

Class.5 2% 2% 7%

Class.4 15% 11% 14% 6% 20% 37% 50% 56% 33%

Class.3 53% 60% 45% 75% 73% 60% 46% 41% 67%

Class.2 28% 26% 41% 19% 3% 4% 3%

Class.1 2% 2%

0%

20%

40%

60%

80%

100%

2009 2010 2011 2012 2013 2014 2015 2016


Evenwhenmostoftheproducerssampledareselectedbasedonriskorasafollow-upofsanctions,in2016almosthalfofthem(49%oftheassessedproducers)reachedandexceededtheexpectedlevelofcompliance(classifications#4and#5)andonly4%showedverypoorperformance(classification#2).Pleasenotethattheassessmentisclassifiedas#3incaseanydeviationhasbeendetectedintheCBperformance,eveniftheproducerhasreachedthecertificationlevel.

ProducerAssessmentOutcome

CIPROProducerOutcome- IndividualProducer

CIPROProducerOutcome-ProducerMember

Class.51unit|2%

Class.433unit|50%

Class.330unit|45%

Class.22unit|3%

2007 2008

Class.5 1% 2% 4% 4% 1% 4%

Class.4 11% 25% 16% 19% 18% 37% 48% 54% 45%

Class.3 14% 57% 46% 57% 55% 73% 55% 45% 40% 48%

Class.2 57% 25% 25% 26% 26% 6% 3% 3% 5% 4%

Class.1 14% 7% 3% 1%

0%

20%

40%

60%

80%

100%

2009 2010 2011 2012 2013 2014 2015 2016

In2016,thecomparisonbetweenproducerscertifiedunderOption1(individualproducers)andunderOption2(producergroups’members)showedasimilarlevelofproperimplementationofGoodAgriculturalPractices.Thisresultissimilartotheonesobtainedinpreviousyearsandreinforcestheideathatgroupcertification(Option2)isareliableandsoundalternativeforsmallholderstobepartoftheGLOBALG.A.P.System.

Class.53unit|9%

Class.414unit|40%

Class.313unit|37%

Class.25unit|14%


PROTECTING THE GLOBALG.A.P. BRAND

TheprotectionoftheGLOBALG.A.P.Brand includesansweringlogouserequestsornotificationsfromproducers,packers,suppliers andcertificationbodiesregardingtheproper useofthelogoandtrademark.Italsoincludesinternal(byGLOBALG.A.P.)validationofGGN useontheendproduct.Thecorrectuseofcertificationclaimsismonitoredinlabelspresent inthemarket,pressreleases,informationinthemedia,etc.,andincidencesarefollowedup.

Inthecaseoffakecertificatesandseriousfraud,besidesthefollow-upforcorrectiveactions, ablacklistoflegalentitieshasbeengenerated. Itisfrequentlyupdated,andtheinformationforwardedtothecertificationbodies,toavoidtheinclusionoftheselegalentitiesintheGLOBALG.A.P.System.

IssuesFollowedupduring2016:

NoofIssues

FakeCertificates Brand/LogoMissuse0

5

10

15

20

25

85%oftheissuesregardingbrandandlogomisusereceivedduring2016weresolvedbytheendof theyear.

Theissuesregardingfakecertificateshavebeenclosed;eveniffurtherstudiesandfollow-upareneededtoreallyattacktherootcauseoftheirexistence.


COMPLAINTS MANAGEMENT

AcomplaintformisavailableontheGLOBALG.A.P.website.Complaintsare alsoreceivedthroughdirectcommunicationfromdifferentstakeholdersor fromthemedia.

Theintegrityteamrecords,analysesandinvestigatescomplaintsreceived regardingbreachofstandardrequirementsbycertifiedsystemusers.

Inthecaseofinformationaboutacertifiedproducer/producergroup/companynotcomplyingwiththestandardrequirements,GLOBALG.A.P.requiresthecorrespondingcertificationbodyandcertificateholdertorefutetheclaim byverifyingandprovidingevidenceofcompliancewiththeGLOBALG.A.P.Standard.

Certificationbodiesinvestigatethecomplaintsthroughdocumentreviewandunannouncedassessments,ifneeded.Findingsandactionstakenarereported toGLOBALG.A.P.withinadefinedperiodoftime.

Ifneeded,targetintegrityassessmentsareperformedforonsiteinvestigation andfollowup.In2016,12daysofonsiteintegrityassessmentswereperformed byGLOBALG.A.P.directlytoinvestigate6complaints.


5. AdditionalGLOBALG.A.P.investigations:a. InsomecasesGLOBALG.A.P.has

commissionedanindependentexpert tochecktraceabilityandtakeasample atorigin.Samplesaretestedin accreditedlaboratories.

b. Chainofcustody.InsomecasesGLOBALG.A.P.expertshavecontactedseveralagentsinthesupplychaintoverify orcomplementtheinvestigationcarriedoutbythecertificationbodywiththeproducer.

6. Theinvestigationissummarizedinareport thatissenttotheplaintiff.

7. Ifthetechnicalreviewidentifiesthatthere couldbeapotentialrisk,theinformation isusedasinputfortheonsiteintegrity assessmentsprogramming.

Atotalof134complaintsfrom27differentcountriesand59differentcropswerereceivedin2016.

NumberofCasesInvestigatedbyCountry

SpainItaly

GermanyPeruEgypt

ColombiaBrasilChinaTurkey

NetherlandsIsraelChile

KenyaEcuadorPoland

SouthAfricaBelgium

DominicanRep.France

VietnamUSA

MexicoCostaRica

MadagascarGreeceAustria

Hungary0 2 4 6 8 10 12 14 16 18 20 22 24 26 28

RESIDUES MONITORING SYSTEM

GLOBALG.A.P.hasadedicatedteamofexpertstoinvestigateMRL(MaximumResidueLevel)complaints.TheprocessfollowedbytheMRLcomplaintmanagementteamisasfollows:

1. ThecomplaintisreceivedbyGLOBALG.A.P.

2. Complaintinformationischecked,registered inthecomplaintmanagementsystemandsent totherelevantcertificationbody(CB).

3. TheCBinvestigatesthecomplaint(alwaysthroughdocumentaryreviewandinmostcasesalsothroughunannouncedinspections)and sendstheconclusionstotheGLOBALG.A.P.technicalteam.

4. GLOBALG.A.P.expertscross-checkand challengetheinformationreceived.Inmost casesclarificationsarerequestedfromthecertificationbody.Sometimesadditionalinvestigationsneedtobecarriedout.


In2016,themostfrequentsourcesofcomplaintwereexotics(23cases),citrus(16cases),stonefruitsandaromatics(12cases)andpomegranates(11cases).

NumberofCasesInvestigatedbyCrop

ExoticsCitrus

StoneFruitAromatics

PomegranatesLeafCrops

BerriesGrapes

BrassicasGarlic

TopFruitBeans

PeppersTomatoesCarrots

RadishesBeet

CherriesOnionsKiwisKakis

ParsnipsFigs

0 2 4 6 8 10 12 14 16 18 20 22 24

Complaintsreceivedforexoticsincludedmangoes,avocadosandpassionfruits.ProductionofthesecropsisverylimitedintheEU.As‘’minorcrops’’,veryfewpesticidesareapprovedandEUMRLsareinmostcasessetatthelimitofdetection,whichmakesitharderforexportersfromthirdcountriestocomply.

80%ofcomplaintswereclosedbytheendoftheyear.

Root Causes Found for MRL Incidences:

• Cross/driftcontamination: Normallydriftfromanadjacentfield.InmostcasesadjacentfieldsarenotGLOBALG.A.P.certified.InVersion5anewcontrolpointhasbeenincludedregardingpreventionofdriftcontamination.

• Noreasonfound: Aplausiblereasonwasfoundbutitcouldnotbe100%demonstratedthatitwastheoriginoftheexceedance.Inthesecases,theproducerisrequestedtotakeappropriatemeasuresin

ordertosortoutthedetectedweakpoints.Ifthesituationisconsideredrisky,thecaseisforwardedtotheintegrityteamforonsiteinvestigation.

• Pesticidemiss-use: ThemostcommonissueisusingpesticideswithverylowMRLintheEUandnotincreasingthelabelPreHarvestInterval(PHI)ornotcomplyingwiththePHI.Applicationofnot-authorizedactivesandothersimilarcausesarealsoincludedin thiscategory.

• GGNmiss-usebyacertificateholder: Producers/producergroupslabellingnon-certifiedproductswithaGGN,non-authorizeduseof theGGN,poorsegregationinparallelproduction/ownership.

• Metabolitefromadifferentapplication:Phosphonicacidresiduesnotcomingfromafosetyl-Alapplicationbutfromanotherproductcontainingphosphonates.


• Unexpectedbehavioroftheactiveingredients: Themostfrequentcauseinthiscategoryis thelowdegradation-rateofpesticides.

• Traceability/incidenceatthesupplychain: Investigationcouldnotbecompletedsincethetraceabilityinformationthroughoutthesupplychainwaslost.Re-packer/agent/intermediarieswerenotChainofCustody(CoC)certified.

• Laberror: Inthesecases,thelabreportedhavinga mistakeinthereport.

• Notinvestigated: Theaffectedcertificateholderssuspendedtheircontractsbeforestartingtheinvestigation.

Cross/driftcontamination

NoReasonfound

Pesticidemiss-use

GGNmiss-usebycertificateholder

Metabolitecomesfromadifferentapplication

QSInvestigation

Unexpectedbehaviorfromactiveingredient

Traceability/incidenceatthesupplychain

Labmistake

Notinvestigated

0 5 10 15 20 25 30

NumberofIncidences


Thecustomersupportteam,aspartoftheGLOBALG.A.P.IntegrityProgram,supportsstakeholdersworldwidetousetheGLOBALG.A.P.Databaseasacertificatevalidationtool.

LanguagesspokenbytheCustomerServiceTeam:

Arabic Portuguese

English Russian

French Spanish

German Ukrainian

Atestablishedtimeperiods,thecustomersupportteammonitorstheinformationuploadedbycertificationbodiesintheGLOBALG.A.P.Database,inordertoensurecompletenessandaccuracyofdata. Theresultofthesemonitoringactivitiesarealsousedasinput fortheonsiteintegrityassessmentprogram.

71,000 REQUESTS IN7YEARS

100-150 CALLS/MONTH

20 HOURSDATABASE TRAINING/MONTH

8 DIFFERENTLANGUAGES

SUPPORTFOR 154 CERTIFICATION

BODIES

SUPPORTFOR300 RETAILERSAND

SUPPLIERCOMPANIES

PROVIDING COMPLETE AND ACCURATE INFORMATION


THE FUTURE

TheIntegrityProgramisaverydynamictoolthatmonitorsrealityandusestheinformationprovidedbyittoimprovetheprogramassuchandalsoasimprovementinputfortheGLOBALG.A.P.System.

Current Developments for 2017 Include:✓ ImplementationofKeyPerformanceIndicators

(KPIs)toshowcertificationbodies’performance tothepublic.

✓ Strengtheningtheresiduesmonitoringsystem ofcertifiedproducts.

✓ Improvingresponsetimeincomplaintmanagement:creationofadedicated complaintmanagerofficerpositionand improvedrecordingandfollowupthroughIT.

✓ Developmentoffrequentlyaskedquestions (FAQ)onlogosandbranduserulestobepublishedontheGLOBALG.A.P.website.

✓ Inclusionofnewlydevelopedstandardsinto theintegritymonitoringandassessments.

Documents

INTEGRITY REPORT 2016 - GLOBALG.A.P. · EXECUTIVE SUMMARY 3 GLOBALG.A.P. INTEGRITY REPORT 2016 The GLOBALG.A.P. Integrity Program, the first of its kind in food certification, is