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 Surveillance Audit
2nd Surveillance Audit Recertification Audit

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

Revision date: September 29, 2009 Page 1 of 9

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.

Food Safety & Quality Management System Requirements (applicable to all CGC programs)

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
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)

Legal Policy is available and includes: all applicable statutory and regulatory requirements,
method to identify applicable laws, updating method, and person designated as responsible (4.4)
Evidence of management commitment (4.1)

Quality/food safety policy - complete, current, communicated and understood within the
company (4.3)
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 requirements for internal and
external communication (4.6)
Evidence of the management review of FSQMS (4.7)

Resource Management (5.0)

Existing resources allow for the maintenance of the FSQMS (5.1)

Revision date: September 29, 2009 Page 2 of 9

 Compliant Findings
Requirement
Y/ N
Training is appropriate to the roles and responsibilities of employees in the FSQMS and records
are maintained (5.2)
Existing infrastructure allows achieving conformity to product requirements (PPR’s) (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)
Evidence of contract review and confirmation of customer requirements and ability to deliver.
(6.6)
Documented system for supplier selection, evaluation and re-evaluation (including growers)
(approved supplier list) (6.7)
Production and service provision carried out under controlled conditions (IP production
requirements, PPR’s and HACCP Plan) (6.8.1)

Evidence of identification and traceability (6.8.7)

Evidence of monitoring, inspection and test activities and associated records to ensure that
product meets requirements (6.9)

Measurement, Analysis and Improvement (7.0)

Internal audits are conducted to determine conformance of the FSQMS, effectively implemented,
updated and maintained – follow-up activities carried out (7.2.2)
Product and processes are monitored and measured (7.2.3; 7.2.4;7.5)

Identification and disposition of non-conforming product is documented. (7.3)

Corrective/preventive procedures in place (7.6.1; 7.6.2)

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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

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 Compliant
Requirement Findings
Y/N
(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

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, corrective pesticide
used)

Pest Control activities are monitored, documented, 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 jewelry, 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)

Glass breakage policy in place

Packaging material is one-time use

Personnel practices are monitored, documented 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.

(Observe that chemicals are approved, where chemicals are stored; appropriate use
and storage of lubricants and greases during operations, maintenance activities)

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 Compliant
Requirement Findings
Y/N
Chemical use and storage practices are monitored, documented and corrective
actions are taken in case of deviations. Records are available.

PPR-007 Personnel Training (also see 5.2)

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 Potable Water

Water treatment activities are performed as written (if required)

Water safety monitoring activities are performed as written

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

PPR-009 Equipment Design

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

(Observe location of magnets)

PPR-010 Calibration
Calibration activities are carried out as written

(Observe calibration stickers on moisture meters)

Calibration activities are monitored, 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

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

PPR-012 Purchasing of Non-Grain Inputs (also see 6.7)

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

PPR-014 Recall & Traceability (also see 6.8.7)

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

Effective mock recalls performed ad documented

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

PPR-015 Internal Audit (also see 7.2.2)

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 Compliant
Requirement Findings
Y/N
Internal audit activities performed as written

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

PPR-016 Corrective & Preventive Action (also see 7.6.1 and 7.6.2)
Corrective and preventive actions have taken place as written

Corrective and preventive action activities are monitored, and corrective actions are
taken in case of deviations. Records are available.

HACCP

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

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

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 Compliant Findings
Requirement
Y/ N
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
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: September 29, 2009 Page 9 of 9