ASIAGAP（Asia Good Agricultural Practice）

General Regulations
Ver. 2.3

Date of Issue:

October 1,2020

Effective:

November1,2020

Table of Contents
Chapter

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15

Content

Page

Introduction

1

Scope

2

References

2

Terms and definitions

2

Operational structure of ASIAGAP

7

Development of ASIAGAP documents and their management

8

Scope of ASIAGAP certification11

Principles of ASIAGAP certification

13

Flow of ASIAGAP certification, and management of post-certification

17

Rights and duties of farms/groups and withdrawal of certificates

26

Labeling regarding ASIAGAP certification

28

ASIAGAP auditors and technical reviewers

29

ASIAGAP internal auditors and ASIAGAP trainers

32

Accreditation bodies and certification bodies

34

ASIAGAP training courses and approval of ASIAGAP training organizations

38

ASIAGAP certification using documents on the differences between ASIAGAP and

39

other certification schemes

16

Complaint management, public consultation, and scheme improvement40

Annex 1

Qualification requirements for ASIAGAP auditors

42

Annex 2

Criteria for audit time calculation

43

Annex 3

Template of certificate

45

Annex 4

Timing of audits

46

Introduction
ASIAGAP has been developed and managed by the Japan GAP Foundation (hereinafter referred to as "theFoundation").

The Foundation aims to contribute to the healthy development of the agricultural and foodindustry of Japan and Asia through the fair and transparent development and management of ASIAGAP, basedon the following principles:

Principles of ASIAGAPASIAGAP aims to establish agricultural production that is consistent and sustainable for human beings, theearth, and the economy, and to build trust among producers, distributors, and consumers.
ASIAGAP was developed as a tool to achieve the safety of agricultural produce, sustainability of agricultural
production, workers’ safety, human rights protection, and well-organized sales management of agricultural
produce, in the farms in Japan and Asia. By implementing ASIAGAP, producers can simultaneously achievesustainable farm management and gain the trust of consumers and food industry stakeholders.
ASIAGAP is based on the Japanese agricultural context and in alignment with the GFSI Benchmarking
Requirements, and has been developed through collaboration among agricultural producers and wholesalers,
food manufacturers, and retailers.

It is important to establish the agricultural production management that isrealistic and easy for agricultural producers to implement in the long run, and, at the same time, that assures tomeet the expectations of consumers and food industry stakeholders.
ASIAGAP should be voluntarily implemented by producers, and its stage of implementation should berecognized among society through the system of certification. It should work as a standard that stands for thecredibility of agricultural producers.
ASIAGAP’s ultimate goals are to simultaneously protect consumers by assuring safe agricultural products,
conserve the earth’s environment, and achieve sustainable farm management.
Note 1:The Foundation shall not publish any certification for the conformity of ASIAGAP and conduct certification
activity.
Note 2:The Foundation shall not perform as a consultant for ASIAGAP certification.
Note 3:The ASIAGAP certification program shall never require the obtaining of certification under other certification
programs managed by the Foundation as a requirement for obtaining ASIAGAP
certification.

1

1. Scope
1.1 General scopeThis document specifies all areas of the operation of ASIAGAP. The Foundation as the key administrator of
ASIAGAP, as well as all entities that are defined in this document, including farms/groups, certification
bodies, accreditation bodies, and training organizations, are required to abide by the regulations in thisdocument. The audit and certification system of the ASIAGAP program is based on ISO/IEC 17065 andin alignment to the GFSI Benchmarking Requirements.
1.2 Scope of application
The certification scope of the ASIAGAP program is in accordance with the requirements of ISO/IEC 17065.
The ASIAGAP certification program applies to agricultural produce (products) and their production
processes.

(Refer to Chapter 6 “Scope of ASIAGAP certification” for details.)

2. References(1) ISO/IEC 17067:2013 (Conformity Assessment - Fundamentals of product certification and Notices for
product certification schemes)(2) ISO/IEC 17011:2018 (Conformity Assessment - General requirements foraccreditation bodies accrediting conformity assessment bodies)(3) ISO/IEC 17065:2012 (Conformity Assessment - Requirements for bodies certifying products, processes,
and services)(4) ISO 19011:2018 (Notices for auditing management systems)(5) IAF Mandatory Document for the Audit and Certification of a Management System Operated by a MultiSite Organization – Issue2 (IAF MD1:2018)(6) IAF Mandatory Document for the Collection of Data to Provide Indicators of Management System
Certification Bodies’ Performance – Issue 1 (IAF MD15:2014)(7) GFSI Benchmarking Requirements V2020.1(8) IAF MD 4:2018 IAF Mandatory Document for the Use of Information and Communication Technology(ICT) for Auditing/Assessment Purposes

3. Terms and definitions(1) GAPGAP is an abbreviation for Good Agricultural Practices, and refers to the standard that a producer shallcomply with during agricultural production and its implementation. There are various translations inJapanese. According to the FAO (Food and Agriculture Organization of the United Nations), “Good
Agricultural Practices are practices that address environmental, economic, and social sustainability for onfarm processes, and result in safe and quality food and non-food agricultural products.”(2) ASIAGAPASIAGAP is a GAP certification program owned by the Foundation, and contains good practices for farmmanagement, food safety, environmental conservation, workers’ safety, and human rights protection andwelfare.

It is a scheme of product certification, and is based on ISO/IEC 17067.

2

(3) Certification Program
Certification program refers to a system and procedures as well as regulations applied for operating astandard, including its development, training, operation, audit and certification, and accreditation. The
Foundation is the certification program owner of ASIAGAP, ultimately responsible for its operation.
(4) ASIAGAP documents
Documents that are required for ASIAGAP operation and indicated in 5.1 of the General Regulations.
(5) ASIAGAP standard
Among the ASIAGAP documents, the following are the ASIAGAP standards for ASIAGAP audit andcertification:

ASIAGAP General Regulations

ASIAGAP Control Points and Compliance Criteria for Farms

ASIAGAP Control Points and Compliance Criteria for Group Administration



Guideline for the ASIAGAP standard(6) Farm
A farm is a management body that conducts the production of agricultural produce, has legal ownership of
the agricultural produce, and has a unitary management system. A unitary management system meansthat a farm is operated under the same capital and management structure. A Farm could be a single site or
multiple sites.
(7) Site“The site” is a unit that is referred to as the single management system can organize (Unit for the audit)
This unit requires the management system to comply with the CPCC. “The site” could be applied to thefarm, the cooperate adjustment workplace, the cooperate produce selection site, country elevator, and thecrude tea factory. Multiple sites mean multiple management systems manage their own sites due to thelong distances.
(8) Certified farm
A farm that has been audited and certified under ASIAGAP. A farm that belongs to a certified group isalso a certified farm, but it shall acknowledge that the ASIAGAP certification is provided through thegroup (ref. (21) Produce of certified farm).
(9) Field
Land that is used for crop cultivation, or an infrastructure for crop cultivation such as a greenhouse; theminimum unit of cultivation management. Sites shall be distinguished with different names in thefollowing cases:a） Different agricultural produce or items under production (except for the cases of crop rotation orsecond crops, and cases when the items are not defined during cultivation, such as tea).
b） Different varieties with identification required at the point of sale.
c） Different records of agrochemical application (when an application was not finished in one day andthe dates of application become different for each site; when each site has different agrochemicals
applied, etc.).
d） When the sites are so distant from each other that their risks are not the same.
e） When there can be farm management risks, such as issues of traceability, if the sites are notdistinguished and are managed under the same name.

3

(10) Facility
All buildings, infrastructure, and equipment that are used for farm operation. Facilities include storage,
produce handling facilities, utilities (electricity, fuel, gas, water including sewage, compressed air, etc.),
resting/eating/smoking places for workers, and toilets.
(11) Storage

Buildings where agrochemicals, fertilizers, fuel, agricultural machinery and other inputs and equipment
are stored.
(12) Produce handling facility
Facilities where produce is handled, such as workstations, pack houses, grain elevators, and unrefined tea
factories.
(13) GroupAn organization that consists of multiple sites that are operated under the policy specified by the group,and has a representative and group administration. If one organization owns multiple sites andthat has a group administration office and it organizes the sites, we shall define it as agroup.
(14) Certified group
A group that has been audited and certified under ASIAGAP.
(15) Group administration
An administration that is set up within a group to govern the organization based on the ASIAGAP
requirements.

In principle group administration needs to be a legal entity, but agricultural cooperatives

that do not have a legal entity can also be accepted if they have a representative, address, and contact
numbers.
(16) Crop
Plants that are under cultivation in the field. It does not refer to agricultural produce that has been
harvested.
(17) Agricultural produce
Once crops are harvested from the farm, the harvested products are no longer called "crops" but are called"agricultural produce." Agricultural produce can be food, animal feed, ingredients for medical and quasidrug products, and propagation materials such as seeds, and nursery. Under the ASIAGAP program,
agricultural produce is categorized as “Fruits and Vegetables,” “Grains,” and “Tea.”(18) Item
Item refers to items that are on the “JGF standard item list”.
(19) Product
Agricultural produce that is ready to be sent to a buyer from a farm or group(20) Food
Under the ASIAGAP scheme, food refers to all edible and drinkable items.
(21) Produce of certified farm
Agricultural produce that meets all the following criteria:a） Shipped from individually certified farms or groups while the certificate is valid,b） An item that is listed on the ASIAGAP certificate, andc） Handled in a produce handling facility that is listed on the ASIAGAP certificate when there is a
produce handling facility on the farm.

4

(22) Production process
A series of production activities including cultivation process, harvesting process, and produce handlingprocess. These production processes are divided into the following sectors.
BI : Cultivation and Harvesting Processes for Fruits and Vegetables and Tea.
BII : Cultivation and Harvesting Processes for Grains
BⅢ: Produce Handling Processes for Fruits and Vegetables, Tea and Grains.
(23) Cultivation process
Production activities in the field except for harvesting, such as sowing, nursery, transplanting, fertilizer
application, agrochemical application and pruning.
(24) Harvesting process
Harvesting of crops.

In the case of tea, it refers to plucking. Activities include harvesting, trimming/

packaging/ temporary storage of harvested agricultural produce on site, and shipping including loading/transportation/ delivery of harvested agricultural produce from the site to the produce handling facility.
Activities after this point are considered part of the produce handling process.
(25) Produce handling process
Refers to the process that includes receiving of agricultural produce into the handling facility, storage,
washing, sorting, trimming, simple processing such as cutting and drying without changing productcharacteristics, processing, packaging, and shipment from the facility (loading, transportation, anddelivery).
(26) Outsourcing
Subcontracting activities that are directly related to agricultural production to external entities. Such
activities include sowing, planting, agrochemical application, fertilizer application, pruning, harvesting,plucking, and produce handling. Agrochemical residue analysis, equipment maintenance, infrastructuredevelopment, accounting, etc. are not included as they are not part of the agricultural production process.
In the case of group certificate, supporting activities among the group members are not considered
outsourcing.
(27) Parallel production
Producing certified produce and non-certified produce of the same item on the same farm at the sametime. When a farm/group handles certified produce and non-certified produce of the same item at thesame time, it is called “parallel handling.”(28) Internal audit (Individual certification)
A producer checks and verifies the status of farm management based on the “ASIAGAP Control Points
and Compliance Criteria for Farms.” ASIAGAP requires to conduct at least one self-assessment per
year.
(29) Internal audit (Group certification)
As part of the group administration, a producer group’s internal auditor and internal auditor assistant checkand verify the status of group members’ farm management, based on the group/farm management manualthat conforms to the “ASIAGAP Control Points and Compliance Criteria for Farms” and “ASIAGAP
Control Points and Compliance Criteria for Group Administration.” The results of the internal audits arereported to the group administrator and the group representative. ASIAGAP requires to conduct at least
one internal audit per year.

5(30) Group/farm management manual
A manual that is indispensable for managing a producer group and has the following contents:a） Procedures for group administration that meet the “ASIAGAP Control Points and Compliance
Criteria for Group Administration,”b） Procedures for site management under the responsibility of the group administration that meet the“ASIAGAP Control Points and Compliance Criteria for Farms,”c） Common procedures for site management under the responsibility of the group members, which meetthe “ASIAGAP Control Points and Compliance Criteria for Farms.”(31) Certification
Third-party verification whereby a certification body assesses the ASIAGAP operational status and the
produced agricultural produce of the farm/group according to the “ASIAGAP Control Points andCompliance Criteria for Farms” and “ASIAGAP Control Points and Compliance Criteria for Group
Administration” and officially declares the conformance to these criteria.
Note: The ASIAGAP audit and certification includes both the process of agricultural production and the agricultural products that come outof the process.

(32) Certification decision
Refers to "7.6 Certification decision" of ISO/IEC 17065. Clause 7.6 means a final decision made by acertification body on granting, continuing, recertifying, suspending, and withdrawing the ASIAGAP
certification based on "7.5 Review of evaluation results" (referred to as "Review of audit results" in
ASIAGAP) of ISO/IEC 17065.
(33) Accreditation
Third-party attestation related to a certification body, conveying formal demonstration of its competence
to carry out a conformity assessment for a farm/group and the farm/group’s agricultural produce under
ASIAGAP operations based on ASIAGAP General Regulations and ISO/IEC 17065.
(34) Board
In this document, the Board refers to the Board of Directors of the Foundation.
(35) Technical Committee
In this document, the Technical Committee refers to the Technical Committee of the Foundation. This
Committee is in charge of the development of “General Regulations,” “ASIAGAP Control Points andCompliance Criteria for Farms,” and “ASIAGAP Control Points and Compliance Criteria for Group
Administration” and “Notices.” Its chairperson is responsible for overseeing the whole committee. The
Technical Committee consists of each committee of fruits and vegetables, grain, tea, livestock, andcertification, and specialized councils. Technical Committee members are selected from stakeholders
based on the expertise of each production process categories. Further details are stipulated in the "JapanGAP Foundation: Technical Committee Regulations."(36) Japan GAP Foundation Office
The office in charge of administrative work related to ASIAGAP. The Secretary-General oversees theadministrative management of ASIAGAP.
(37) Violation of regulations by a farm/group
Status of a farm/group violating the regulations that were defined in accordance with the “ASIAGAP
Control Points and Compliance Criteria for Farms” or “ASIAGAP Control Points and Compliance Criteria
for Group Administration” or the “General Regulations.”6

4. Operational structure of ASIAGAP
The following table shows the division of functions among the Foundation, farms/groups, certification bodies,accreditation bodies, and training organizations:

Table of operational functions
Japan GAP Foundation(Certification program owner) Development and management

Farm/group

Certification bodies

 Implementation

 Training of auditorsof ASIAGAP (includingof ASIAGAP

general oversight and Self-assessment

improvements)

 Internal audit

 Issuing of farm/group Processing of
application for audits Audit planning and Application forTraining

bodiesorganizations

 Accreditation of Organizing

certification

training

bodiesevents Issuing of Training ofaccreditation

auditors

certificates Training of Reporting ofinternal

accreditation

auditors

decision making

information to Training of Development of training tools

 Issuing certificatesthe Foundation

trainers

 Approval of training Reporting

registration numbers
 Disclosing the database ofregistered farms/groups

auditsconduct

Accreditation

 Corrective action

 Corrective

action reportreport acceptance Certification

 Issuing ASIAGAP labels

organizations

certification

 Registration of ASIAGAP

information to thetrainers

Foundation

 Registration of ASIAGAP
auditors

7

5.

Development of ASIAGAP documents and their management

5.1. ASIAGAP documents
ASIAGAP is a certification program that is subject to accreditation by an accreditation body. The copyright of
ASIAGAP belongs to the Foundation, and these documents can be used by any stakeholder that is engaged inagricultural production, distribution, and certification.

When any entity intends to produce a secondary

document that is derived from the ASIAGAP documents, the entity shall obtain authorization from the Foundationin advance.
The following are the documents that are related to ASIAGAP development, operation, audit, and certification,
the details of which are included in the “List of ASIAGAP documents:”(1) ASIAGAP General Regulations
Refers to this document, and defines the procedures of ASIAGAP audit and certification, use of ASIAGAP
labels, and other general regulations related to ASIAGAP.
(2) ASIAGAP Control Points and Compliance Criteria for Farms
A standard ASIAGAP document that describes the control points and objective conformance criteria
regarding farm management, food safety, environmental conservation, workers’ safety, human rights
protection, and welfare. There are documents provided for “Fruits and vegetables,” “Grains,” and “Tea.”
Note: "A document on the differences between ASIAGAP and other certification program" (see Chapter 15) can be used as a normative
document for audits in the same way as the "ASIAGAP Control Points and Compliance Criteria for Farms."(3) ASIAGAP Control Points and Compliance Criteria for Group Administration
A standard ASIAGAP document that describes the objective control points and compliance criteria forgroup administration to achieve good group management.
(4) The Guideline for ASIAGAP standard
The document which supplement (1) through (3) above. Some contain great details, and therefore were
issued as separate documents, while others are temporary documents to be used until the next version of
the standard is issued. Each guideline indicates which control point of which document it supplements.
The summary of the relationship between the Notices and their corresponding control points can be seenin the “Table of ASIAGAP Notices” on the Foundation’s website.
(5) Technical letters
Information that explains (1) through (4) above. Through its website, the Foundation releases technicalletters on an irregular basis for issues about which it has received many inquiries from certification bodies
and farms/groups, and on which it is require additional explanations.
(6) Regulations, detailed rules
Detailed rule documentations on ASIAGAP(7) JGF standard item list
A document that lists the items that can be on certificates.

8

5.2 ASIAGAP documents which require Board’s approval

Document

ASIAGAP General Regulations

Development

Technical
Committee

ASIAGAP Control Points andTechnical

Compliance Criteria for Farms

Committee

ASIAGAP Control Points andCompliance Criteria for Group
Administration

Technical
Committee

The Guideline for ASIAGAP

Technical

standard

Committee

Identification ofFrequency ofversions

revision

Board

Version No.

Once a year

Board

Version No.

Once in 4 years

Board

Version No.

Once in 4 years

Board

Issue date

When necessary

Approval

The documents related to ASIAGAP are subject to an official internal review once a year, regardless of theirperiodic revisions, and are revised as necessary (including when the GFSI Benchmarking Requirements arerevised or significantly changed). An extraordinary review of these documents may be carried out whenrequested by the Secretary General with the acknowledgment of the chair of the Technical Committee.
5.3 Management of old versions when an ASIAGAP standard document is issued or revised
5.3.1

Transitional measures
When a new ASIAGAP standard document is issued, the Foundation issue the document regarding thetransition considering the following elements.

a)Definition of the certification scopeb)

Conditions for the transition period between the old version and the new versionc)

The timeline of the transitiond)Comparative information between the old and new version for the ASIAGAP standarde)Timeline for certification bodies to share revision information with all auditors and certified
farms/organizations

5.3.2

The launching date for the implementation

When the Foundation approving a new ASIAGAP standard document, decides the effective date,considering the period necessary for stakeholders to understand and adapt to the new document.
When the Foundation approving ASIAGAP standard shall determine decides the effective date, taking into
consideration of the period necessary for stakeholders to understand and adapt to the new document. The
effective date for an “ASIAGAP Control Points and Compliance Criteria for Farms” means the date on
which an application for an audit based on the new document can be accepted. For other documents, theeffective date is the date when the new document becomes applicable.
5.3.3 “ASIAGAP General Regulations”, provisions, bylaws, and the rules
When a new version of the standard is implemented old version “ASIAGAP General Regulations” andprovision, bylaws and the rules” lose their validity. However, non-conformities, identified during thevalidity of the old version, corrective actions shall be taken based on the requirements of the old version,even if the new version is implemented during the period of corrective actions. As for certification, thedate of audit shall be taken as the starting point of application of the new version.

95.3.4 Transition of “ASIAGAP Control Points and Compliance Criteria for Farms “and “ASIAGAP Control
Points and Compliance Criteria for Group Administration”
When new versions of the “ASIAGAP Control Points and Compliance Criteria for Farms “and“ASIAGAP Control Points and Compliance Criteria for Group Administration” are implemented, anapplication for the initial audit or recertification audit based on the old version shall be accepted only
when it is within one year of the implementation for the new version, and an audit based on the oldversion shall be conducted within 90 days after the application deadline. When a farm/group is audited
based on the old version for the initial audit or for a recertification audit, the subsequent surveillance
audit shall also be conducted based on the old version. The farm/group can request a surveillance audit
based on the new version, but in that case, the certificate shall be reissued.
5.4 Management of translated documents
The Japanese versions of the ASIAGAP standard documents are the original. When the ASIAGAP standard
documents are translated into other languages, they shall be approved by the Technical Committee of theFoundation. Once approved, the audit and the certification of ASIAGAP can be conducted using the translated
documents.
5.5 Communication regarding new versions(1) The Foundation widely collects and considers public comments for revision of the ASIAGAP General
Regulations and the ASIAGAP Control Points and Compliance Criteria.
(2) Publication and the effective use of new versions are conducted through the Foundation’s website.
necessary, the Foundation notifies stakeholders, such as certification bodies.
(3) The Foundation submits the revised English version to the GFSI Secretariat.

10As6. Scope of ASIAGAP certification
6.1 Products that can be certified(1) Products within the certification scopea） Products corresponding to items listed in the "JGF Standard Item List" shall be considered within
the scope.
b） A farm/group to be certified shall be audited against all the products it produces and sells, but it isallowed to limit the products to be audited. When the form of shipment is described in the "JGF
Standard Item List," the form of shipment subject to audit and certification must be identified(2) Parallel production
Parallel production is allowed only in the produce handling process. It is not allowed for the production
process or harvesting process.
6.2 Processes that can be certified(1) General principle
The scope of ASIAGAP certification shall be all the production processes of a farm/group. Dependingon the product, the scope of application shall be identified with the combination of production, harvestingand produce handling processes.

However, a cultivation process can never be not applicable. For

example, it is not possible to certify only the produce handling process, while excluding the cultivationand harvesting processes.
(2) Produce handling processa) For the work related to shipping (loading, transportation, and delivery), the certification scope shallcover the process up to the point at which the ownership of the agricultural product is transferred to thebuyer, or when the management responsibility for the product is transferred to the shipping destination.
(A shipping destination including a subcontractor for sales).
b) For the scope of simple processing, such as trimming, simple cutting, and drying, that does not alter
the properties of the agricultural product, specific instructions for when special precautions arenecessary are written in the "JGF Standard Item List."11

(3) Processes within the ASIAGAP certification scope depending on the product
The applicable production process scope for each produce process, which shall be indicated in thecertificates, is shown in the following table:
Sector(GFSI scope of recognition)

Production process

Fruits andTea

Vegetables
Cultivation

From sowing/planting up toprocess

harvesting

GrainsB I (Cultivation)

B II (Cultivation)

B I (Harvesting)

B II (Harvesting)

Harvesting, trimming/ packing/
Harvesting

temporary storage on a farm,

processloading/ transportation/ delivery
to a produce handling facility
Reception of agricultural
products at a produce handlingfacility, storage, washing,

Producesorting, trimming, simple

handling

cutting and drying that do notprocess

alter the properties of the

BⅢ (Produce handling)

agricultural product (including
unrefined tea processing),
packaging, and shipment fromthe produce handling facility(loading, transportation, anddelivery)(4) Production process that is outsourced
When a farm/group outsources a part of a production process, the outsourced process shall conform to the
ASIAGAP standard. Therefore, the outsourced process shall also be included in the certification scope.

127. Principles of ASIAGAP certification
7.1 ASIAGAP certification(1) Options for certification
The following options exist for the ASIAGAP certification:a)

Individual certification: Conformity to the “ASIAGAP Control Points and Compliance Criteria for
Farms” (latest version) shall be audited for certification.

b)Group certification: Conformity to the “ASIAGAP Control Points and Compliance Criteria for Group
Administration” (latest version) and the “ASIAGAP Control Points and Compliance Criteria for
Farms” (latest version) shall be audited for certification.

(2) An individually certified farm can join a certified group. In this case, the individual certification
continues to be valid until its expiry.
(3) Audit timea) The typical audit time is one day. The criteria to calculate audit time is defined separately in Annex 2.
b)

In calculating audit time, a certification body shall take into consideration such factors as thefarm/group’s audit history, the number of workers, items, produce handling facilities, the complexityof production process, the locations and size of sites and/or facilities, outsourcing and management
system. In case where there is any deviation from the typical audit time defined in 7.1 (3) a), thecertification body shall record evidences to justify the audit time and provide necessary documents
concerning the justification to the Foundation. When problems are detected on the audit time, theFoundation warns and instructs the certification body.

7.2 Required compliance level for ASIAGAP certification(1) All the control points in the “ASIAGAP Control Points and Compliance Criteria for Farms” and the“ASIAGAP Control Points and Compliance Criteria for Group Administration” need to be audited annually,
and the result for each control point is defined as “Not-applicable,” “Conformity,” or “Nonconformity.” A
control point result of “Not-applicable” shall be justified.

When a conformance criterion includes ameasure, a producer can choose an alternative measure that equally controls the risks, as long as thealternative measure is justified through a risk assessment. In a surveillance audit, the control points defined
as nonconformity in the previous audit can be focused.
(2) There are three levels for the control points in the “ASIAGAP Control Points and Compliance Criteria for
Farms” as follows:a)

Major Must: Criteria that are critical and the most important from the perspective of legal compliance.

b)

Minor Must: Criteria for which conformance is strongly required.

c)

Recommendation: Criteria that do not affect the result of an audit but are important to achieve more
ideal farm management.

(3) Certification shall be granted after technical review based on the result of corrective actions when thefollowing level of conformity is verified:[For individual farm certification]•

100 % conformity to the applicable Major Must control points of the “ASIAGAP Control Points andCompliance Criteria for Farms.”•

85 % conformity to the applicable Minor Must control points of the “ASIAGAP Control Points andCompliance Criteria for Farms.”

A farm that has been granted a certificate can be called an “ASIAGAP certified farm.”[For group certification]13•

100 % conformity to the applicable control points of the “ASIAGAP Control Points and Compliance
Criteria for Group Administration.”•

100 % conformity to the applicable Major Must control points of the “ASIAGAP Control Points andCompliance Criteria for Farms.”•

85% conformity to the applicable Minor Must control points of the “ASIAGAP Control Points andCompliance Criteria for Farms.”

A group that has been granted a certificate can be called an “ASIAGAP certified group.”
7.3 Timing and conditions of audits
The cycle of audits continues as the initial audit, surveillance, recertification audit, surveillance, recertification
audit...and so on. All elements of farm/group concerning the scope shall be audited at least once a year bycertification bodies.

To decide the frequency and timing of audit, audit history, seasonality of product,significant capacity increase, structural change, changes in product technology or change in product type shallbe considered. The details are as per the “Timing of audits” (Annex4). Other conditions of audits are defined
below:(1) Initial audit
Initial audit shall take place for the first time when a farm/group is to apply the ASIAGAP certification.
The initial audit verifies whether the farm/group conforms to the criteria in the standard and has an
operational system to sustain conformance. A certificate shall be valid for two years from the date ofcertification.

During the initial audit, at least one item that is on the audit application form shall bephysically present (*Note) on the farm. When a farm/group decides to change its certification body while
the certificate is valid, the subsequent audit shall be treated as a recertification audit.
*Note: “Physically present” means that the product is in the process of cultivation, harvesting, or produce handling on the farmduring the audit.

(2) Surveillance
Surveillance is an audit to verify that a certified farm/group is maintaining conformity to the standard
between the initial audit or the previous recertification audit and the next recertification audit.
During surveillance, at least one item that is on the audit application form shall be physically present in the
farm.

However, when a process has high food safety risk or when the certification body considers theprocess to be of high importance for the farm or group, such a process shall be verified on site.
(3) Recertification audit
Recertification audit shall verify that a certified farm/group has continued to conform to the standard
between the previous surveillance and the current recertification audit, and evaluate in general thefarm/group’s performance during the validity period of certification.

At least one item specified in theaudit application form shall be physically present on the farm during the recertification audit.
A recertification audit is allowed to be conducted from three (3) months before the expiration of its
certification.

To determine the timing of a recertification audit, a certification body shall consider thetime frame for a certified farm/group to take correction and/or corrective actions to nonconformities
identified in the recertification audit.
After the recertification audit completes and the recertification decision is made, a new certificate will be
issued by the certification body and the certificate validity is renewed for two more years from the next day
after the expiration.
(4) Additional conditionsa） At the initial audit, surveillance, or recertification audit, the produce handling process of at least one
item that is on the certificate shall be audited.

14b） All the items that are listed on the certificate shall be audited while the certification is valid. However,
if it is not possible, the certification body shall determine the number of items to be audited for attaining
the conviction.

For example, in case of fruits and vegetables, a certification body determines theitems and the number of items to be audited based on the type of vegetables (leafy vegetables, root
vegetables, or fruit vegetables) and cultivation methods (hydroponic cultivation or soil cultivation,
outdoor cultivation or indoor cultivation).
c） When there are multiple items on a certificate, the items that have not been audited in the previous
audits shall be given priority for audit.
d） When there are multiple sites and facilities, the sites and facilities that have not been audited in theprevious audits shall be given priority for audit.
e） When the corrective actions for nonconformities identified during a surveillance are not conductedwithin the period defined in 8.3 (7) of this document, a certification may be suspended or withdrawn,even within the certificate validity period (Ref. 9.3 of this document).
f） When recertification audits are repeated based on 7.3 (3) of this document, the month and date of expiryof the validity period shall be the same each time. When a farm/group wishes to change the date of
expiry, it can apply to the certification body to shorten the certification validity period, and conduct arecertification audit prior to the date. However, extension of the validity period is not allowed.
g） When the initial audit or a recertification audit has been conducted based on an old version of the“ASIAGAP Control Points and Compliance Criteria for Farms” and “ASIAGAP Control Points andCompliance Criteria for Group Administration,” surveillance shall be conducted using the same versionof these documents. The farm/group can choose to have surveillance conducted using a new version,
with the certificate to be reissued.
7.4 Certification date, validity period, and items described on a certificate
A certificate is a document that demonstrates that a farm/group is granted the ASIAGAP certification by acertification body.

In the case of group certification, a certificate will be issued to the group, and no certificate

will be issued to the member sites.
(1) The certification date is the date a certification body makes the decision on certification. In the case of theinitial audit, it is referred to as the initial certification date, and in the case of a recertification audit, it isreferred to as the recertification date.
(2) A certificate shall be valid for two years from the certification date.
(3) The design of a certificate can be decided by a certification body referring to the template provided by theFoundation. A certificate shall describe the following:a)

Basic information
1) ASIAGAP logo mark.
2) Name of the certification body, its logo mark, and the name of the responsible person.
3) In the case of an individual farm certification:
Farm name and its location
4) In the case of a group certification:
The group name and location of that group administration’s office5) The registration number as required in 8.1 (6); a certification body can also include its own
identification number for the farm.

b)

Certification scope
1) Certification standard
The version number of the “ASIAGAP Control Points and Compliance Criteria for Farms” and the15

“ASIAGAP Control Points and Compliance Criteria for Group Administration” used in the audit.
2) Audit standard
If the certification standard and the audit standard are the same, this can be omitted. If they are
different as below, the audit standard shall be specified.
- ASIAGAP certification using documents of differences between ASIAGAP and other schemes (Ref.
Chapter 15 of this document).
3) Produce category of the certified produce (Fruits and Vegetables, Grains, or Tea).
4) Product item: In the case of a group certification, product item names shall be documented for eachsite. The names shall be, in principle, those on the “JGF Standard Item List.” When the form of
shipment is defined, the corresponding form shall be specified.

(For example: Shiitake (Raw

Shiitake), Green tea (Fresh leaves, Unrefined tea)).
5) A description that clarifies the certified production processes sector (Ref. 6.2 (3) of this document).
6)

In the case of the individual certification, if there are multiple sites, the name of those sites and theirlocation.

7)

In the case of the group certification, the name of those sites and those location.

8)

In the case that the product handling facility is outsourced, the name of that outsource contractor
and its location

9)c)

An unannounced audit or not.

Dates
1) Initial certification date in the case of initial certification or recertification date in the case ofrecertification.
2) Expiry date.
3) Issue date.
4) In case of changes in the description on the certificate, the date of issue of the revised certificate.

16

8.

ASIAGAP certification and management of post-certification

8.1 Application for an audit contract, and the audit date arrangements
A farm/group opting for ASIAGAP certification shall apply to a certification body for an audit. Certification
bodies are the entities that are accredited based on the regulations in this document. Any ASIAGAP certification
conducted by entities that are not accredited is not approved by the Foundation.
A farm/group shall apply for an audit by completing the form prepared by a certification body. The form shallcontain the information indicated below. In the case of multiple sites, the items below from (1) f) down to n) shallbe completed for each site. When the farm/group has not agreed to the terms of agreement on the form, or when
the certification body discovers that the farm/group belongs to antisocial forces, the certification body has a rightto decline an application.
(1) Information required for applicationsa)Option of certification
Individual farm certification or Group certificationb)

Timing of audit
Initial audit, Surveillance, and Recertification auditc)Requested period of audit
Refer to 7.3 of this document.

Certification bodies have the duty to clearly explain 7.3 of thisdocument to the farm/group.
d)Name of the farm instructore)Standards used to verify conformance1) The version of the applicable “ASIAGAP Control Points and Compliance Criteria for Farms” and theagricultural produce category (Fruits and Vegetables, Grains, or Tea).
2) The version of the applicable “ASIAGAP Control Points and Compliance Criteria for Group
Administration.”
Note: In case of ASIAGAP certification using the document of the differences between ASIAGAP and other GAP
schemes (Ref. 15 of this document), the name and version of the applicable document shall be specified in addition to1) and 2) above.

A copy of the certificate of the other GAP scheme shall be attached.

f)Items to be certified (on the “JGF Standard Item List”) and the form of shipment, when applicable.

g)Basic information on the farm/group to be certified
The name of the farm or group, name of the farm or group representative, address, name of the top
management of the farm or group, contact information, and total area of the sites (are/hectare).

In

case of a group, whether the member site is new and the previous surveillance or recertification audit,
name of the administration’s management body, address, the group administration’s top management,
and contact information.
h)Information about the sites
The name of the site, items growing in each site and their state during the audit (absent/ present (undercultivation/ under harvest/ under storage)), and the area for each site.
In case of group, the above information shall be provided for each member site (farm).

i)Information about the produce handling facility
The management entity of the facility, name, manager, responsible person, address, contact information,
whether the facility belongs to a subcontractor or not, and activities conducted in the facility.

j)

Basic information about workers
Presence/absence of worker, number of workers, mode of employment (permanent or temporary),17

presence/absence of foreign workers, presence/absence of disabled workers, presence/absence ofworker housing (such as a dormitory).
k)

Information about the conditions for the auditor’s entry to the farm
Information to be communicated to the auditor prior to entry into the product handling facilities andother facilities, information to be obtained about the auditor (whether he/she carries any personal
belongings prohibited to bring in, his/her size of body and feet to provide him/her with protective
clothing and shoes, etc.)l)

Information about subcontractors
Processes that are outsourced; name, address, and contact information of the subcontractors; and thestate of third-party certification of the subcontractors (Ref. 8.2 (4) d) of this document).

m) Verification of corrective actions after a self-assessment (in the case of an individual farm certification)
or after an internal audit (in the case of a group certification).
n)Organizational chart (of the group administration for a group).

o)Document that stipulates the roles and responsibilities between the group administration and member
sites.

(2) The certification body shall accept the audit application form only after close investigation.
(3) The certification body and the farm/group shall sign a legally binding agreement regarding the audit andcertification.

In case of group certification, the group’s administration must sign a contract with thecertification body. The content of the agreement shall be based on ISO/IEC 17065 and includes the following
additional contents:a)

The farm/group shall report to the certification body any nonconformities, product recalls or court
cases which have serious impact on food safety.

b)

The farm/group shall agree to report the above to the Foundation through the certification body.

c)

If nonconformity is found that causes doubts with regard to conformity for group certification, thegroup shall agree to the addition of more farms for sampling partway through the audit.

d) It shall be agreed that the documents to JGF and GFSI when it is required.
(4) A certification body shall decide the audit duration (Ref. 7.1 (3) of this document) considering theinformation submitted on the form and sets the audit date with the applicant farm/group (including thesubcontractors, if any that need to be audited).
(5) The certification body shall select an auditor that is registered under the Foundation. When selecting anauditor, 11.1.9 of this document shall be taken into consideration.
(6) In the case of the initial audit, the certification body shall provide the farm/group’s name location andrepresentative’s name to the Foundation after the audit (during the period between the audit anddetermination of the result). The Foundation shall provide the farm/group’s registration number to thecertification body.
8.2 Planning an audit and sampling(1) A certification body shall assign an auditor that meets the criteria in this document. The certification bodymust establish regulations regarding the assignment of auditors, including the rotation of auditors, to ensure
fairness. When it is not possible to find an auditor that has enough knowledge of the agricultural product tobe audited, the certification body can arrange for a technical expert with adequate knowledge to accompany
the auditor.

(*Note) In case of a group audit, an audit team leader shall be selected. A certification bodyshall verify in advance that there is no interest between the farm/group and the auditors.
*Note: The certification body shall not charge the farm/group for the accompaniment of the technical expert.
The technical expert can only advise the auditor and is not allowed to conduct an audit.

18

(2) A certification body shall develop an audit plan to agree with the farm/group. The means of transportation
and arrangements for accommodations and lunch shall also be coordinated with the farm/group.
(3) The farms and the produce handling facility, etc. in the application form shall be audited.

When theorganization of a group or management structure is complicated, and a certification body finds it difficult
to develop an audit plan, it can request additional information such as a group management manual.
(4) In case of an individual farm certificationa) The farm that sends the application form shall be audited. In the case of multiple sites, each site shallbe audited.
b) When there are multiple sites on the farm, samples of sites that reflect the management conditions of the
farm can be selected.
c)The produce handling facility that sends the application form shall be audited. In the case of multiple
produce handling facilities, each produce handling facility shall be audited. However, it is also possible
for the certification body to create a sampling plan according to 8.2 (5) b) and carry out the audit.
d)When a production process that is important for food safety is outsourced, and the subcontractor is notcertified by ASIAGAP or other third-party certification schemes recognized by the Foundation, as a
general rule, the auditor must audit the subcontractor. If there are multiple subcontractors, in principle,
the examination will be conducted for each subcontractor. However, it is also possible for the certificationbody to create a sampling plan according to 8.2 (5) b) and carry out the audit.
(5) In case of a group certification
In the case of group certification, the certification body must carry out the audit in compliance with thegeneral rules provided for under the latest edition of IAF MD1.

Groups wishing to obtain group

certification must issue a request for sampling audits of member farms in the audit application form.
a) Audit of group administration
The certification body must conduct an audit of the group’s administration prior to conducting audits offarms and facilities handling produce. However, it is possible for a certification body that it could conduct
the audit for the sampling site before the group administration audit if it is necessary.
b) Audit of member sites1）Sampling plan for the site
The certification body shall audit a sample of the group’s member farms based on the followings for theaudit of the member sites
i. Based on the latest IAF MD1.
ii. The certification body must create groupings, and select the number of samplings above the square root
(decimal point advance) for each group.
iii. The certification body must create groupings, taking in to consideration the group’s size and anorganizational structure, the roles and responsibilities of the group administration. And the CB could
increase the sampling number, it it is necessary.
iv. In case of the member farms judged to be at high risk (considering the results of the risk assessments),
certification body must audit all member farms.
v.The certification body shall do random sampling from all member farms at least 25% of samples.
vi.Make a decision the duration which all sites will be audited and make a circuit of the audit flow.
vii.At least 20% of the sampling numbers shall be unannounced audit will be conducted according to therisk assessment.
2)The notification of the selected sites as samplings

19

The certification body shall notify the group administration of the sampled member farms at most 7 days
prior to the start of the first farm audit (*Note 1 -3).
3)The increase of the sampling numbers
The certification body shall increase the sampling numbers in the case of nonconformity finding will beclarified which suspect the conformity for the group certification.
4) Attendance by the all auditors for the group administrative audit
If plural number of auditors form the audit team, it is desirable that all members of auditors participate in
the auditing of a group administration shall be informed to the auditor(s) who cannot participate in thegroup administration audit.
5) Duration of the audit (Initial audit, renewal audit)
In the case of initial and recertification audit, auditing of the farm, in principle, shall finish in one monthfrom the end of audit for the group administration.
*Note 1: A certification body shall determine the duration of the audit for the group administration and themember sites, and the number of member sites to be sampled, based on the group’s “organizational
structure” or “roles and responsibilities of the group administration and “information of the member sites
which consists of group” that are submitted in the application.

For example, when the group

administration plays a bigger role and takes most of the responsibilities, the audit of the group
administration requires more time, and the farm audit can be shorter.
*Note 2: For unexpected situations, it is desirable to reserve extra sample sites.
*Note 3: The sample for the unannounced audit shall not be informed that you will be audited in advance.
c) Audit of subcontractors
An audit of subcontractors in a group audit shall be conducted in the same manner as an audit of an individual
farm (Ref. 8.2. (4)d) of this document).
8.3 Conducting an audit and receiving a corrective action report(1) A certification body shall conduct an audit based on the “ASIAGAP Control Points and Compliance Criteria
for Farms” and “ASIAGAP Control Points and Compliance Criteria for Group Administration.” For an
audit to be valid, it shall comply with the following:a) All applicable requirements of the standard shall be fully covered, using any supporting notes madeduring the audit by a suitably qualified auditor.
b) The scope of the report shall cover the scope of application of the farm/group, and the report shallprovide satisfactory evidence that all areas of the scope have been fully audited.
c) All areas of nonconformities shall be identified and effective corrective actions taken to resolve
nonconformities.
(2) If an inadequate handling of products other than the products to be audited or inputs and machinery related
to those products are posing food safety risks to the products to be audited, or are posing environmental
risks or risks to workers’ safety, human rights, or welfare, the auditor may report as nonconformities.
(3) The auditor shall record the audit result, provide the audit report which includes clear and precise
information on the nonconformities, report it to the farm/group audited, and request corrective actions fornonconformities. The certification body shall develop the procedure for making the audit report taking into
consideration that it might be transferred to other languages.
(4) The certification body shall make judgements on group certification based on 7.2(3) of this document,
provided, however, If the whole group organization, group office, and/or any member site(s) fails to meetthe essential certification program requirements, then the whole organization, including all sites, will fail togain certification before closing these non-conformance request(s). Where certification has previously been20

in place, this shall initiate the Certification Body’s process to suspend or withdraw its certification.
In the case of a group audit, the audit team leader shall report the audit result to the group representative,
after all the audits is completed. When a group audit is conducted by multiple auditors, the team leader
shall verify all of the nonconformities identified by the auditors prior to the closing meeting with the grouprepresentative, and report the findings on behalf of the team.
The certification body must validate nonconformities discovered in the group audit, and apply rectifying
measures laterally to other parts of the group where necessary. Where nonconformities impact the entire
group or some sites or facilities that handle produce, etc., the group administration must validate the content
of rectifying measures; and the certification body must validate rectifying measures implemented, including
those validated by the group.
(5) The farm/group administration can ask questions to the auditor regarding the audit result.

Without apermission of the auditor, observers of the audit are not allowed to speak during the audit.
(6) After the audit, the farm/group shall conduct corrective actions against the nonconformities found throughthe audit and shall submit the corrective action plan and report to the certification body. The certificationbody shall verify the corrective action plan and the result of corrective action. The verification can be
conducted in various ways, but they should be reviewed by the reviewers in the appropriate and valid way.
In case of the following, the corrective action report shall be verified by the auditor on site:a)

The auditor has defined that the nonconformity shall be verified on site, and the certification bodyconfirms the need.

b)

The result of the audit shows less than 70% conformity to the Major Musts.
In the case of the verification for the corrective action with using ICT, you should follow “theguideline for ICT utilization for ASIAGAP audit process”(7) A corrective action report shall be submitted within 4 weeks after the audit date. When it is necessary toverify the corrective actions on site, the visit shall be conducted within 8 weeks after the audit date.
(8) The evaluation result for the audit must be recorded in the audit report. The audit report shall contain allnecessary information on audit, including evidence to prove that all control points of the ASIAGAP standard
were verified in the audit. This information shall be available upon request of the Foundation or GFSI.
a)

Customer Information

1) Register Number
2) Name of the organization/farm3) Identification of the Individual or Group, and number of farms for the Group4) Name of the responsible person5) Telephone number
6) Facsimile number7) Email address
8) Locationb)

Audit Information

1) Date of audit
2) Duration of audit
3) Type of Audit (Initial or Surveillance or Recertification)4) Unannounced audit or not5) Name of auditor

216) Name of certification program
7) Sector8) Name of product(s) to be audited
9) Name of product(s) existing10) Name and location of agricultural produce handling facility11) Outsourcing process, name and location, if anyc)Audit Results1) Numbers of nonconformity control points
2) Numbers of not applicable control points
3) Score (%)4) Final date for the submission of corrective action report5) General remarks
6) Signature of auditor
7) Signature of a person auditee

8.4 Review of audit results, certification decision and issuance of the certificate(1) The certification body shall review the audit report and judge the audit result. The audit report should be
evaluated correctively to validate enough evidence for the conformity of the ASIAGAP.
Those who have conflict of independence and impartiality, including those who have audited the farm/group,
shall not review the audit results nor make a certification decision. In addition, those who review the audit
report and make an audit decision shall not perform any activity that affects the person’s independence andimpartiality.

In particular, they cannot conduct consulting (*Note) nor sales activities, such as selling

goods to the audited farm/group, within three years before and after the date of review and certification
decision.
*Note: Consulting refers to giving specific advice, instructions, or solutions to a farm/group on implementing
ASIAGAP.

Providing training on general information that is freely available to anyone is not considered

consulting.

(1) The certification body can issue a certificate as result of the certification decision, or if the certification
decision cannot be reached, it can request further corrective actions and/or an additional audit.
(2) The certification body shall make a certification decision by the following timeframes in principle:a) In case where there is no nonconformity requiring corrective action,
within three weeks after the audit finishedb) In case where there is any nonconformity requiring corrective action,
within three weeks after the auditor confirms and accepts a corrective action plan submitted by afirm/group
In case where the certification decision is made after the time specified in a) or b) above by any particularreason, the certification body shall record evidences to justify.
(3) The certificate (*) shall be issued by the certification body that conducted the audit*Refer to the certificate template (Annex 3)

8.5.

Registration and disclosure of information

The certification body, using the format required by the Foundation shall immediately report the registration and22other related information of ASIAGAP certified farms/groups to the Foundation. The Foundation manages theregistration information of ASIAGAP certified farms/groups using a database system.

The data to beincorporated into this database system shall include the number of auditors, the number of certificates issued, thenumber of farms those certifications has been withdrawn, and other information related to the GFSI
Benchmarking Requirements. The Foundation publishes the names of the certified farms/groups and certified
agricultural products on its website.
8.6 Cost associated with an ASIAGAP audit and certification(1) Cost of audit and certification
A certification body shall set a fee and request payment from the farm/group.
(2) Registration fee for ASIAGAP certified farm/group
A farm/group that has been granted an ASIAGAP certification shall pay a registration fee to the Foundation,
through the certification body, as an ASIAGAP certified farm/group.
The registration fee as a certified farm/group shall be paid when a new certificate is issued after the initialaudit, when a certificate is renewed after a recertification certification, or when a new member is added toa group after the group has been certified. Even if a certificate is withdrawn or if a member leaves thegroup, the registration fee is not returned.
8.7 Process after ASIAGAP certification
In case the information on the certificate is necessary to be changed, the farm/group shall request thecertification body to change the description on the certificate.

The certification body shall follow thefollowing procedure according to the request. In addition, if a certificate is withdrawn whether by CB orby farm/group, or if there is any change in the description on the certificate due to a reduction in certification
scope, the certification body shall promptly request the farm/group to return the certificate.

Thecertification body shall immediately report the changes in the certificate to the Foundation.

The

Foundation immediately registers and discloses the changes in the certificate.
8.7.1

Adding a new item after certification(1) When a farm/group wishes to add a new product item on the certificate, it shall apply to its certificationbody for the addition.
(2) The certification body shall verify that the production process for the item to be added meets the criteria of
the standard, and shall make the decision to accept the addition. For verification, an on-site audit may be
conducted.
(3) After the verification, if the addition is granted, the certificate shall be reissued, and the newly added item
can be treated as a certified produce.
8.7.2

Adding a new site after certification

A certified group/farm can verify whether the site to be added to the certification conforms to the “ASIAGAP
Control Points and Compliance Criteria for Farms,” and if the conformity can be verified, the new site can be
added. The agricultural produce coming from the newly added site can be treated as ASIAGAP certified produce.
It is not required to report adding a new site to the certification body.

8.7.3

Adding a new produce handling facility after certification(1) When a certified group/farm wishes to add a new produce handling facility to the certificate to treat the23

produce handled in the facility as certified produce, it shall apply to the certification body for the additionof the facility.
(2) The certification body shall verify that the new produce handling facility meets the criteria of the standard,
and makes the decision to accept the addition. For verification, an on-site audit may be conducted.
(3) After verification, if the addition is granted, the certificate shall be reissued. The produce handled in the
newly added facility can be treated as certified produce.
8.7.4 Adding a new farm to the group after certification(1) When a certified group wishes to add a new member to the certification before the next maintenance orrecertification audit, it shall apply to the certification body for the addition, provided that it meets the“ASIAGAP Control Points and Compliance Criteria for Group Administration.”(2) The certification body shall calculate the square root of the new total number of member farms of the group,
including the new members. Then it shall subtract the previous square root (rounding up the decimal) fromthe new square root (rounding up the decimal), and shall conduct on-site audits on the number of farms
corresponding to the difference.
(3) After the audit, when the addition is granted, a new certificate shall be issued, and newly added members
can be treated as ASIAGAP certified farms.

8.7.5

Other changes in the description on the certificate(1) In case the description on the certificate is necessary to be changed for reasons other than 8.7.1 to 8.7.4 inthis document, the farm/group shall request the certification body to change the description on the certificate.
(2) If the certification body considers that the change could potentially impact the safety of the agricultural
product, it shall take actions to confirm that the farm/group’s management meets the standard. The actionsof confirmation may include an on-site verification.
8.8 Changing certification bodies(1) When a farm/group wishes to change certification bodies
When a certified farm/group changes its certification body, the following audit shall be treated as arecertification audit. The farm/group shall notify the previous certification body that it is not going tocontinue the certification with that certification body before applying to a new certification body. The
farm/group shall submit to the new certification body a copy of the current certificate and a copy of the audit
report that includes the list of nonconformities provided by the current certification body. The remaining
period of the current certificate becomes invalid, and the new certificate issued by the new certification body
becomes valid.
(2) When a certification body wishes to hand over certified farms/groups
When a certification body loses its accreditation status or downsizes the scope of accreditation, and isnecessary to hand over its certified farm/group to another certification body, the certificates shall continue
to be valid until their expiration dates. When a farm has not yet received surveillance, the new audit andcertification body shall conduct an audit for transfer so that the certification can be maintained.

The

previous certification body shall submit copies of the current certificates and copies of the audit reports,
including the lists of nonconformities and things to be verified in subsequent audits, to the Foundation.
The new certification body shall receive the above documents from the Foundation to conduct audits fortransfer.

In case an accreditation of a certification body is withdrawn, the farms/groups that have beencertified by the certification body shall follow the instructions of the Foundation.

24

8.9

Extraordinary audit(1) When a certification body receives a complaint or information regarding nonconformity to ASIAGAP
standards on its certified farm/group, it can conduct an extraordinary audit of the farm/group.

An

extraordinary audit shall be conducted on site.
(2) A certification body cannot give more than 48 hours (two business days) prior notice to the farm/group.
The farm/group can refuse an extraordinary audit only when there are justifiable reasons, such as healthissues. When an extraordinary audit is refused, the certification body shall immediately set a new audit
date.
(3) An extraordinary audit shall focus on the control points that are related to the ASIAGAP nonconformity asreported in (1).
considered.

When it is necessary to verify any on-going activity, the timing of the audit can be

The audit report shall stipulate clearly that it was an extraordinary audit, and it shall be

submitted to the accreditation body and to the Foundation. Other matters shall be conducted the same as
in a normal audit and certification. The cost of an extraordinary audit shall be borne by the farm/group.
8.10 Unannounced audit(1) An unannounced audit is useful to verify a certified farm/group to conform with the ASIAGAP
requirements. The certification body shall execute the unannounced audits at least 10% of farms/groups
which are certified by those organizations in one year. The certification body selects the farms/groups to
conduct the unannounced audit at least for once in 8 years.
(2) A certification body shall explain about the unannounced audit to the certified farm/group after everyrecertification and surveillance audits. When the farm/group chooses the unannounced audit, thecertification body shall make a written content with the farm/group.
(3) Certification bodies shall notify the farm/group which chooses the unannounced audit within 48 hours
prior to the audit.

In case where there is a justifiable reason for the farm/group to reject the unannounced

audit, the farm/group is allowed to change the schedule of the unannounced audit.
(4) In case of an announced audit, the audit application is not required. The certification body shall consider
the outcome of the previous audit to make the audit plan. The audit plan shall not be disclosed to thefarm/group.
(5) The certification body shall report the implementation of unannounced audit to the Foundation once a year.

25

9.

Rights and duties of farms/groups and withdrawal of certificate

9.1 Rights of farms/groups(1) A farm/group can submit a complaint or appeal to the certification body. When the certification body does
not respond properly to the complaint, the certified farm/group can submit the complaint to the accreditationbody or to the Foundation (Ref. 16. “Complaint management, scheme improvement and public review bystakeholders” of this document).
(2) The Foundation, accreditation bodies, and certification bodies shall treat all reports and other documents
regarding the production process and audit results of the farm/group as confidential. The right of theownership of an audit report belongs to a farm/group which also has the right of the decision for disclosure
details and of the permission for access.
According to 8.5, the name of the certified farm/group and the certified produce can be published on theFoundation’s website as a means for buyers and consumers to verify the ASIAGAP certification status ofproducers.
9.2 Duties of ASIAGAP certified producers(1) A certified farm/group is responsible for conforming to the applicable control points of the “ASIAGAP
Control Points and Compliance Criteria for Farms” and “ASIAGAP Control Points and Compliance Criteria
for Group Administration” that are written on the certificate.

In the case of group certification, a group

administration shall implement “ASIAGAP Control Points and Compliance Criteria for Group
Administration”.
(2) A farm/group shall not be audited and certified by more than one certification body at the same time.
(3) A certified farm/group is responsible for updating its certification body about changes in the products,
produce handling facilities, list of members, and the data that are written on the certificate.
(4) If a certified farm/group decides to outsource part of the production process to a subcontractor, it shallensure that the subcontractor complies with the ASIAGAP standard.
(5) A certified farm/group shall accept an extraordinary audit (Ref. 8.9 of this document) when requested.
(6) When a certification body requests a farm/group to return its certificate due to withdrawal or withdrawal of
the certificate or reduction of the certified scope, the farm/group shall promptly follow the request.
(7) When a farm/group provides a copy of its certificate to others, it shall provide the complete information,
including all the attachments to the certificate.
9.3. Suspension and withdrawal of a certification(1) A certification body shall request a certified farm/group to take any corrective action within a reasonable
period (four (4) weeks in principle) in writing in case of each of the following conditions:a)Regardless of the farm/group violating the regulations and having been warned it has no intention totake any corrective action or has not taken any action for more than three (3) months.

b)

When nonconformities have been detected on a member farm as a result of an internal audits, but thegroup administration and/or the member are not willing to undertake corrective actions, the group
administration is not willing to remove the member from the group, or the group administration and/or
the member have not taken any action for more than three (3) months.

c)

When a farm/group does not pay the required fees related to audit and certification.

d)When a farm/group took an inappropriate action as certified farm/group of ASIAGAP.

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(2) The certification may be withdrawn from the certified farm/group without a suspended time in case of eachof the following conditions:a)When the farm/group declares bankruptcy, corporate reorganization, or civil rehabilitation, or when afarm/group is going through dishonor of bills, attachment for delinquent tax and public dues, executionof foreclosure, or other equivalent situations.

b)When there is an inappropriate relationship between the farm/group and the auditor such as the conflictof interest and the audit result of the audit is incredible.

c)

When a certified farm/group does not apply for a subsequent audit, despite the certification body
prompting the farm to apply for an audit, and the subsequent audit cannot be conducted within the time
limit stipulated in 7.3 of this document (*Note) (except when the certification of the farm/group has beentransferred to another certification body).
*Note: A certification body can decide to conduct an extraordinary audit before the certificate expires.

When thecertificate has already expired, the certification shall be withdrawn.

d)When a certified farm/group continues to refuse an extraordinary audit (Ref. 8.9 of this document).

(3) To decide the suspension or withdrawal of the certification, the certification body may conduct an
extraordinary audit (Ref. 8.9 of this document).
(4) The certification shall be temporarily suspended during the period of (1) above. The use of the ASIAGAP
logo marks shall also be prohibited during the warning.
(5) The certification body shall report the suspension or withdrawal of a certification immediately to theFoundation.
The Foundation constantly updates the certification status of all registered farms/groups.

A farm/groupwhose certification has been withdrawn cannot apply for a new audit and certification for five years from thedate of withdrawal. When the reason for withdrawal is malicious, and could threaten the credibility of thecertification, it may be announced on the Foundation’s website as such, and the Foundation may take legal
actions against the farm/group.

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10.

Labeling regarding ASIAGAP certification

There are two types of logo marks: ASIAGAP certification program logo mark and ASIAGAP Certified Farmlogo mark.
The ASIAGAP logo marks are not a consumer-facing agricultural brand but are a means to communicate
management method of the farm/group that has produced the product.
The ASIAGAP certification program logo marks shall not be used as any label to imply that certified products
meet any specific food safety criteria.
10.1 The ASIAGAP certification program logo markThe ASIAGAP logo mark is a scheme logo mark that copyright belongs to the Foundation. They represent
farms/groups that take care of food safety, environmental conservation, workers’ safety, human rights and welfare,and agricultural produce that have been produced by farms and groups under such farm management.
10.2 ASIAGAP Certified Farm logo markIt is a logo mark that represents a certified farm/group or ASIAGAP certified produce, and only certified
farms/groups can receive permission from the Foundation to use the logo mark. An ASIAGAP Certified Farmlogo mark contains a registration number, provided in 8.1 (6) of this document.
An ASIAGAP Certified Farm logo mark is as follows:

10.3 Rights and duties of ASIAGAP logo mark users
ASIAGAP Certified Farm logo mark users can obtain the right to use the ASIAGAP Certified Farm logo markby following the procedure described in this document and the Detailed rules on the ASIAGAP logo mark use
with the approval from the Foundation to use the logo marks. Once an approval is obtained an ASIAGAP
Certified Farm logo mark user can use the logo mark according to the rules of this document. The users shallabide by the relevant Japanese laws, such as the Trademark law, the Unfair Competition Prevention law, and the
Act against Unjustifiable Premiums and Misleading Representations, while always respecting the regulations inthis document.

In case a misuse of the ASIAGAP Certified Farm logo mark is discovered, the Foundation may

take legal actions, such as a demand for an injunction, claim for damages, and criminal complaint.

Thefollowing entities are not allowed to use the ASIAGAP Certified Farm logo mark:(1) Farms/groups not ASIAGAP certified.
(2) Farms/groups whose certificate has been expired.
(3) Farms/groups who have misused the ASIAGAP logo marks, and whose act of misuse has been detected in
an audit by the Foundation.
(4) Farms/groups whose approval for use of the ASIAGAP logos has been withdrawn in the past 5 years.
(5) Farms/groups who have a record of violation of laws, and who the Foundation has determined to beunsatisfactory to become ASIAGAP logo marks users.

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10.4 Details on the use of the ASIAGAP Certified Farm logo markThe ASIAGAP Certified Farm logo mark shall be used in the form that is provided by the Foundation. Any
modification of shape or texts is not allowed. The user can decide the size of the logo mark. The user shallfollow the other detailed instructions that are in the “Detailed rules on the ASIAGAP logo mark use.”
10.5 Appropriate use of the logo markCertification body, during auditing, shall inform farm/group that there is a rules and regulations to use logo mark.

11.

ASIAGAP Auditors and Technical Reviewers

11.1 ASIAGAP auditors
11.1.1 Class of ASIAGAP auditors
The Class of ASIAGAP auditors who can conduct ASIAGAP certification are listed below.

An auditor isallowed to audit only the sector that the auditor is registered for (Ref. 6.2 (3) of this document).
(1) ASIAGAP senior auditors
ASIAGAP senior auditors can conduct individual farm certification, and audits of both group administrationand member farms for a group certification.
(2) ASIAGAP auditors
ASIAGAP auditors can conduct individual farm certification and member farm certification for a group
certification. When an auditor meets the conditions of 11.1.3 (3) of this document, the auditor can conduct
an audit of group administration under the supervision of an ASIAGAP senior auditor or a person who theFoundation has recognized to be the equivalent of an ASIAGAP senior auditor.
(3) ASIAGAP auditor candidates
ASIAGAP auditor candidates can receive the on-site training at the individual farm certification and member
farm certification for a group certification under the supervision of an ASIAGAP senior auditor or an
ASIAGAP auditor.
11.1.2 Registration requirements for an ASIAGAP senior auditor
A certification body shall verify that a person meets the following criteria, in addition to the criteria for an
ASIAGAP auditor, to register the person with the Foundation:(1) Has successfully passed either of the following coursesa)Quality management system or food safety management system auditor course that is recognized by
IRCA, JRCA, or RAB (at least 40 hours) orb)

Quality management system or food safety management system auditor course that is recognized by
the Foundation (at least 40 hours).

(2) The person must have at least two group administration audits where the person was assessed (andrecognized as performing well) by an attending ASIAGAP senior auditor, or a person whom the Foundation
has recognized to be the equivalent of an ASIAGAP senior auditor, and audit records for a total of at least
fifteen (15) farm audits (at least two in each registered sector).

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11.1.3 Registration requirements for an ASIAGAP auditor
A certification body shall verify that a person meets the following criteria, in addition to the registration
requirements for an ASIAGAP auditor candidate, to register the person with the Foundation:(1) Has successfully passed a Codex HACCP training course (minimum of two days)(2) The person must have audit records for at least three individual farm audits in the sector for which he or she
is applying for registration. The record must be kept that the person has been assessed by assessor, who is
the responsible auditor in charge till the completion of auditor registration, for three audits attended andassessed by auditor or senior auditor and recognized as performing well. (*) An audit out of three may besubstituted by two or more site audits for different group certification.
11.1.4 Registration requirements for an ASIAGAP auditor candidate
A certification body shall verify that a person meets the following criteria, and register the person with theFoundation for each corresponding production process category:(1) Conformity to the “Qualification requirements for ASIAGAP auditors” (Ref. Annex 1)(2) Has successfully passed a recognized ASIAGAP for farm standard introduction course(3) Has successfully passed a recognized ASIAGAP for group standard introduction course(4) Has successfully passed a recognized ASIAGAP auditor training course
11.1.5 Registration recertification of ASIAGAP senior auditors and ASIAGAP auditors
To maintain registration as an ASIAGAP senior auditor or an ASIAGAP auditor, the person shall submit anapplication for recertification to the Foundation once a year with the following information:(1) Participation in at least one ASIAGAP auditor course organized by a certification body and assessment bycertification body on the auditor’s knowledge concerning ASIAGAP.
(2) At least 5 ASIAGAP audits at 5 different farms/groups for each sector per year; an additional two audits ofgroup administration per year (for an ASIAGAP senior auditor).
(3) Participation in a training course designated by the Foundation.
(* Note) When (2) above cannot be met, the requirement can be alternatively conformed to by conducting at least one farm audit
with ASIAGAP and at least five farm audits of a GFSI recognized certification program other than ASIAGAP at five different
farms/groups per year.

11.1.6 Registration recertification of ASIAGAP auditor candidates
To maintain registration as an ASIAGAP auditor candidate, the person shall submit an application by which thefollowing is confirmed once a year for recertification.
(1) Attendance at a course designated by Japan GAP Foundation.
11.1.7

Adding sector to the registration of ASIAGAP senior auditors, ASIAGAP auditors, and ASIAGAP

auditor candidates(1) When an ASIAGAP senior auditor or an ASIAGAP auditor wishes to add a sector to their registration, thecertification body must owe the following program and keep the record. He or she takes the program andsubmit an application for adding sectors to JGF.
a) Education for new sector(s)b) The unified record of a positive evaluation of the witness audit held at least once by and instructor, who
is registered in the sector(s) and has same or superior auditor qualification.
c) Verification of compatibility to “Qualification required for ASIAGAP auditors” (ANNEX 1)

30(2) When an ASIAGAP auditor candidate wishes to add a new sector to their registration, the certification bodyshall verify that he or she meets the “ASIAGAP auditor qualification requirements” (Ref. Annex 1) andsubmit the results of the verification to the Foundation.
11.1.8 Registration fee for ASIAGAP senior auditors, ASIAGAP auditors, and ASIAGAP auditor candidates(1) ASIAGAP senior auditors, ASIAGAP auditors, and ASIAGAP auditor candidates shall pay an annual
registration fee to the Foundation upon registering for the first time or renewing their registration.
(2) The Foundation provides information regarding ASIAGAP to the registered ASIAGAP senior auditors,
ASIAGAP auditors, and ASIAGAP auditor candidates.
11.1.9 Independence, fairness, and confidentiality of ASIAGAP auditors(1) ASIAGAP auditors shall not conduct any activity that infringes upon the independence and fairness of theirwork as auditors. Auditors shall not conduct any consultancy work (* Note) or commercial activities, suchas sales of products, for the farm that they audit, within three years before the audit or three years after theaudit.
(* Note 11) Consultancy work refers to activities that provide advice and instructions regarding ASIAGAP that are customized
for the farm or group.

Providing general training on information that is freely available to anyone is not considered to be

consultancy work.

(2) ASIAGAP senior auditors, ASIAGAP auditors, and ASIAGAP auditor candidates shall respect theprocedures defined by the certification bodies to protect the confidentiality of information and records
regarding audits.
11.1.10 Withdrawal of registrations
Registration of an ASIAGAP senior auditor, ASIAGAP auditor, or ASIAGAP auditor candidate can be withdrawn
in the following cases. The Foundation makes the decision regarding withdrawal.
(1) In case an inappropriate relationship between an auditor and the farm/group audited has been discovered, oran inappropriate relationship has been discovered, and the Foundation considers that the audit result cannot
be trusted.
(2) In case an auditor damages the credibility of ASIAGAP or the Foundation.
(3) In case an auditor has not paid the registration, fee defined in 11.1.8 of this document.

11.2 Management and reporting of auditor registers
A certification body shall maintain the latest registers of auditors and be able to submit them promptly uponrequest of the accreditation body, the Foundation, or the GFSI Secretariat. The content of the registers shall
include the type of auditors, scope of audits, academic background, work experience, and audit history.
11.3 Other regulations
Other regulations regarding ASIAGAP auditors are defined in the “ASIAGAP Auditor Regulations.”
11.4 Technical Reviewer
The technical reviewer is a person who reviews audit results and has a competence to understands ASAIGAP
standard documents, audit report, requirements on completion of check list, and evaluate the contents of the audit
report fairly and accurately.

31

12. ASIAGAP internal auditors and ASIAGAP trainers
12.1 ASIAGAP internal auditors
12.1.1 Class of ASIAGAP internal auditors(1) ASIAGAP internal auditors
ASIAGAP internal auditors can conduct both an internal audit of group administration and internal auditsof member farms.
(2) ASIAGAP internal auditor assistants
ASIAGAP internal auditor assistants can conduct internal audits of member farms under the supervision of
an ASIAGAP internal auditor. The ASIAGAP internal auditor supervising the assistants shall be ultimately
responsible for the internal audits conducted by the assistant. The ASIAGAP internal auditor shall be able
to demonstrate that the assistants have been sufficiently trained by the internal auditor, and that their internal
audit reports have been validated by the internal auditor.
12.1.2 Requirements for an ASIAGAP internal auditor(1) An ASIAGAP internal auditor shall meet the following criteria.

An ASIAGAP internal auditor shalldemonstrate the following qualifications with written documents:
1) Knowledge of internal audita)Latest knowledge of GAP, including food safety and hygiene.

b)

Knowledge of risk assessment based on hazard analysis.

c)Basic knowledge of agrochemicals, fertilizers, workers’ safety, and environmental conservation.

d)

Basic knowledge of human rights, welfare, and labor management (*Note 1).

e)Knowledge of management systems (group administration).

f)Knowledge of internal audits and ability to conduct internal audits (*Note 2).
(* Note 1) Regarding a) to d), an internal auditor shall also have knowledge of the version of the “ASIAGAP Control
Points and Compliance Criteria for Farms” that the group has implemented.
(* Note 2) Regarding e) and f), an internal auditor shall also have knowledge of the version of the “ASIAGAP Control
Points and Compliance Criteria for Group Administration” that the group has implemented.

2)

Registered requirement for ASIAGAP auditor and similar or equal education, training, professional
career. (ref: 11.1.3, 11.1.4, ANNEX 1)

The following are recommended methods of demonstrating conformity with a) to f):a) to d):Successfully passing an ASIAGAP trainer basic course that is recognized by the Foundation, andmaintaining the qualifications of an ASIAGAP trainer.

e) and f): Successfully passing an ASIAGAP internal auditor course (GAP local leader training course) that isrecognized by the Foundation.
The above courses are the only ones that are recognized by ASIAGAP to verify the qualifications ofinternal auditors.

For any other course, an auditor shall verify the details of the course, such as

curriculum, duration, qualification of instructors, and textbooks, during an audit of a group
administration to verify whether it meets the requirements of a) to f) or not.

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(2) An ASIAGAP internal auditor shall meet at least one of the following criteria:• Agricultural extension officer.
• Agricultural engineer.
• Grade 2 or above in the Japan agricultural technology test by the National Chamber of Agriculture.
• Associate agricultural engineer with practical experience in agriculture.
• Graduate from an agricultural university or college with practical experience in agriculture.
• At least three years of experience in agriculture.
• At least three years of experience in agricultural extension.
• Experience successfully leading at least three farms to ASIAGAP certification.
• Experience successfully leading a group to ASIAGAP certification.
• Experience as a group administrator of an ASIAGAP certified group.
12.1.3 Requirements of an ASIAGAP internal auditor assistant
An ASIAGAP internal auditor assistant shall meet the same requirements as an ASIAGAP internal auditor, but
any missing qualifications can be supplemented by an ASIAGAP internal auditor.
12.2 ASIAGAP trainers
12.2.1 Class of ASIAGAP trainers(1) ASIAGAP trainers shall have sufficient knowledge to provide training, advice, and support to farms so thatthey can achieve good and efficient farm management and obtain and maintain ASIAGAP certification.
(2) ASIAGAP senior trainers shall have sufficient knowledge to provide training, advice, and support tofarms/groups so that they can achieve good and efficient farm management and obtain and maintain
ASIAGAP certification.
(3) ASIAGAP trainers and ASIAGAP senior trainers shall have knowledge of the versions of the “ASIAGAP
Control Points and Compliance Criteria for Farms” and the “ASIAGAP Control Points and Compliance
Criteria for Group Administration” that the farm/group wishes to implement.
12.2.2 Registration requirements for ASIAGAP trainers(1) ASIAGAP trainers
Have successfully passed an ASIAGAP trainer basic course that is recognized by the Foundation andmaintained qualifications as an ASIAGAP trainer.
(2) ASIAGAP senior trainers
In addition to the requirements for ASIAGAP trainers, ASIAGAP senior trainers shall meet either a) or b)of the following criteria:a)Meet the following two conditions:1) Successfully passing an ASIAGAP internal auditor course (GAP local leader training course) that isrecognized by the Foundation, and
2) Experience leading at least 10 farms successfully to ASIAGAP certification.
b) Meet the following three conditions:1) Successfully passing an ASIAGAP auditor course that is recognized by the Foundation,2) Successfully passing an ASIAGAP group certification course that is recognized by the Foundation,and3) Experience leading at least 10 farms successfully to ASIAGAP certification.

33

12.2.3 Registration recertification of ASIAGAP trainers
The status as an ASIAGAP trainer or an ASIAGAP senior trainer is valid for two years.

To renew theregistration status, the person shall take the training course designated by the Foundation to obtain the latest
knowledge on ASIAGAP before the expiration of the status.
12.2.4 Other regulations
Other regulations regarding ASIAGAP trainers are defined in the “ASIAGAP Auditor Regulations.”

13. Accreditation bodies and certification bodies
13.1 Requirements for an accreditation body and accreditation work
(1) The Foundation and accreditation body shall establish the periodical opinion exchange and communication.
Such
include the agreement to make sure that certification body comply with ISO/IEC 17065. Communication
shall be implemented based on “ASIAGAP regulation on communication without side organizations”. The
Foundation shall make sure that it’s all activities concerning ASIAGAP operation shall be implemented byaccreditation bodies which shall be members of the International Accreditation Forum (IAF) and signatories tothe Multilateral Recognition Arrangement (MLA). The Foundation shall ensure its consistency in theaccreditation standards used for ASIAGAP operation and shall harmonize the accreditation standards on behalfof the contracted accreditation bodies, if it is necessary.
(2) Accreditation work on ASIAGAP shall be conducted based on ISO17011 and the contract signed by theFoundation(3) Accreditation bodies shall set up a procedure for accreditation work, and let the certification bodies knowwhat the procedure is. After a certification body has been accredited, the accreditation body shall issue an
accreditation certificate. The accreditation scope described in the certificate shall correspond to the sectorof ASIAGAP, including the revised version number or its publication date.
(4) A contracted accreditation body shall discuss with the Foundation in advance the acquisition, suspension, andwithdrawal of accreditation, regarding accreditation activities, and shall report its latest information to theFoundation.
13.2 Requirements for certification bodies(1) When a certification body wishes to conduct certification activities of ASIAGAP, it shall first approach theFoundation. The Foundation explains the scheme, and conducts an initial review of the certification bodyto evaluate its basic suitability as an ASIAGAP certification body.
(2) A certification body shall sign a contract with the accreditation body and the Foundation regarding
certification activities. The certification body shall comply with the following:a) The certification body shall employ personnel with sufficient competence to fulfill all functions within
the organization, such as management, operations, expertise, and auditing.
b) Regardless of the scope of accreditation, the certification body shall establish systems and procedures
to ensure that the auditors have the competencies described in ISO/IEC 17065.
(3) Accreditation bodies shall indiscriminately receive applications for accreditation, and accredit certification
bodies based on the following criteria. They shall respect the detailed procedures of accreditation definedby each accreditation body.
a) The certification body shall have a system for ASIAGAP audit and certification that is in line with
ISO/IEC 17065 and the ASIAGAP General Regulations.

The certification body shall operate aneffective and fully implemented quality system. The quality system shall be fully documented and34

used by all relevant certification body staff. Within the certification body there shall be a designatedmember of staff responsible for the quality system’s development, implementation, and maintenance.
This designated staff member shall have a reporting role to the organization’s executive for the purposesof management review and subsequent system improvement, and shall also have responsibility forreporting on the performance of the quality system.
b) The above system of the certification body shall be accredited by an accreditation body that has signed
a contract with the Foundation, as in 13.1 of this document.
c) The certification body shall be fair and independent.
d) Its audit and certification fee shall be appropriate, and it maintains financial soundness.
e) The certification body shall appoint at least one person as a technical reviewer (see 11.4).

f)

There shall be a technical manager who has the competence of an auditor. The technical manager
shall be responsible for training the certification body personnel on new versions of ASIAGAP,
technical communication with the Foundation, and arrangement of auditors.

(4) A certification body shall obtain accreditation within one year from the date of application to theaccreditation body.

If accreditation is not granted within one year, the contract between the Foundationand the certification body shall be cancelled.

In case there is any delay in accreditation, the certificationbody shall provide a plan to the Foundation to seek approval for pursuing accreditation. However, if thecause of the delay is with the accreditation body, such as cancellation of the accreditation program, theFoundation verifies the situation.
(5) A certification body shall confirm that the auditors meet the registration requirements of 11.1.2-11.1.4 ofthis document.
(6) The auditors contracted by a certification body shall be able to demonstrate competence in the corresponding
scope of the required auditor background.
(7) A certification body shall have a program to assess auditing competence to register auditors according to11.1 of this document. The program shall include 11.1.3 (2).
(8) A certification body shall have a structure in place that assures that the auditor shall keep up to date withindustry sector best practices, food safety, and technological developments, and have access to and be able
to apply relevant laws and regulations, as well as maintain written records of all relevant training undertaken.
(9) A certification body shall have a system in place to ensure auditors conduct themselves in a professionalmanner. The following includes examples of required personal attributes and behavior:a)

Ethical; i.e. fair, truthful, sincere, honest and discreet.

b)Open minded; i.e. willing to consider alternative ideas or points of view.

c)

Diplomatic; i.e. dealing with people in good manner to achieve goals.

d)Observant; i.e. positively conscious on physical surroundings and activities.

e)

Perceptive; i.e. instinctive, aware of and able to understand situations.

f)Versatile; i.e. adjusts readily to different situations.

g)Tenacious; i.e. persistent, focused on achieving objectives.

h)Decisive; i.e. timely conclusions based on logical reasoning.

i)Self-reliant; i.e. acts independently while interacting effectively with others.

j)Integrity; i.e. aware of need for confidentiality and observes professional code of conduct.

(10) When a certification body applies for expansion of the accreditation scope, it shall have a currently valid
accreditation for ISO/IEC 17065.

In addition, it shall submit a written notice to the Foundation and haveit approved.

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13.3 Rights and duties of certification bodies and withdrawal of accreditation
13.3.1 Rights of certification bodies
Certification bodies can conduct audits according to this document of farms/groups that wish to be ASIAGAP
certified, and provide them with ASIAGAP certificates.
Certification bodies can conduct audits of other certifications that include requirements in addition to ASIAGAP
certification.

In such case, an audit and other certification shall be conducted upon issuing an ASIAGAP

certificate, to make it clear that the other certification is based on the ASIAGAP certification.

Certification

bodies shall ensure that the other certification has not affected the validity period or audit timing of the ASIAGAP
certificate.
13.3.2 Duties of certification bodies(1) A certification body shall at all times make the following information available to the Foundation:a) Authority under which the organization operates.
b) A statement in relation to its certification system, including information on rules and procedures for
granting, maintaining, extending, suspending and withdrawing certification of its clients.
c) Evaluation procedures and certification processes in relation to the certification scheme.
d) Financial report and means of acquiring fee charged to customers.
e) Details of the rights and requirements of applicants and clients, such as the use of logo marks, and theway a client can use information in relation to certification.
f)

Details of complaints, appeals, and dispute procedures.

g) A comprehensive list of all certified clients.
(2) A certification body shall receive an accreditation audit conducted by an accreditation body. The audit for
maintenance or recertification of accreditation is to verify the continuous implementation of the accreditation
requirements in 13.2 of this document. In cases the ASIAGAP transition occurs, certification bodies shallfollow the accreditation procedure publicized on website of the accreditation bodies. Notice on transition
will be publicized on the website of the Foundation. In case where the accreditation body determines thatcircumstances that affect the accreditation status have occurred, it may conduct an extraordinary audit of thecertification body.
(3) A certification body shall pay the certification body registration fee to the Foundation.
(4) A certification body shall oblige all staff involved in the certification process to sign contracts or agreements
to bind their commitment toa) Conformity to organizational regulations that specifically address confidentiality obligations andindependence from commercial or personal interests, andb) Declaration of any problem regarding conflicts of interest of individuals.
(5) A certification body shall participate in workshops and meetings as requested by an accreditation body andthe Foundation.
(6) A certification body shall clearly document all the requirements of ISO/IEC 17065 and IAF MD4 related tothe staff concerning certification process, and inform the staff of these requirements. Such requirements
include the system and procedure which make sure that auditor’s capability meets the requirements
mentioned thereby.
(7) A certification body shall obtain and maintain records of the qualifications, training and experience of all
staff involved in the certification process. Every record shall be dated and at least include the following:a) Name and address,b) Relationship with certification body and position held,36c) Educational qualification and professional status,d) Experience and training in the relevant fields of competence in relation to the ASIAGAP requirements,ande) Details of performance appraisals.
(8) A certification body shall announce the scope of accreditation, so that it is clearly distinguished from services
outside the scope of accreditation.

When the scope of the service offered for ASIAGAP is out of theaccredited range, CB shall make it clear, non-contradictory and distinctive.
(9) A certification body shall hold training for ASIAGAP auditors at least once a year.

In addition, it shall havea mechanism for managing the competence of personnel involved in certification activities, including
contracted ASIAGAP auditors, and shall work towards improving the competence and calibration of thepersonnel.
(10) If a certification body changes its ownership, management team, management structure, or articles ofincorporation, it shall report the changes in a timely manner to the Foundation.
(11) A certification body shall apply ASIAGAP wholly for GFSI recognized scope.
13.3.3 Withdrawal or withdrawal of accreditation
When a certification body does not meet the accreditation requirements, or when it neglects the duties stipulated
in this document, or when its accreditation body decides that it should no longer be accredited, the accreditation
status can be withdrawn. Certification body shall inform Japan GAP Foundation about revocation or suspensionof accreditation.
13.4 Role of Japan GAP Foundation for accreditation
13.4.1 Communication with accreditation body
Japan GAP Foundation shall inform accreditation body of ASIAGAP related information and development.
13.4.2 Disclosure of accredited certification body
Japan GAP Foundation shall make information of accredited body open to the public
13.4.3 Communication with certification body
Japan GAP Foundation shall inform certification body about ASIAGAP related information and development
including alteration of certification program.

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14. ASIAGAP training courses and approval of ASIAGAP training institutes
14.1 Training courses of ASIAGAPThe Foundation develops the following training courses regarding ASIAGAP, and owns the copyright of the
training materials for the courses.
(1) ASIAGAP trainer training basic course(2) ASIAGAP internal auditor training course (GAP local leader training course)(3) ASIAGAP trainer in-field training course(4) ASIAGAP auditor training course(5) ASIAGAP special training course(6) ASIAGAP regular online training course
14.2 Approval of ASIAGAP training institutes
The Foundation approves training institutes that are allowed to conduct the training courses listed in 14.1
(hereafter called ASIAGAP training institutes).

The approval is conducted for each of the training courses of(1) - (6) listed in 14.1.
14.3 Rights and duties of ASIAGAP training institutes and withdrawal of approval
14.3.1 Rights of ASIAGAP training institutes
ASIAGAP training institutes can issue certificates for course completion or passing final evaluations to theparticipants that are training to become ASIAGAP auditors as defined in 11 of this document, or ASIAGAP
internal auditors or trainers as defined in 12 of this document.
14.3.2 Duties of ASIAGAP training institutes(1) ASIAGAP training institutes shall be evaluated for approval by the Foundation. When the Foundation
perceives any incidence that can negatively affect the approval status, it can conduct an extraordinary
assessment of the ASIAGAP training institute.
(2) ASIAGAP training institutes shall pay the approval fee that is defined in a separate document.
(3) ASIAGAP training institutes shall keep records of all the claims, complaints, and disputes of the training
course participants and other stakeholders regarding approved training activities, and submit the records to
the Foundation upon request.
(4) ASIAGAP training institutes shall participate in the workshops and meetings as requested by the Foundation.
14.3.3 Withdrawal of approval
When a training institute neglects the above duties, or when the Foundation decides that it should no longer beapproved, the approved status can be withdrawn.
to the ASIAGAP training institute.

Prior to withdrawal, the Foundation sends a written warning

Depending on the situation, the Foundation can immediately withdraw theapproved status.

38

15.

ASIAGAP certification using documents of the differences between
ASIAGAP and other schemes

15.1 General principles
When a farm/group is already certified under other schemes, or when a farm/group wishes to conduct an audit
and certification of other schemes simultaneously with an ASIAGAP audit and certification, it can use the“documents of the differences between ASIAGAP and other schemes (for farms and group administration)” inorder to avoid duplication of audits on the control points that ASIAGAP and other schemes overlap, and toachieve a more efficient audit and certification.
15.2

Conditions(1) The other scheme shall be a scheme that has been recognized by GFSI.
(2) The certification body of the other scheme shall be the same as that of ASIAGAP, and it shall be acertification body that has been accredited (or is under the accreditation process) by an accreditation bodythat is an IAF member and a signatory to the MLA.
(3) The control points where the other scheme and ASIAGAP overlap can be audited using the standard
document of the other scheme. The control points that exist only in ASIAGAP shall be additionally auditedusing the “document of the differences between ASIAGAP and the other scheme” (for farms and group
administration), which has been approved by the Foundation.
(4) The ASIAGAP certificate that is issued shall include the name of the other scheme that has been audited,
and the name and version number of the “document of the differences between ASIAGAP and the otherscheme” (for farms and group administration) (Ref. 7.4 (3) b) 1) of this document).
(5) Regarding the expiration date, if the validity period of the other scheme expires, the ASIAGAP certification
shall also lose its validity. If the certification validity of the other scheme expires within two years fromthe date of certification, the expiration date of the other scheme shall become the expiration date of the
ASIAGAP certification (Ref. 7.4 (3) c) 2) of this document).

(6) For other aspects, the audit and certification shall respect the ASIAGAP General Regulations.

39

16.

Complaint management, scheme improvement and public review bystakeholders

16.1 Complaint management by certification bodies
Certification bodies shall follow established procedures for complaint management to deal with complaints andappeals from farms/groups, and to inform farms/groups about the responses.
16.2 Complaint management by accreditation bodies
Accreditation bodies need to follow established procedures for complaint management to deal with complaints
and appeals from certification bodies, and to inform the certification body about the responses.
16.3 Complaint management by the Foundation
The Foundation receives complaints on any of the following issues from any stakeholder, and it is responsible
for responding appropriately to the complaints.
(1) Complaints regarding accreditation bodies.
(2) Complaints regarding certification bodies or auditors.
(3) Complaints regarding training institutes and training instructors.
(4) Complaints regarding ASIAGAP trainers.
(5) Complaints regarding ASIAGAP certified farm/groups.
(6) Complaints regarding the Foundation or the ASIAGAP Scheme.
16.4 Integrity program
Following the Procedure of Integrity Program, the Foundation monitors, evaluates, and continually improves
the whole scheme to verify whether ASIAGAP is effectively and efficiently operated in light of the "ASIAGAP
Philosophy," responds to the confidence of buyers, and contributes as an effective tool for improvements in the
management of farms/groups.
(1) To protect the credibility of the ASIAGAP scheme, the Foundation establishes and maintains the quality
control system of the organizational management.
(2) Consultations with accreditation bodies.
The Foundation holds regular meetings with accreditation bodies and receives reports on the latest
accreditation status. If necessary, the Foundation attends an accreditation audit conducted by anaccreditation body of a certification body.
(3) Consultation with certification bodies
Following the Procedure for Implementation of Integrity Program on ASAIGAP operation (A_45-D02),
the Foundation receives necessary information from the certification bodies and analyzes the accuracy of
their certification activities.
(4) Consultation with certified farms/groups
If a certification body reports a malicious farm/group that cannot be handled by the certification body, theFoundation directly verifies the situation with the farm/group (including a visit). Depending on thesituation, the Foundation instructs the certification body to discuss the potential suspension andwithdrawal of the certification. (For example, when a farm/group frequently changes its certificationbody and does not want to receive surveillance.)
When the Foundation finds complaints regarding farms/groups, serious nonconformities related to foodsafety (including violation of laws), product recalls, court cases, and measures taken in the reports from acertification body, and decide that the farm/group can threaten the credibility of ASIAGAP, it provides the40

necessary measures to the farm/group either through the certification body or directly.
(5) Consultation with other stakeholders
the Foundation investigates and consolidates opinions on the credibility of ASIAGAP with stakeholders
such as auditors, trainers, and buyers of agricultural products (including consumers). Collection of
opinions and surveys can be conducted through various means, including symposiums, conferences forauditors and trainers, questionnaires, and unannounced visits.
(6) Responses to opinions collected
The results of the collection of opinions and surveys can be used for the following activities after
conducting a risk-based assessment.
a) Review of the scheme, including revision of the ASIAGAP standard.
b) Guidance for the accreditation bodies, certification bodies, auditors, trainers, farms, and groups.
c) Improvement of the ASIAGAP training course.
(7) If any finding of the above (5) or changes in social situations generate concerns or trends that could
negatively affect the credibility of ASIAGAP or GFSI, the Foundation verifies with the relevant
stakeholders (including accreditation bodies, certification bodies, and certified farms/groups), takes thenecessary measures, and notifies GFSI.
(8) The Foundation establishes a database system for effective management and operation of the ASIAGAP
program.
16.5 Disclaimer
The Foundation, ASIAGAP accreditation bodies, and ASIAGAP certification bodies are not legally held
responsible for the agricultural produce sold by the certified farms/groups.

41Annex 1: Qualification requirements for ASIAGAP auditors
An ASIAGAP auditor is allowed to inspect only the sector that the auditor is registered for (Ref. 6.2 (3) of thisdocument). An auditor needs to meet the following qualification requirements to be registered for each sector.
SectorAcademic qualification

Professional qualification

Examples of sector specificrequirements

requirements

work experience in relation
to product categories

B I (Cultivation

Education in an

At least two full time years ofExperience in farming in…

and harvesting

agricultural/crop-based

experience in the agriculture,

Fruits, Vegetables, Herbs andprocess of fruits,

discipline or as a minimum,

food or associated industry

Tea, Spices, Mushrooms,

vegetables andhas successfully completed asuch as quality assurance or

Grasses (Sugar), Sprouts etc.

tea. Grains andfood related or biosciencefood safety sections in foodbeans excluded)

higher education course or

production or processing or

B II (Cultivationequivalent.

retailing or inspection orExperience in farming inand harvesting

auditing or instructing or

Grains and Cereals, Nuts,

process of grains)or the equivalent.

Pulses and Legumes

BⅢ(Produce

Experience in food safety or

handling of fruits,

quality assurance in produce

vegetables, tea,

handling of fruits andand grains)vegetables (sorting, trimming,etc.), produce handling ofgrains (up to brown rice) or
unrefined tea processing
Experience in agriculturalextension, agriculturalresearch and development,
experience in audits,
experience in GAP training

42

Annex 2: Criteria for audit time calculation
1.

Individual audit(1) Typical audit time1) Cultivation and harvesting process (B I, B II)
In conducting the on-site farm audit, a certification body shall calculate the typical audit time as 1 person-day(8 hours) for each scope.
2) Produce handling process (BⅢ)
In conducting the on-site farm audit, a certification body shall calculate the typical audit time for the produce
handling facility as 0.5 person-day (4 hours). The audit for BⅢcannot be conducted alone, but with thescope as B I + BⅢor B II + BⅢ.
[Example]
Basic conditions of a typical audit time are as below:
1) Employment: Yes
2) Number of Items- In the case of fruits and vegetables: 5 items- In the case of tea: 1 item
- In the case of grains: 2 items
3) Number of produce handling facilities: None
4) Outsourcing: None
5) Necessity of interpreter: None
(Sample on-site audit timetable)
Opening meeting: 15 minutes
Document review: 3 hours
Farm review (hearings from workers included): 3 hours
Reconfirmation: 1 hour
Report preparation: 30 minutes
Closing meeting: 15 minutes(2) Perspective of audit time calculation
Certification bodies shall calculate the audit time concerning the conditions of audited farms. In calculating
audit time, the following factors shall be taken into consideration:1) Size of sites
2) Presence of employment
3) Cultivation method (soil, hydroponic or house cultivation etc.)
4) Presence of compost manufacture5) Presence of produce handling facilities
6) Number of product processes7) Other factors which have influence on audit time

43

2.

Group audit(1) Group administration
1) Typical audit time
In auditing the on-site group administration audit, a certification body shall calculate the typical audit time as 1
person-day (8 hours).
[Example]
Basic conditions of a typical audit time for group administration are as below:
1) Number of groups consisting sites: 30
2) The group administration is in charge of the annual use plan of pesticides and fertilizers: Yes
3) Outsourcing: None
4) Necessity of interpreter: None
(Sample on-site group administration audit timetable)
Opening meeting: 15 minutes
Document review (Control Points and Compliance Criteria for Group Administration): 4 hours 30 minutes
Document review (Control Points and Compliance Criteria for Farms): 2 hours 30 minutes
Report preparation: 30 minutes
Closing meeting: 15 minutes2) Audit time calculation
Certification bodies shall take the conditions of audited group into consideration in calculating audit time.
The decrease of audit time shall be less than 50% from the typical audit time.
(2) Sites (farms/produces handling facilities)
1) Typical audit time
The typical audit time for individual farms (B I, B II) shall be 0.5 person-day.

The typical audit time for

produce handling facilities attached to the farm (BⅢ) shall be 0.25 person-day. The typical audit time for
produce handling facilities separated from the farm (joint fruit sorting site, rice center, unrefined tea factoryetc.) shall be 0.5 person-day.
2) Audit time calculation
Certification bodies shall take the conditions of audited sites (individual farms and produce handling facilities)
into consideration in calculating audit time. In case the group administration operates most of the part
regarding Control Points and Compliance Criteria for Farms, the audit time for individual farms and/or
produce handling facilities can be reduced. However, the minimum audit time shall be more than 0.25
person-day.
The total audit time for the group administration audit shall be calculated as below:
Audit time for group administration + Number of sampling sites x Audit time for sites

44

Annex 3:

Template of Certificate

Certificate of Registration
This is to certify that

Taro Yamada（Yamada Farｍ）(address:○○ ○○○○○-○○○○

Produce handling facilities: Packing House
Address: 125 ○○Cho ○○ ○○. ○○○-○○○○,Japan.

has been found to conform toStandard：ASIAGAP Fruit and Vegetable Ver.2.3

This certificate is valid for the following scope:
Type: Individual farm Certification
Product items：Tomato、Cabbage
Product Sector：BI、BⅢ

Unannounced Audit

Registration No.：A123456789
Certificate No.：abc12345
Initial certification date：1 September, 2017
Recertification date：17 August, 2019
Expiry date：31 August ,2021
Issue date：18 August,2019

Certification Body： ABC Certification Center Inc.
Address： 7-8-9 ○○Cho ○○City Tokyo Japan. ○○○-○○
Director of the Center：○○○○ signature

45

CB

JAB

logo

Logo

Annex 4
Timing of Audits
This is a supplement to 7.3 Timing and conditions of audits.
1. Possible time period for surveillance
A 9～12months after the day of initial certification(shown as ② in the chart), andB 12～15months after the day of initial certification(shown as ③ in the chart)a） If surveillance are to be divided, the first one should be done in the period shownas ① and the second one should be done in the period ② or ③.
b） Surveillance should not be done in the period ④ and 6 months interval isrequired.
c） The same principle applies for the second certification onward.
2. Possible time period for recertification audit
It is in between 19 months after the initial certification and 5 months before the expiry ofcertificate (shown as ⑤ in the chart)a） If recertification audits are to be divided, the first one should be done in the
period shown as ④ and the second one should be done in the period ⑤．
b） 6months interval is required between the first one and the second one.
c） The same principle applies for the second certification onward.
3. In case audit cannot be done during the period mentioned above,a） CB and Farm/Group are able to decide the audit timing even after 15 months
from the audit(shown as ④ and ⑨ in the chart) , however the reason for thedelay, together with new date has to be reported to JGF and monthly update ofsituation should follow.
4. The deadline for the surveillance.
a） In the case of situation of GR9.3 = Suspension and withdrawal of a certification(2)c), the deadline for the surveillance timing is within 15 months after the day of
initial certification or recertification (shown as ③ or ⑧ in the chart)

46

Figure 1(Initial Certification)←Initialfrom Initial Cert
←9months←Initial Cert. Date

Audit

A

←7weeks→

6 months

B
←

①

②

3monthsfrom Initial Cert.
←19months
Expiry→from Initial Cert
←12months
A’
→

③

C

6months

D

⑤

←

④

5months →15 months after initial audit datefrom prev. exp.
from prev.exp.

Figure 2(2nd Cert onward)

from prev.exp.

Suveillance←19months←Audit←next day of prev. exp

Expiry→⑤E←9months
6months⑥

F←⑦
3months

15months after initial audit date←

3months←12months→

47

Expiry→G→⑧⑨

6monthsH←⑩
5months →Japan GAP Foundation
3-29 Kioi-cho, Chiyoda-ku, Tokyo
102-0094 JAPANURL: http://jgap.jp