Timing/Scheduling of audits
The length of time for an audit varies with the size of the operation. The majority of on-farm audits can be completed in one half-day. This half-day is typical for a straightforward on-farm operation (i.e., production of fruits or vegetables). Packing facilities and more complex operations usually take longer to audit, particularly if there are multiple commodities and numerous on-site activities.
Repacking and wholesaling audits, take at least one day.
Multi-site Management System Audits will take 3 or more hours, and Group Management System audits (Option B) will take at least one day.
While scoping the audit, the Certification Body will determine the required audit duration depending on all the relevant factors.
For Option B, C and D (GFSI-recognized):
Scheduling of the initial audit and subsequent audits must be managed by the Certification Body to ensure coverage of the full scope (all commodities) over a period of 3 to 4 years. In addition, GFSI-recognized operations have some additional considerations:
- For a multi-commodity operation whose scope includes both “Production and Packing” – both scopes need to be observed annually. Therefore, more than one audit may be required in a given year, to ensure the auditor can observe activities related to both scopes. It is acceptable for the auditor to see harvesting of one commodity, and packing of another.
For Options A1, A2, E and F (not GFSI-recognized):
Scheduling of the initial audit and subsequent audits must be managed by the Certification Body to ensure coverage of the full scope (all commodities) over a period of 3 to 4 years. Multi-commodity operations may find, depending on crops involved, as that a number of audits over several years are required before certification reflects their full scope.
For more detailed guidance on audit timing, see the CanadaGAP Program Management Manual. To access the Management Manual click here.
Timing of the audit depends on what option the operation is enrolled in.
For Option B or C (both GFSI-recognized):
For operations involved in both Production and Packing – audits must cover both scopes each year. As a result, it may be necessary for the certification body to complete more than one audit to observe activities related to both scopes each year. Insofar as possible, certification bodies will time audits for multi-activity operations so that the auditor can see activities for both scopes (Production AND Packing) in a single audit.
If two audits are needed in a single year/season, both audits must cover or pertain to product from the same crop year/season. See the following communique for more details about audit scheduling for complex Option B and C operations.
For Option A1, A2, or E:
If the program participant has requested certification for both production and packing, the audit is optimally scheduled when harvesting AND packing are occurring. However, an audit scheduled during ONLY harvesting or packing may be acceptable if necessary. If that is the case, then in subsequent years the audit will be scheduled to occur when both activities can be seen or when the activity that wasn’t seen previously is occurring.
Additional guidance for certification bodies is outlined in the Management Manual. To access the Management Manual click here.
More specific FAQs about audit timing of complex operations can be found on the following page.
The Certification Body or the auditor will contact the operation to arrange a suitable date for an audit. When setting up an audit date, operations should keep in mind that a designate must be available to accompany the auditor.
Audits must be scheduled to occur when activities relevant to the operation’s certification are occurring – during harvest, product handling, packing/repacking season, shipping, etc. This is important for the auditor to properly assess the implementation of the food safety program. Activities that are not occurring cannot be included in the scope of the audit.
For more detailed guidance on optimal audit timing, please refer to the CanadaGAP Program Management Manual, Section 3.3.5.4.3 Audit Scheduling. It is the responsibility of the Certification Body (CB) to ensure that the audit is scheduled appropriately.
Timing of the audit depends on what option(s) the operation is certified to, as well as what types of commodities and activities they are involved in. Complex operations may find, depending on the activities and crops involved, as well as their certification option, that a number of audits over several years are required before certification reflects the full scope of their business.
Additional guidance for certification bodies is outlined in Section 3.3.5.4.3 Audit Scheduling and in Appendix III.2 of the Management System Manual. The Management Manual contains relevant information on audit scoping, timing and scheduling for complex operations and outlines basic principles for program participants who have operations with multiple commodities, multiple activities, more than one certification option, or numerous production sites. To access the Management Manual click here.
More specific FAQs about audit timing of complex operations can be found on the following page.
There is only one Audit Checklist and it includes the requirements for all scopes that CanadaGAP covers. Audits must take place while relevant activities are occurring. Depending on the timing of an operation’s season and activities, as well as their certification option, they may not be able to have all activities/crops included in their CanadaGAP certification after a single audit. It may take more than one audit and/or longer than a single season before a certificate will reflect the full extent of an operation’s activities/crops. Most customers are aware of this reality and have shown flexibility as complex operations work towards certification for the full range of their activities.
CanadaGAP certificates are valid for 12 months. In exceptional cases, an operation can request from their Certification Body an extension of their certificate. Some of these exceptional cases include:
- to manage audit timing of multi-commodity operations,
- extenuating circumstances such as a strike or severe weather,
- previous audits occurring at times that were not optimal because of errors in audit scoping,
- previous certificates issued with expiry dates that do not reflect correct timing for subsequent audits
- changes in an operation’s activities or crop
The certificate may be extended 6 months (at the maximum) as long as the following conditions are met:
- the extension is granted before the certificate expires
- the operation is in good standing with CanadaGAP
- the next audit will occur during the extension period.
More detailed information can be found in the CanadaGAP Program Management (Section 3.3.5.5.4) found here.
Unannounced Audits
CanadaGAP Certification Options A1 and A2 have an on-site audit every four years. Over the four-year cycle, there is a ‘random audit’ component where an operation can be randomly selected for an audit during any (or all) of the three years between regularly expected audits. These ‘random audits’ are not the same as ‘unannounced audits’. ‘Unannounced audits’ are audits not scheduled in advance with the operation.
Random audits may be announced (scheduled in advance) or unannounced. This is decided by the Certification Body. When an Option A1/A2 operation is randomly selected for an audit, they are informed at the beginning of the year. After this the Certification Body follows up with the operation to plan the audit, and will let them know if it’s announced or unannounced. If an operation does have an unannounced audit, this does not affect their audit cycle or future random audit selection.
An unannounced audit is an audit that is not scheduled in advance with the operation. The details regarding unannounced audits vary depending on certification option (see further FAQs for more details and also a detailed guidance document here).
| Option A1, A2, E and F (not GFSI recognized) | Options B, C and D | |
|---|---|---|
| What kind of notice is provided by the CB? | Early in the year, the CB contacts clients chosen for an unannounced audit to inform them that they have been selected and to gather information and what will need to be seen.
The Certification Body provides notice 2-5 business days advance notice before the audit is to occur. |
Early in the year, the CB contacts clients chosen for an unannounced audit to inform them that they have been selected and to gather information and what will need to be seen.
The operation receives no advance notice of the unannounced audit date. |
| Is there more than 1 unannounced audit option? | No | Starting October 1, 2021, CanadaGAP offers new unannounced audit (UA) options for program participants enrolled in certification options B, C, and D:
At the discretion of the CB, they may also make available the second option (UA Option 2). **An operation should check with their Certification Body to confirm whether this new unannounced audit option 2 is available** |
| Option A1, A2, E and F (not GFSI recognized) | Options B, C and D | Options B, C and D | |
|---|---|---|---|
| How many audits will there be in a year? | One.
The unannounced audit will take place instead of a scheduled audit. |
UA Option 1
One. The unannounced audit replaces that year’s regularly scheduled audit. |
UA Option 2
Two. One announced audit, scheduled as usual during the usual timeframe AND One unannounced audit during a general timeframe (“audit window”) determined by the CB and confirmed with the program participant. |
| What will the timing of the unannounced audit be? | The unannounced audit will occur when activities relevant to the scope of the operation’s certification are occurring. | UA Option 1
The unannounced audit must be timed such that the auditor can observe the crops/activities that need to be seen that year. Blackout period of up to five Failure to keep the CB updated on timing of crops/activities that need to be observed, can lead to loss of certification. |
UA Option 2
For the timing of the unannounced audit: The CB will set and inform the client of the unannounced audit “window”, typically a 30-day timeframe. It is possible that the unannounced audit “window” will be outside of the operation’s peak season of activity. The operation may indicate 1 blackout date for every 6 days within the window. |
| What will the cost be for the unannounced audit? | The program participant pays for one (unannounced) audit that year, since the unannounced audit replaces a regularly scheduled audit. | UA Option 1
The program participant pays for one (unannounced) audit that year, since the unannounced audit replaces a regularly scheduled audit. If a second attempt is needed for the CB to perform the unannounced audit, audit fees will be charged for both visits. |
UA Option 2
The program participant pays for two audits that year, both the announced and unannounced audits. Paying for an extra audit allows the program participant to plan for their regular audit during peak season, and to have advance notice of the audit “window” for the unannounced visit. This cost only applies in the year the operation is chosen for an unannounced audit. |
More detailed information around unannounced audits can be found in the guidance document here.
If an operation is enrolled in Option A1 or A2 (4-year audit cycle), there is no change to the way the audit cycle or random audits work. The operation will still be informed in advance if they are randomly selected for an audit. However, they may not be told the exact date of the random audit (i.e., it could be unannounced).
August 31st, 2021 at 03:05 pmThe unannounced audit programme is for operations enrolled in all certification options.
- For Options A1, A2, C, D, E and F: Each year the Certification Body will choose 10% of its clients for an unannounced audit; therefore, over time, everyone will have an unannounced audit.
- For Option B (group certification): Certification Bodies will select 25% of the group members each year to undergo an unannounced audit.