JGAP Remote Audit Guidelines(Agricultural Products)

Ver. 1.1

Issued: September 7, 2020
Effective: October 7, 2020
Revised: October 7, 2021

Table of ContentsObjective
1. Definitions and explanations of terms

1

2. Requirements

1

2.1 Conditions for remote auditing

1

2.2 Period of operation

1

2.3 Environment1

3. Scope2

3.1 Scope2

3.2 Exclusion criteria

2

4. Audit/certification bodies and auditors

2

5. Timing, duration, and period of audit

3

5.1 Timing of audit

3

5.2 During of audit

3

5.3 Interval between connection test and audit

3

6. Security

3

6.1 Ensuring security

3

6.2 Agreement on security

3

7. Implementation procedures

3

7.1 Application for audit

3

7.2 Materials to be submitted
Checking of documents and identification of items for careful
7.3 auditing3

7.4 Connection test

4

7.5 Determining whether remote auditing is permitted

4

7.6 Formulation of audit plans

4

7.7 Performance of remote audit

4

7.7.1 Participating staff on a farm4

7.7.2 Environment

4

7.7.3 Performance of remote audit

4

7.7.4 Discontinuation of remote audit

4

7.8 On-site audit

58. Activities after audit

59. Registration

54

Objective
These guidelines stipulate points of remote audits under the JGAP certification program (fruitsand vegetables, grain, and tea) operated by Japan GAP Foundation ("Foundation") inaccordance with IAF MD4:2018: IAF Mandatory Document for the Use of Information andCommunication Technology (ICT) for Auditing/Assessment Purposes and JGAP General Rules.
It is backed by the advancement of audit and certification methods using ICT devices andavoidance of the risk of COVID-19 transmission.

1. Definitions and explanations of terms(1) Information Communication Technology (ICT)
Use of technology for collecting, saving, reading, processing, analyzing, and transmitting
information. Examples of ICT include smartphones, mobile terminals, laptop computers,
desktop computers, drones, video cameras, wearable device technology, artificial intelligence,and other software and hardware (source: IAF MD4:2018).
(2) Remote audit
Audit of farms from places other than farms by auditors using ICT devices. It is essentiallyrequired that a certification body and a farm can communicate smoothly via a web
conferencing system or the like, that is, the environment should allow the voice and image ofparticipants to be conveyed immediately and mutually, and should allow the parties concerned
to express opinions accurately, mutually and sufficiently in a timely manner.
(3) On-site audit
Face-to-face audit with an auditor, a farmer, and the group administration involved. It is tobe implemented at the field and/or facilities related to audit.

2. Requirements
2.1 Conditions for remote auditing
A remote audit is to be considered if any of the following applies:(1) An audit is enabled reliably, even partially, using ICT without requiring visits at farm orgroup.
(2) The government restricts travel and requests voluntary restraint on movement due toCOVID-19.
(3) An audit/certification body judges a remote audit to be appropriate because of a farmer's
preference and risk of infection of an auditor due to COVID-19.
2.2

Period of operation
The operation of remote audits will commence on October 7, 2020.

2.3 Environment
As one of the requirements, the environment should allow the voice and image ofparticipants to be conveyed immediately and mutually, and should allow the parties
concerned to express opinions accurately, mutually and sufficiently in a timely manner.

Accordingly, if a remote audit is not permitted due to the malfunction of equipment in theaudit process, an additional on-site audit will be required.
In addition, images (photos) should be sent and received as well as image-based
communications, and it is necessary to secure the sufficient precision of audit using images
and sound.

3. Scope
3.1 Scope
The guidelines are applicable to remote audits for individual and group of JGAP (fruits andvegetables, grains, and tea). All audits are not to be performed remotely, but on-site audits areto be implemented for the control points. However, if 2.1 (2) or 2.1 (3) applies, all audits may
be remotely performed.

Fruits and vegetables: 2016 4.11 / 5.5 / 10.2 / 13.3.1 / 13.3.2 / 14.1 / 14.4 / 16.1.3 / 16.1.4 /16.3 / 17.1 / 17.2 / 17.4 / 18.1 / 18.3 / 18.4 / 19.1 / 20.1 / 20.3 / 21.1 / 22.1.1 / 24.2.3 / 24.3.2 /24.3.3 / 24.3.5 / 24.4 / 24.5 / 25.1.3 / 25.3 / (for sprouts only) 13.2.1 / 15.1.2 / 16.1.1.1 / 17.5.1 /18.8 / 23.1.1 / 23.1.2 / (for mushrooms only) 15.1.4 / 17.6.1 / 23.1.3
Grains: 2016 4.11 / 5.5 / 10.2 / 13.3.1 / 13.3.2 / 14.1 / 14.4 / 16.3 / 17.1 / 17.2 /17.4 / 18.1 / 18.3 / 18.4 / 19.1 / 20.1 / 20.3 / 21.1 / 24.2.3 / 24.3.2 / 24.3.3 /24.3.5 / 24.4 / 24.5 / 25.1.3 / 25.3 / (for polished rice only) 8.2.2 / 17.5
Tea: 2016 4.11 / 5.5 / 10.2 / 10.3 / 13.3.1 / 13.3.2 / 14.1 / 14.4 / 16.1.3 / 16.3 /17.1 / 17.1.1 / 17.2 / 17.4 / 17.5 / 18.1 / 18.3 / 18.4 / 19.1 / 20.1 / 20.3 / 21.1 /24.2.3 / 24.3.2 / 24.3.3 / 24.3.5 / 24.4 / 24.5 / 25.1.3 / 25.3 / (for finished tea only)

10.1.3.2 / 17.6

3.2 Exclusion criteria
Remote audits are not applicable if any of the following applies to a farm. In the case ofemergency, application conditions may be defined separately.
(1) Initial audit for a farm(2) If a farm was required to make corrections on essential/important items at 10% or more in
the last audit

4. Audit/certification bodies and auditors
Audit/certification bodies should document the proceedings of assessing auditors' capabilities
related to remote audits and judge whether audits can be performed remotely.
Auditors are required to have the following capabilities:- ICT devices can be fully used for remote auditing.

- Auditors have been fully trained for remote auditing, being capable of performing remote
audits, and having an understanding of the risk in the precision of information collected
through remote audits.
- Auditors understand the risk related to security associated with remote auditing.

5. Timing, duration, and period of audit
5.1

Timing of audit
Requirements for timing of audit are shown in General Rules.

5.2

During audit

If the duration of audit is shorter than the standard duration of audit as the total of a remote
audit and an on-site audit, an audit/certification body should justify why the duration is shortened.
5.3Interval between connection test and audit

A remote audit is to be performed within four weeks after a connection test. A remote audit
should take place prior to an on-site audit.

6. Security
6.1

Ensuring security

Audit/certification bodies should take measures to ensure information confidentiality
throughout an audit, including planning, reporting, and follow-up.
6.2

Agreement on security

An audit/certification body and a farm should agree on the measures to protect theinformation relating to audit such as security, data, sound recordings, and screenshots, andwhere responsibility lies prior to audit.
An audit/certification body and a farm should agree on scope, purposes of use, and time of
discarding records if they use the video/sound recording function of a remote audit tool.
An agreement on security should be executed in writing, and a written agreement should beretained. Without a written agreement on security, remote auditing will not be permitted.

7.

Implementation procedures

7.1

Application for audit
Fill in an audit application form by providing the following information.

(1) Equipment, platform, and others used for remote auditing(2) Participants in audit(3) Frequency of online meetings(4) State of use of ICT, such as the cloud system used for GAP registration
7.2

Materials to be submitted
Farmers should submit the following to audit/certification bodies in advance.

(1) Lists of fields and facilities

(2) Maps of fields and facilities(3) Layout diagram of facilities handling agricultural products (blueprinting) (if all audits are
implemented remotely)(4) Results of risk assessment for the harvesting process and the agricultural producthandling process(5) Results of self-inspections and results of improvements of items judged non-conforming inself-inspections
7.3

Checking of documents and identification of items for careful auditing
Audit/certification bodies should check submitted documents and materials.
Audit/certification bodies should identify the risk that can affect remote auditing and the riskof use of ICT based on results of prior check of farms and submitted materials, understand theitems for careful auditing (including the items to be checked at an on-site audit), and keeprecords.
7.4

Connection test
The same auditor should implement a connection test, a remote audit, and an on-site audit.
Auditors should check the communication environment, images, and precision of images bychecking documents and the actual site.

7.5

Determining whether remote auditing is permitted
Audit/certification bodies should assess risks of remote auditing from the following viewpoints

with reference to information about remote auditing obtained from 7.1 audit application form,
7.2 submitted materials, and 7.4 connection test, and judge whether remote auditing ispermitted. They should interview farmers on risk assessment if necessary. They should record
risk assessment results and judgement results in a series of remote auditing.
(1) Request for corrections in the last audit(2) ICT devices to be used and communication environment (baud rate and noise)(3) The capability of using ICT devices and communication environment of the auditor and thefarmer(4) Ensuring of information security and confidentiality
7.6

Formulation of audit plans
Audit/certification bodies should decide how ICT should be used in remote and on-site
auditing and formulate an audit plan.
An audit plan should reflect results of identification of the items for careful auditing as statedin 7.3.

7.7

Performance of remote audit

7.7.1

Participating staff on a farm

At least two persons from the farm should participate in a remote audit as a rule.
(One of them shall check the safety of the person who shoots the site with an ICT device
and assist with document examination.)7.7.2 Environment
A quiet spot should be chosen to facilitate transmission of sound and images.
A headset or external microphone is preferable (a microphone attached to a laptop is
not recommended).

7.7.3

Performance of remote audit

A remote audit should be implemented (for example, starting, terminating, and reporting ofaudit results) in accordance with General Rules and follow a formulated plan as much as
possible.
An audit report should state that an audit was implemented remotely, why an audit wasimplemented remotely, hours of starting/finishing an audit, and participants. It should include
any technical issues.
7.7.4

Discontinuation of remote audit

A remote audit should be discontinued and records should be kept if it cannot be continued
due to hindrances including the communication situation.
Records should include causes of discontinuation, control points and results that arechecked by a remote audit until discontinuation.
7.8 On-site audit
An on-site audit should be implemented according to an audit plan and performed for thecontrol points that have been judged necessary to be checked onsite in a remote audit.

8.

Activities after audit
Auditors should discard records obtained via the video/sound recording function of theremote audit tool after judgment of an audit is terminated.

9.

Registration
Audit/certification bodies should report auditing information to the foundation as remoteaudits, and the foundation shall record certified farms/groups as remote audits.

＊Supplementary provision:
This guideline will be invalid when new process for “remote audit” is established.

Japan GAP Foundation

3-29 Kioicho, Chiyoda-ku, Tokyo 102-0094, Japan
Floor 4, Nippon Agricultural Research Institute Bldg.
URL: https://jgap.jp