CIPRS/CGC HACCP/CIPRS+ HACCP

AUDIT CHECKLIST

Audit information
Audit date: Auditor(s):

Audited facility business name: Location:

Auditee representative / Primary contact:

Products processed:

Program(s) audited: Number of HACCP Plans (if applicable):

Type of audit:
Implementation Audit 1St Annual System Audit
2nd Annual System Audit Recertification Audit

Audit length (start time-end time): Auditor signature:

Revision date: June 15, 2022 1 of 10

If a requirement has been met, the auditor can indicate Yes under the compliance column and retain notes of the evidence on his/her audit
file. If a requirement has not been met, the auditor must list the evidence of the non-conformance under “Findings” and complete a CAR.

Compliant Findings
Requirement
Y/ N
Documentation Requirements (3.0)
Documented management system includes as a minimum: food safety/quality policy, food
safety/quality manual (that includes exceptions to scope), food safety/quality system procedures,
an organizational structure defining the duties of key employees assigned responsibility for the
quality and safety of the product and documents needed for planning, operating and controlling
the FSQMS processes (3.1)
Document control procedure (retention, retrievability, currency, changes, external docs) (3.2)
Record control procedure (evidence of conformance, storage, retrievability, retention, disposal)
(3.3)

Management Responsibility (4.0)

Evidence of management commitment, including: developing and supporting a food safety and
quality policy and objectives, regular communication with staff about the importance of meeting
requirements, regular management reviews of the QMS, and ensuring that there are sufficient
resources to implement the QMS (4.1)
Evidence of commitment to supporting a culture of food safety (4.1.3) (CGC HACCP-based
programs only)
Evidence that customer requirements are determined and satisfaction is evaluated (4.2) (CIPRS-
based programs only)
Quality/food safety policy - complete, current, communicated and understood within the
company (4.3)
Legal Policy is available and includes: all applicable statutory and regulatory requirements,
domestically and in countries to which product is exported, a method to identify applicable laws
and changes to existing applicable laws, and person responsible for verifying the legal policy
(4.4) (CGC HACCP-based programs only)
Quality and food safety objectives established – measurable and consistent with the quality/food
safety policy; conform with legal requirements and customer specifications (4.5)
Roles and responsibilities outlined and communicated, including the authorization for load
certificates, if applicable. including requirements for internal and external communication and
(4.6)
Evidence of the management review of QMS; meeting minutes are available (4.7)

Revision date: June 15, 2022 2 of 10

 Compliant Findings
Requirement
Y/ N
Resource Management (5.0)
Existing resources allow for the development, assessment, maintenance and revision to improve
the FSIP QMS (5.1)
Training is appropriate to the roles and responsibilities of employees in the FSIP QMS and
records are maintained. Competency requirements for internal auditors are defined and staff
conducting internal audits have received the appropriate training to meet the competency
requirements. (5.2)
Existing infrastructure allows achieving conformity to product requirements (5.3)

Product Realization (6.0)

Establishment of processes, documents, and provision of resources to meet product
specifications. Determination of required validation, monitoring, inspection and test activities and
associated records (6.1)
Establishment of a food safety team that possesses knowledge of the company’s products,
processes, equipment and food safety hazards (6.2) (CGC HACCP-based programs only)
Evidence of contract review and confirmation of customer specifications, statutory and regulatory
requirements, and the company’s ability to meet these requirements. Sampling and analytical
testing methods are defined. CIPRS non-GMO shipments are sampled and tested to validate the
effectiveness of IP processes (6.7)
Documented system for supplier selection, evaluation and re-evaluation (including growers)
(approved supplier list) (6.8)
Production and service provision carried out under controlled conditions through documented
processes (IP production requirements, PPR’s and HACCP Plan) (6.9)
Evidence of identification and traceability. The ability to trace, withdraw or recall product has
been tested through annual mock recalls of grain and non-grain inputs (6.10)

Stored grain is monitored for evidence of infestation or contamination. Only food-grade non-grain
inputs are used, and they are stored in a manner that ensures continued compliance to food
safety requirements (6.11)

If CIPRS, CIPRS+ HACCP, CGC HACCP certification marks are used, they are used in a
manner to indicate products have been processed, packaged and shipped under the scope of
the company’s certification (6.12).

Measurement, Analysis and Improvement (7.0)

Establishment of methods and procedures to monitor, measure, analyze and improve QMS and
customer satisfaction (7.1; 7.2)
Internal audits are conducted annually to determine conformance of the entire FSIP QMS,
effectively implemented, updated and maintained – follow-up activities carried out (7.3)

Revision date: June 15, 2022 3 of 10

 Compliant Findings
Requirement
Y/ N
Product and processes are monitored and measured. Product is not shipped until authorized by
designated staff. If product specifications are not met, corrective action is taken to ensure
conformity of product. (7.4)
Evidence of monitoring, inspection and test activities and associated records to ensure that
product meets requirements. (7.4.3)
Procedures are in place to prevent the unintended use of non-conforming product (7.5)

Procedures are in place to identify non-conforming product and conduct a product withdrawal or
recall, if required. (7.6)
Corrective and preventive action procedures in place (7.7; 7.8)

A business continuity plan is implemented and includes after-hours emergency contacts,

alternate suppliers and work locations. Procedure are in place to locate and isolate affected
product (7.9)

Revision date: June 15, 2022 4 of 10

Prerequisite Program Requirements (applicable to CGC HACCP-based programs only)

Compliant
Requirement Findings
Y/N
PPR-001/PPR-002 Premise Design/Premise Maintenance
Property and adjacent land kept free potential sources of contamination

Facility exterior structurally sound and prevents access by pests

Establishment design permits hygienic activities and prevents cross-contamination

(ex: segregated areas, traffic patterns, logical process flow)

Personnel facilities (washrooms, change rooms, and lunch rooms) clean, adequate in
number, well equipped, in sound condition and appropriate to permit personal hygiene

Interior rooms, structures and fittings clean, well maintained and in sound condition

Lighting is appropriate and allows for assessment of grain

Light bulbs and light fixtures explosion-proof or appropriately protected

Sewage systems maintained, backflow prevention system in place, and appropriate

plumbing system

Equipment and tools made of appropriate materials and achieve their intended
purpose

Waste containers and waste utensils clearly identified, functional, clean and in sound
condition

Exterior and interior premises are monitored, and corrective actions are taken in case
of deviations. Records are available

Records documenting the monitoring of environmental controls are complete and up-
to-date

PPR-003 Premise Housekeeping

Cleaning activities are performed regularly as written

(Observe dust levels, spilled grain or liquids, cleanliness of personnel welfare areas,
waste containers, boot and pit, drains and traps, receiving area)

Pre-operational and operational inspections are performed as required; records are

maintained

Revision date: June 15, 2022 5 of 10

 Compliant
Requirement Findings
Y/N
Cleaning activities are monitored, and corrective actions are taken in case of
deviations. Records are available

PPR-004 Pest Control

Pest control activities performed as written

(Observe bait trap type and locations, location of pesticides, licensed pesticides used)

Stored grain and empty bins are monitored for evidence of insect infestation

Pest Control activities are monitored, documented, and verified and corrective actions
are taken in case of deviations. Records are available.

PPR-005 Personnel Practices

Personnel follow personnel practices as written

(Observe wearing of jewellery, hand-washing signs in personal welfare areas,

appropriate clothing/footwear/headwear, wounds/injuries covered, no signs of illness,
access controlled, no food or beverages in processing areas, no gum or tobacco use)

Employee illness policy is in place; staff are aware of risks associated with illnesses
transferrable to food; staff who report illness are reassigned so that they are not
working in direct contact with product

Glass breakage policy in place

Packaging material is one-time use

Personnel practices are monitored, documented, and verified and corrective actions
are taken in case of deviations. Records are available

PPR-006 Chemical Use and Storage

Employees handle, use and store chemicals (pesticides, lubricants, greases) as
written

Pest control products used to control infestation are approved by the PMRA; all other
registered chemicals have a Letter of No Objection (LONO) from Health Canada, a
Letter of Guarantee (LOG) from the supplier or a Letter of Acceptance (LOA) that was
previously provided by the CFIA

(Observe that registered chemicals are used, chemicals are stored in a manner that
prevents contamination of grain and non-grain inputs; appropriate use and storage of
lubricants and greases during operations, maintenance activities)

Revision date: June 15, 2022 6 of 10

 Compliant
Requirement Findings
Y/N
PPR-007 Personnel Training (also see 5.2 Employee Training and Records)
Training is delivered and updated as written for orientation, HACCP and prerequisite
program, HACCP Team, job specific

Training activities are monitored, and corrective actions are taken in case of
deviations. Records are available

PPR-008 Water and Air Supply

Water treatment activities are performed as written (if required)

Water safety and air supply monitoring activities are performed as written

Water safety (and treatment, if required) and air supply activities are monitored and
verified, and corrective actions are taken in case of deviations. Records are available

Air and compressed gasses used in grain handling processes is clean (filtered) and
does not pose a risk of contamination.

PPR-009 Equipment Design

Equipment, design, construction, location and installation facilitate sanitation,
inspection and maintenance activities. Records are available

Equipment and test equipment used for testing the quality and safety of grain is fit for
purpose

(Observe location of magnets)

PPR-010 Calibration
Calibration activities are carried out as written

(Observe calibration stickers on moisture meters)

Calibration activities are monitored, documented and verified, and corrective actions
are taken in case of deviations. Records are available

PPR-011 Equipment Cleaning & Maintenance

Equipment cleaning and maintenance activities are carried out as written

(Observe tool locations, cleaning or maintenance activities if occurring)

Pre-operational and operational inspections are performed as required; records are

maintained

Equipment cleaning and maintenance activities are monitored and verified, and
corrective actions are taken in case of deviations. Records are available

Revision date: June 15, 2022 7 of 10

 Compliant
Requirement Findings
Y/N
PPR-012 Purchasing of Non-Grain Inputs (also see 6.11 Storage and Packaging)
A supplier approval system is implemented, and a list of approved suppliers is
available. Purchasing activities performed as written

PPR-013 Receiving, Handling, Storage and Shipping

Receiving, handling, storage and shipping practices are followed as written

(Observe conveyance vehicle and container inspections at receiving and shipping;

appropriate storage of product and packaging, segregation of non-conforming
product, storage of bagged product and packaging materials, waste accumulation

Bins are monitored and records maintained

Incoming products and materials (approved suppliers) are inspected for

specifications and records maintained (lot traceability)

Chemical products received separately, securely stored and segregated from food
materials; records maintained

Shipping, Receiving, Handling and Storage activities are monitored, documented,

and verified and corrective actions are taken in case of deviations. Records are
available

PPR-014 Recall & Traceability (also see 6.10 Identification and Traceability)
Finished product identification is applied to all products produced

Records documenting the receipt of all incoming grain, materials, packaging and
returned products are complete

Records documenting traceability information of in-process grain are complete. After

hours contact information for team members and substitutes is maintained

Effective mock recalls on both a grain and a non-grain input are performed and
documented

Recall and traceability activities are monitored, documented, and corrective actions
are taken in case of deviations

PPR-015 Food Defence and Food Fraud Mitigation

A risk assessment procedure was developed, documented and performed to
determine food defence and food fraud vulnerabilities

A mitigation plan is written and implemented. The mitigation plan is reviewed

annually and corrective actions are taken if security risks are found. Records are
available

Revision date: June 15, 2022 8 of 10

 Compliant
Requirement Findings
Y/N
PPR-016 Allergen Control
An allergen control program has been implemented; allergens and acceptable levels
are determined by customer specifications and the regulatory requirements of the
importing country.

Monitoring of the receiving, handling, storage and shipping of grain lots with allergen
specifications are recorded

Training records and monitoring records are available and program is reviewed
annually

HACCP Plan (applicable to CGC HACCP-based programs only)

Compliant Findings
Requirement Y/ N

HACCP
Food safety team established.

Prerequisite programs developed, implemented and maintained to meet requirements

HACCP Plan developed evidence of evaluation against CGC generic model and adaptation to
the company’s own operations

1. Product Description
Product fully and accurately described

2. Ingredients and Incoming Materials

All incoming raw materials are listed with potential hazards identified

Requirement Compliant Requirement

3. Flow diagram
Process flow diagram is an accurate reflection of the company’s handling processes and
includes all operations

Steps are numbered; all potential hazards and CCP’s (if applicable) associated with each
processing step are identified

4. Plant Schematic
Plant schematic is accurate and identifies all equipment, rooms, product and personnel flow and

Revision date: June 15, 2022 9 of 10

potential cross-contamination points

Plant schematic has been verified by the HACCP team

5. Hazard Description and Critical Control Point

All potential hazards related to all incoming materials have been transferred from Form #2 and
analyzed.

All potential hazards related to the flow diagram(s) have been transferred from Form #3 and
analyzed

CCP’s (where applicable) have been identified

6. Uncontrolled Hazards
Uncontrolled hazards are transferred from Form #5 and ways to address them listed

8. HACCP Matrix
If CCP identified, Matrix accurately completed

HACCP Implementation and Records

CCPs (where identified) are monitored as written; records maintained

Corrective actions are taken in case of deviation as per procedures; records maintained

Verification activities are performed as per procedures; records maintained

Updates to the HACCP Plan are appropriately documented

HACCP Plan is reviewed annually; records maintained

Revision date: June 15, 2022 10 of 10