United States Department of Agriculture

	Agricultural Marketing Service 

	Federal Grain Inspection Service

	Quality Assurance and Compliance Division

**Revision: 10-2023**

**USGSA Internal Audit Checklist for Official Agencies**

*These checklist items fall under the provisions of the USGSA Sections 79(e) and 79(f).*

*The checklist is not mandatory but is recommended by QACD for internal audits.*

Check off each area once completed, add the completed by date, and mark the finding classifications using the finding classification codes below. Please identify your scope and findings to complete the audit. If a Corrective Action Plan (CAP) is necessary, please use the separate CAP attachment sheet on the IAP webpage or create your own CAP attachment per FGIS Directive 9180.89.

Finding classification codes:

· In Compliance (C)

· Observation (OBS)

· Noncompliance (NC)

· Not Applicable (NA)

· Opportunity for Improvement (OFI)

**(i) FACILITIES, EQUIPMENT, & PERSONNEL**

***A. Structure Location/Size/Organization***

The laboratory and office facilities of the Official Service Provider (OSP)shall be: Located; equipped; and large enough so that requested services are provided in an orderly and timely manner.

§800.196(g)(7)(i)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***B. Security***

The OSP shall provide sufficient security to ensure that official samples, records, equipment, and forms are reasonably secure from theft, alteration, or misuse.

§800.196(g)(8)

FGIS Program Directive 9170.13(9)(b-d)

******Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***C. Environment & Housekeeping***

The OSP’s SSPs shall meet the established criteria including approved lighting and candlepower, grading surface color and condition, temperature, etc. In addition, SSPs must be maintained so the integrity of samples and official results are not compromised. (i.e., kept clean and free from odors, rodent infestation, insect infestation, etc.).

FGIS Equipment Handbook §3.1 & §3.2

FGIS Program Directive 9170.13(9)(a)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***D. Equipment (Approved Type)***

The OSP must only use equipment of model and type approved for use by FGIS (see Approved Equipment List).           

FGIS Equipment Handbook §1.1 (a.)(1)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***E. Equipment (Testing)***

The OSP must test the equipment it uses for official services according to the instructions. Equipment must be tested at scheduled intervals, in the prescribed manner, and found to be within tolerance.

§800.196(g)(7)(ii)

FGIS Equipment Handbook §1.1 (a.)(4)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***F. Equipment (Condition/Security)***

OSP equipment must be installed, aligned, standardized, and calibrated according to the manufacturer’s recommendations and the guidelines established by FGIS and OSHA. Equipment must be maintained in good repair and protected from unauthorized adjustments.

FGIS Equipment Handbook §1.1 (a.)(2),(3), & (5)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***G. Staffing Levels (Quantity)***

The OSP must employ sufficient personnel to provide the official services normally requested in an accurate and timely manner.**

§800.196(g)(3)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***H. Qualified Personnel, Training, & Licensing (Quality)***

The OSP must maintain a staff of qualified personnel who have been trained and licensed (in accordance with the procedures outlined in the regulations and instructions) to perform the official services requested in an accurate and timely manner.  The OSP must keep FGIS informed of the employment status of each of its licensees and any substantial change in a licensee's duties (i.e. through FOL). 

§800.196(g)(3)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

**(ii) PRESERVING SYSTEM INTEGRITY**

***A. Rotation of Personnel***

Where feasible, the OSP must rotate licensees among elevators and other facilities as is necessary to preserve the integrity of the official inspection and weighing systems. 

§800.196(g)(4)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***B.  Reporting of Bribery and/or Assault***

The OSP’s management and employees must be able to show knowledge of FGIS bribery and assault reporting procedures. Form FGIS-110 must be made available to all official personnel.

FGIS Program Directive 9070.6 (4)(b)

Form FGIS-110 front & back

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***C. Reporting Violations of the Act***

The OSP shall in accordance with the instructions promptly report (1) information which shows or tends to show a violation of any provision of the Act, the regulations, or the instructions, and (2) information on any instructions which have been issued to them by any official personnel or other persons which are contrary to the Act, the regulations, or the instructions.

§800.185(g)

FGIS Program Directive 9070.6

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***D. Standards of Conduct***

The OSP and its officials are responsible for the actions of the official personnel employed by the agency. The OSP and its employees will not engage in any prohibited conduct defined in §800.186 (b) and (c) of the regulations.  

§800.186(b) & (c)****

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

**(iii) TRAINING REQUIREMENTS & PERSONNEL STANDARDS**

***A. Training and Supervision Standards***

The OSP must train and supervise employees to perform official functions in accordance with the Act, regulations, and instructions thereunder. 

§800.196(g)(3)(i) & (5)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***B. Testing and Licensing***

The OSP must test and license all employees performing official functions under the USGSA in accordance with the instructions. OSPs must license employees within 30 days from the date of hire. All unlicensed personnel must be under direct supervision of a supervisor or employee who holds the license(s) for the official function(s) performed during the 30-day waiver period or during any period prior to completing testing and licensing requirements.

§800.170(a) & (c)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***C. Agency Quality Assurance Specialist (AQAS)***

The OSP must identify at least one AQAS. OSPs with two or more AQAS' must designate one as the primary contact, for Board of Appeals and Review (BAR)/field office liaison purposes. OSPs may elect to have additional inspectors/graders who assist the AQAS; e.g., grading monitoring samples. All must be properly identified in FOL as an AQAS.

FGIS Quality Handbook 1.1

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***D. Work Production & Compliance Standards for Sample Inspection and Monitoring System (SIMS)***

Applicants for grading/inspector licenses must pass written and practical examinations with individual sections and overall scores of 80% or higher to acquire a grading/inspector license through FGIS (as identified in FGIS Directive 9230.1). Based on this requirement, it is FGIS expectation that licensed individuals and OSPs must maintain inspection tolerances (calculated through FGIS mandated monitoring programs, i.e., SIMS) at a rate of 80% or higher to successfully maintain the work production standards effectuated by the Secretary and heightened expectations of FGIS stakeholders. In addition to maintaining a high level of performance through work production standards effectuated by the Secretary, the OSP must also maintain a high level of compliance and participation in FGIS mandated inspection monitoring and supervision programs. A compliance or participation rate of 80% or higher is FGIS expectation.

USGSA §84(g)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***E. Work Production & Compliance Standards for Sample Inspection and Monitoring System (STEP)***

Applicants for grading/inspector licenses must pass written and practical examinations with individual sections and overall scores of 80% or higher to acquire a grading/inspector license through FGIS (as identified in FGIS Directive 9230.1). Based on this requirement, it is FGIS expectation that licensed individuals and OSPs must maintain accuracy measurements (calculated through FGIS mandated monitoring programs, i.e. STEP) at a rate of 80% or higher to successfully maintain the work production standards effectuated by the Secretary and heightened expectations of FGIS stakeholders.  In addition to maintaining a high level of performance through work production standards effectuated by the Secretary, the OSP must also maintain a high level of compliance and participation in FGIS mandated inspection monitoring and supervision programs. A compliance or participation rate of 80% or higher is FGIS expectation.            

USGSA §84(g)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

**(iv) CONDUCTING TRAINING & PROVIDING SUPERVISION**

***A. Conducting & Documenting Training (occurs "before" licensing or after unsatisfactory performance or supervision outcome, or prior to obtaining additional licenses or skills)***

The OSP must train and assist its personnel in acquiring and maintaining the necessary skills to perform official services in accordance with the Act, regulations, and instructions. The OSP must have a documented training program in place to ensure official functions are performed in accordance with the regulations and instructions. The OSP must maintain complete records of training for all official functions performed by official personnel. This also includes training records for office support and certification staff. Complete training records must include: 1) name of trainee, 2) name of trainer, 3) date or dates of training, 4) specific function or functions trained, and 5) the final outcome of the training. *(Testing records in FOL do not constitute or replace records of training.)*

§800.196(g)(3)(i)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***B. Responsibility of Officials***

The OSP and its officials shall be responsible for the actions of the official personnel employed by the agency, for direct supervision of the daily activities of such personnel, and for the conduct of official services and related activities at the agency. 

USGSA §87d.

§800.196(g)(5)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***C. Providing & Documenting Supervision (occurs "after" licensing and/or training)*****

The OSP must supervise official activities, in accordance with the Act, regulations, and instructions, and shall take any action necessary to ensure that its employees are not performing prohibited functions and are not involved in any action prohibited by the Act, regulations, or instructions. The OSP must have a documented supervision program in place to ensure official functions are performed in accordance with the regulations and instructions. 

The OSP must maintain complete records of supervision for all official functions performed by official personnel. This also includes supervision records for office support and certification staff. Complete supervision records must include; 1) name of employee, 2) name of supervisor, 3) date or dates of supervision, 4) specific function or functions supervised, and 5) the final outcome of the supervision.

§800.196(g)(5)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***D.  Use of Personnel***

The OSP must only use personnel licensed or authorized by the Service for the performance of official services.

§800.196(g)(3)(i)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

**(v) OFFICIAL FEES & BILLING**

***A. Fees Must Be Nondiscriminatory and Reasonable***

The OSP must not charge official inspection fees that are discriminatory or unreasonable. Reasonable fees are defined as fees that: 1) cover the estimated total cost to the agency of official inspection services, Class X or Class Y weighing services, inspection equipment testing services, and related supervision and monitoring activities performed by the OSP; 2) are reasonably consistent with fees assessed by adjacent agencies for similar services; 3) are assessed on the basis of the average cost of performing the same or similar services at all locations served by the OSP; and 4) are supported by sufficient information which shows how the fees were developed. 

§800.70 (a)(1), (c), & (d)

§800.196(g)(2)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***B. Collected Fees Have Been Reviewed and Approved by the Service***

The OSP may only collect fees which have been reviewed and approved by the Service in accordance with the approved fee schedule. Charges for time and travel incurred in providing service at a location away from a specified service point must be assessed in accordance with the approved fee schedule. Under OCIS, FGIS field offices shall charge the fees shown in Schedule A of section 800.71 of the regulations under the USGSA. Official agencies shall either charge the fees shown in their approved fee schedule or charge a negotiated fee. If a negotiated OCIS fee is charged, the official agency must: (a) Use their approved fee schedule as a basis for the fee. (b) Include a statement in their approved fee schedule that official commercial inspection service is available, upon request, and fees for this service will be negotiated on a case-by-case basis. (3) Fees for official commercial inspection service will not be individually approved by FGIS Compliance Division but will be reviewed by the appropriate FGIS field office and the Compliance Division during compliance and management reviews.

§800.70 (f) & (g)

FGIS Program Directive 9100.7

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

**(vi) USE OF OFFICIAL FEES (STATES ONLY)**

***A. Use of Official Inspection Fees (State or local government agencies only)***

The State or local government agency must not use collected fees for any purpose other than to finance the cost of the official inspection and Class X or Class Y weighing service and inspection equipment testing service performed by the agency or the cost of other closely related programs administered by the State or local government agency.

§800.70 (a)(2)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

**(vii) CONFLICT OF INTEREST**

***A. Conflicts of Interest***

The OSP and its official personnel must not engage in any activity prohibited by §87 of the USGSA and §800.187 and §800.199 of the regulations under the USGSA. 

§800.196(g)(6)(i)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***B. Reporting Interests***

Official personnel must report information regarding their employment or other business or financial interests which may be required by the Service.

§800.187(d)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***C. Nonlicensed Personnel***

Nonlicensed OSP personnel (i.e. directors, trustees, clerks, political appointees, stockholders, etc.) must complete and submit the FGIS-100 Conflict of Interest form with FGIS. FGIS-100 forms must be submitted with applications for designation in accordance with the instructions and any time new nonlicensed personnel are hired.  

FGIS Program Directive 9070.3

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***D. Avoiding Conflicts of Interest***

Official personnel must not acquire any financial interest or engage in any activity that would result in a violation of this §800.187, or §800.186, or section 11 of the Act and must not permit their spouses, minor children, or blood relatives who reside in their immediate households to acquire any such interest or engage in any such activity. For the purpose of this section, the interest of a spouse, minor child, or blood relative who is a resident of the immediate household of official personnel shall be considered to be an interest of the official personnel.

§800.187(e)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***E. Disposing of Conflicts of Interest (when applicable)***

Upon being informed that a conflict of interest exists and that remedial action is required, an applicant for a license and official personnel shall take immediate action to end the conflict of interest and inform the Service of the action taken.

§800.187(f)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

**(viii) OFFICIAL RECORDKEEPING REQUIREMENTS**

***A.  Maintenance and retention of records issued by the Service under the Act.***

The OSP must maintain complete records of the Act, regulations, the standards, any instructions issued by the Service, and all amendments and revisions thereto. These records must be maintained until superseded or revoked. If not maintained by hard copy, SSPs must have internet access to electronic versions (per FGIS Program Notice PN-03-06 Issue Retention Policy). 

§800.146****

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***B. Maintenance and retention of records on delegations, designations, contracts, and approval of scale testing organizations***

The OSP must maintain complete records of their delegation, designation, contract, or approval. These records consist of a copy of the delegation or designation documents, a copy of the current contract, or a copy of the notice of approval, respectively, and all amendments and revisions thereto. *These records must be maintained until superseded, terminated, revoked, or canceled.*

§800.147

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***C. Maintenance and retention of records on organization, staffing, and budget (Organization)***

The OSP must maintain complete records of their organization. These records must consist of the following documents: (1) If it is a business organization, the location of its principal office; (2) if it is a corporation, a copy of the articles of incorporation, the names and addresses of officers and directors, and the names and addresses of shareholders; (3) if it is a partnership or an unincorporated association, the names and addresses of officers and members, and a copy of the partnership agreement or charter; and (4) if it is an individual, the individual's place of residence. *These records must be maintained for 5 years.*

§800.148(a)****

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***D. Maintenance and retention of records on organization, staffing, and budget (Staffing)***

The OSP must maintain complete records of their employees. These records consist of (1) the name of each current employee, (2) each employee's principal duty, (3) each employee's principal duty station, (4) information about the training that each employee has received, and (5) related information required by the Service. *These records must be maintained for 5 years.*

§800.148(b)****

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***E. Maintenance and retention of records on organization, staffing, and budget (Budget)***

The OSP must maintain complete records of their budget. These records consist of actual income generated and actual expenses incurred during the current year. Complete accounts for receipts from (1) official inspection, weighing, equipment testing, and related services; (2) the sale of grain samples; and (3) disbursements from receipts shall be available for use in establishing or revising fees for services under the Act. Budget records must also include detailed information on the disposition of grain samples obtained under the Act.*These records must be maintained for 5 years.*

§800.148(c)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***F. Maintenance and retention of records on licenses and approvals (FOL)***

*Licenses* - The OSP must maintain complete records of licenses. These records consist of current information showing (1) the name of each licensee, (2) the scope of each license, (3) the termination date of each license, and (4) related information required by the Service. *These records must be maintained for the tenure of the licensee.*

*Approvals* - The OSP must maintain complete records of approvals of weighers. These records consist of current information showing the name of each approved weigher employed by or at each approved weighing facility in the area of responsibility assigned to an agency or field office. *These records must be maintained for the tenure of the weigher's employment as an approved weigher.*****

*FGIS Form 944* - The OSP and applicant must complete an application for license form FGIS-944 for the initial license and maintain the original copy in the applicant’s personnel records.

§800.149

FGIS Program Directive 9230.1

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***G. Maintenance and retention of records on fee schedules*****The OSP must maintain complete records on fee schedules. These records consist of (a) a copy of the current fee schedule; (b) in the case of an agency, data showing how the fees in the schedule were developed; (c) superseded fee schedules; and (d) related information required by the Service. These records must be maintained for 5 years.

§800.150

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***H. Maintenance and retention of records on space and equipment (Space)*****The OSP must maintain complete records on space. These records consist of (1) a description of space that is occupied or used at each location, (2) the name and address of the owner of the space, (3) financial arrangements for the space, and (4) related information required by the Service. *These records must be maintained for 5 years.*

§800.151(a)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***I. Maintenance and retention of records on space and equipment (Equipment)***

The OSP must maintain complete records on equipment (ECT). These records consist of (1) the description of each piece of equipment used in performing official inspection or Class X or Class Y weighing services under the Act, (2) the location of the equipment, (3) the name and address of the owner of the equipment, (4) the schedules for equipment testing and the results of the testing, and (5) related information required by the Service. *These records must be maintained for 5 years.*

§800.151(b)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***J. Maintenance and retention of file samples***

The OSP must maintain complete file samples for their minimum retention period (calendar days) after the official function was completed or the results otherwise reported. The record for an official inspection service based, in whole or in part, on an examination of a grain in a sample shall include one or more file samples as prescribed in the instructions. 1) Each file sample shall consist of an unworked portion of the official sample or warehouseman's sample obtained from the lot of grain and shall be large enough to permit a reinspection, appeal inspection, or Board appeal inspection for the kind and scope of inspection for which the sample was obtained. In the case of a submitted sample inspection, if an undersized sample is received, the entire sample shall be retained. 2) Each file sample shall be retained in a manner that will preserve the representativeness of the sample from the time it is obtained or received by the agency or field office until it is discarded. High moisture samples, infested samples, and other problem samples shall be retained according to the instructions. 3) To facilitate the use of file samples, agencies shall establish and maintain a uniform file sample system according to the instructions. 4) Upon request by the supervising field office or the Board of Appeals and Review, each agency shall furnish file samples (i) for field appeal or Board appeal inspection service, or (ii) for monitoring or supervision. If, at the request of the Service, an agency locates and forwards a file sample for an appeal inspection, the agency may, upon request, be reimbursed at the rate prescribed in §800.71 by the Service.

§800.152

FGIS Program Directive 9170.13

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***K. Maintenance and retention of records on official inspection, Class X or Class Y weighing, and equipment testing service***

The OSP must maintain complete detailed official inspection work records, copies of official certificates (IDW, CRT), and equipment testing work records (ECT) *for 5 years*.

§800.153

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***L. Availability of official records***

The OSP must permit authorized representatives of the Comptroller General, the Secretary, or the Administrator to have access to and to copy, without charge, during customary business hours any records maintained under §§800.146-800.159.

§800.154

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***M. Detailed work records—general requirements (Preparation)*****Detailed work records shall be prepared for each official inspection, Class X or Class Y weighing, and equipment testing service performed or provided under the Act. The records shall (1) be on standard forms prescribed in the instructions; (2) be typed or legibly written in English; (3) be concise, complete, and accurate; (4) show all information and data that are needed to prepare the corresponding official certificates or official report; (5) show the name or initials of the individual who made each determination; and (6) show other information required by the Service to monitor or supervise the service provided.

§800.155(a)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***N. Detailed work records—general requirements (Use)***

Detailed work records shall be used as a basis for (1) issuing official certificates or official forms, (2) approving inspection and weighing equipment for the performance of official inspection or Class X or Class Y weighing services, (3) monitoring and supervising activities under the Act, (4) answering inquiries from interested persons, (5) processing complaints, and (6) billing and accounting. These records may be used to report results of official inspection or Class X or Class Y weighing services in advance of issuing an official certificate.

§800.155(b)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***O. Official inspection records***

*Pan tickets -* The record for each kind of official inspection service identified in §800.76 shall, in addition to the official certificate, consist of one or more pan tickets as prescribed in the instructions. Activities that are performed as a series during the course of an inspection service may be recorded on one pan ticket or on separate pan tickets. The original copy of each pan ticket shall be retained by the OSP that performed the inspection (5 years). May be hard copy or electronic. 

*Inspection logs -* The record of an official inspection service for grain in a combined lot and shiplot shall include the official inspection log as prescribed in the instructions. The original copy of each inspection log shall be retained by the agency or field office that performed the inspection. If the inspection is performed by an agency, one copy of the inspection log shall be promptly sent to the appropriate field office (ITW). (continued on pg. 10)

*Other forms -* Any detailed test that cannot be completely recorded on a pan ticket or an inspection log shall be recorded on other forms prescribed in the instructions. If the space on a pan ticket or an inspection log does not permit showing the full name for an official factor or an official criteria, an approved abbreviation may be used.

§800.156

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***P. Official weighing records (when applicable, must be designated to officially weigh grain)***

*Scale ticket, scale tape, or other weight records -* In addition to the official certificate, the record for each Class X or Class Y weighing service shall consist of a scale ticket, a scale tape, or any other weight record prescribed in the instructions.

*Weighing logs -* The record of a Class X or Class Y weighing service performed on bulk grain in a combined lot or bulk shiplot grain shall include the official weighing log as prescribed in the instructions. The original copy of each weighing log shall be retained by the field office or agency that performed the weighing.

§800.157

FGIS Weighing Handbook

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***Q. Equipment testing work records (ECT)***

The record for each official equipment testing service or activity consists of an official equipment testing report as prescribed in the instructions. Upon completion of each official equipment test, one or more copies of the completed testing report may, upon request, be issued to the owner or operator of the equipment. The testing report shall show the (a) date the test was performed, (b) name of the organization and personnel that performed the test, (c) names of the Service employees who monitored the testing, (d) identification of equipment that was tested, (e) results of the test, (f) names of any interested persons who were informed of the test results, (g) number or other identification of the approval tag or label affixed to the equipment, and (h) other information required by the instructions.

§800.158

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***R. Related official records - Volume of work reports (FGIS 922s and 938s)***

The OSP must prepare periodic reports showing the kind and the volume of inspection and weighing services that they performed. The report shall be prepared and copies shall be submitted to the Service according to the instructions.**

§800.159(a)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***S. Related official records - Withdrawals and Dismissals***

The OSP must maintain a record of requests for official inspection or weighing services that are withdrawn by the applicant or that are conditionally withheld or dismissed. The record must be prepared and maintained according to the instructions.**

§800.159(b)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***T. Related official records - Authorization to Affix (when applicable)***

The name or signature of official personnel may be affixed to official certificates which are prepared from work records signed or initialed by the person whose name will be shown. An agent affixing the name and signature shall (i) be employed by the agency or Service; (ii) have been designated to affix names and signatures; and (iii) hold a power of attorney from the person whose name and signature will be affixed. The power of attorney shall be on file with the agency or Service.

§800.160(f)(1)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***U. Related official records - Mechanical Sampling System Records (when applicable, for diverter (DT) and probe-type mechanical samplers)***

The OSP must maintain the following records: 1) A copy of the request for authorization, drawings of the site and installation drawings provided by the manufacturer showing necessary dimensions, flow rates, belt speeds, etc.2) A copy of the completed FGIS-998 for proposed diverter-type, probe-type, or point-type mechanical sampler installation. 3) A copy of the completed FGIS-980, “Authorization to Use Mechanical Sampler for Sampling.” 4) The original copy of all FGIS-936’s issued within the last 5 years (ECT).

FGIS Mechanical Sampling Systems Handbook

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***V. Related official records - Fumigation Records (when applicable)***

The OSP must record or maintain a record of all pertinent information (carrier identification, name of applicant, name of applicator, date, time, temperature (commodity and/or ambient as applicable) location of fumigant application, and amount of fumigant used) with the work records.

FGIS Fumigation Handbook

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

**(ix) EMPLOYMENT BASED ON JOB QUALIFICATIONS (STATES ONLY)**

***A. Employment Based on Job Qualifications (States only)***

State or local governments must employ persons on the basis of job qualifications rather than political affiliations, including those employees who will be assigned to direct, manage, supervise, or provide labor for official activities conducted under the designation.

USGSA §79(f)(A)(1)(ix)

§800.196(g)(3)(ii)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

**(x) COMPLIANCE WITH ACT, REGULATIONS, & INSTRUCTIONS**

***A. Compliance with the USGSA***

The OSP must comply with all provisions of the USGSA and must not knowingly commit violations or offenses under the Act resulting from gross negligence or with knowledge of the pertinent facts.

USGSA §79(f)(A)(1)(x)

§800.196(g)(1)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***B. Compliance with the Regulations under the USGSA***

The OSP must comply with all provisions of the regulations under the USGSA and must not knowingly commit violations or offenses under the regulations resulting from gross negligence or with knowledge of the pertinent facts.

USGSA §79(f)(A)(1)(x)

§800.196(g)(1)****

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

***C. Compliance with the Instructions under the USGSA and regulations***

The OSP must comply with all provisions of the instructions under the USGSA and regulations and must not knowingly commit violations or offenses resulting from gross negligence or with knowledge of the pertinent facts. Instructions include FGIS Handbooks, FGIS Program Directives, FGIS Program Notices, FGIS Policy Bulletins, and any other instructions issued by the Service. 

USGSA §79(f)(A)(1)(x)

§800.196(g)(1)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

**(xi) MEETING OTHER CRITERIA UNDER THE REGULATIONS**

***A. Meets Other Criteria***

The OSP must meet other criteria established in the regulations under the USGSA relating to official functions under the USGSA. 

USGSA §79(f)(A)(1)(xi)

Scope:

Findings:

☐Date completed on: 			Finding classification:	☐C	☐OFI	☐OBS	☐NC

Completed by:

Page 2 of 2

 USGSA Designation Audit Requirements                                                                   Page 2 of 2

# image1.jpeg