Modification History
Not applicable.
Unit Descriptor
Unit descriptor |
This unit of competency covers the skills and knowledge required to verify and confirm validation of food safety programs in the context of food safety legislation and client requirements. |
Application of the Unit
Application of the unit |
At the time of writing the terms and definitions relating to the audit process were consistent with and further described in the international standard ISO/IEC 19011:2002, 'Guidelines on quality and/or environmental management systems auditing'. Users of this unit should refer to the current ISO standard and current food safety legislation. This unit applies to conducting on-site audits and is relevant to regulatory and commercial food safety system auditors who may be auditing low, medium or high risk food safety hazards. When this unit is applied to regulatory auditing it should be noted that the National Food Safety Audit Policy for regulatory auditing, requires that this unit must be pre or co-assessed with:
When applied to conducting regulatory food safety audits of high risk food businesses or processes, additional units relevant to the specified business or process may be required to meet the National Food Safety Audit Policy. |
Licensing/Regulatory Information
Not applicable.
Pre-Requisites
Prerequisite units |
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Employability Skills Information
Employability skills |
This unit contains employability skills. |
Elements and Performance Criteria Pre-Content
Elements describe the essential outcomes of a unit of competency. |
Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the required skills and knowledge section and the range statement. Assessment of performance is to be consistent with the evidence guide. |
Elements and Performance Criteria
ELEMENT |
PERFORMANCE CRITERIA |
1. Define the scope of the audit |
1.1. Audit scope is identified and defines the extent of the audit to meet legislative and audit client requirements 1.2. Audit criteria meet legislative and client requirements 1.3. The definition and levels of non-conformity and related reporting responsibilities are identified consistent with legislative requirements and client requirements 1.4. Evidence required to address audit scope and criteria is identified and appropriate collection methods are selected 1.5. Food safety management system documents are reviewed to determine adequacy for the purposes of the audit |
2. Plan the audit |
2.1. An audit plan is developed that includes definitions and levels of non-conformity to meet the audit scope 2.2. Activities and responsibilities for the audit are identified 2.3. Audit timing (as required by legislation and/or client) is identified, including timetable for each stage of the audit 2.4. Resource, personnel and reporting requirements are identified 2.5. Follow up and completion procedures are identified 2.6. Communication protocols are established to facilitate the effective exchange of information and suited to the auditee environment |
3. Conduct the audit |
3.1. Information on the audit scope and methodology is communicated in an effective and timely manner 3.2. Stages and activities of the audit process are followed 3.3. Methods used by the food business to carry out preliminary work, identify food safety hazards and assess level of risk are reviewed to confirm that they are appropriate and correctly applied 3.4. Evidence used by the food business to support identification of control measures and establish control limits is identified and evaluated to determine adequacy and relevance 3.5. Methods used by the food business to control hazards and determine corrective action where processes are identified as not meeting targets or critical limits are reviewed to confirm they are adequate, effective and appropriate 3.6. Evidence is collected to confirm that the documented food safety policies and procedures are working effectively, reflect actual practice and are consistently applied |
4. Manage the audit process |
4.1. Audit progress is monitored against the audit plan and any variation to plan is identified and addressed 4.2. Circumstances requiring the audit plan to be adjusted are identified and negotiated in a timely manner 4.3. Audits address audit scope and are conducted within time and resource constraints to meet quality and professional standards 4.4. The audit process is reviewed to identify opportunities for improvement |
5. Consolidate audit outcomes |
5.1. Evidence is analysed and assessed to identify any areas of non-compliance with legislation and/or client requirements as appropriate to the audit scope 5.2. Non-conformities are identified and classified as agreed by the audit plan 5.3. Non-conformities are reported in accordance with agreed client and/or legislative requirements 5.4. Audit findings are communicated to the auditee 5.5. Audit reports and/or certificates are prepared and submitted or presented as required to meet regulatory and client requirements 5.6. Corrective actions proposed by the auditee in response to non-conformances are reviewed for compliance with the template or food safety program 5.7. Audit findings are reviewed to confirm that evidence is appropriate and sufficient and findings are accurate 5.8. The food safety management system is reviewed to identify areas of potential improvement of the system according to audit scope |
6. Confirm and close out corrective actions |
6.1. Implementation and effectiveness of corrective actions are monitored and verified and any variation to the food safety plan is identified and addressed 6.2. Audit records are maintained to record corrective actions |
Required Skills and Knowledge
REQUIRED SKILLS AND KNOWLEDGE |
This section describes the skills and knowledge required for this unit. |
Required skills |
Ability to :
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Required knowledge |
Knowledge of : Auditor roles and responsibilities
Food safety management systems
Food safety legislation
Food safety audit processes
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Evidence Guide
EVIDENCE GUIDE |
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The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package. |
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Overview of assessment |
A person who demonstrates competence in this unit must be able to verify and confirm validation of food safety programs in the context of food safety legislation and client requirements. Assessment must be carried out in a manner that recognises the cultural and literacy requirements of the assessee and is appropriate to the work performed. Competency in this unit must be achieved in accordance with food safety standards and regulations. |
Critical aspects for assessment and evidence required to demonstrate competency in this unit |
Evidence of the ability to:
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Context of and specific resources for assessment |
Competency may be assessed in an actual workplace or simulated environment that provides access to the required resources. At least one of the audit scenarios should be assessed in an actual workplace context. Assessment is to occur under standard and authorised work practices, safety requirements and environmental constraints. The following resources must be available:
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Method of assessment |
The following assessment methods should be considered to gather sufficient and valid evidence of competency:
The whole audit process must be witnessed by the assessor. Assessment methods must satisfy the endorsed Assessment Guidelines of FDF10 Food Processing Industry Training Package. |
Guidance information for assessment |
To ensure consistency in one's performance, competency should be demonstrated on more than one occasion over a period of time in order to cover a variety of circumstances, cases and responsibilities, and where possible, over a number of assessment activities. |
Range Statement
RANGE STATEMENT |
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The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included. |
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Food safety audits |
Audits may be conducted for either regulatory or commercial food safety systems for low, medium or high risk food safety hazards |
Licensing /certification requirements |
Licensing and registration arrangements are determined by system owners |
Audit scope |
The audit scope describes the purpose, extent and boundaries of the audit. This may include:
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Legal requirements |
The scope of the audit determines and may be determined by food safety legislation which may include:
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Audit client |
Audit client refers to the organisation or person requesting an audit (system owner). This may be the same as the auditee or any other organisation which has the regulatory or contractual right to request an audit. The system owner may be the regulator |
Auditee |
Auditee refers to the organisation being audited |
Audit client requirements |
Client requirements are typically defined in audit contracts or agreements and may relate to:
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Audit criteria |
The audit criteria must comply with relevant food safety legislation and may extend to address additional system owner/client requirements. In addition to meeting the requirements of food safety legislation, reference against which conformity is determined may include:
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Levels of non-conformity |
Levels of non-conformity are defined and based on food safety risk. They may be determined by:
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Audit evidence |
Evidence required for the purposes of meeting relevant food safety legislation may be defined by:
Audit evidence should be based on objective information rather than hearsay and may include:
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Evidence collection methods and sources |
Evidence collection methods and sources will depend on the purpose and scope of the audit and may include:
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Food safety management system |
A food safety management system is a documented arrangement implemented (and resourced) by a business for control of food safety. A food safety management system includes:
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Resource requirements |
Resource requirements will depend on the purpose and scope of the audit and may include:
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Food businesses |
A food business refers to a business, vehicle, enterprise or activity where food is produced, processed, stored, displayed, transported and/or sold. It may also include primary producers |
Preliminary work |
Preliminary work includes but is not limited to:
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Validation |
Validation refers to obtaining evidence to confirm that a HACCP-based food safety program is complete and effective and will deliver the expected food safety outcomes |
Verification |
Verification refers to methods and procedures used to carry out monitoring, including sampling and testing to provide evidence that the specifications set by relevant legislation and codes of practice continue to be met |
Audit records |
Audit records are maintained to demonstrate the implementation of the audit process. These may include but are not limited to:
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Close out |
Auditors have different levels of responsibility and authority to close out audits according to the level of non-conformity and whether they are an authorised officer or a commercial auditor. Closing out may involve notifying the regulator with the power to enforce legislation |
Commercial auditor |
Commercial auditor refers to any auditor other than a regulatory auditor, who is external to and independent of the food business being audited |
Risk-based approaches |
Risk-based approaches to controlling food safety are typically based on HACCP, described in the Codex Alimentarius guidelines |
Prerequisite programs |
Prerequisite programs are also referred to as support programs, such as Good Manufacturing Practice (GMP), Good Agricultural Practice (GAP) and Good Hygiene Practice (GHP) Prerequisite programs can be divided into two categories. Infrastructure and maintenance programs . These may include:
Operational prerequisite programs . These may include:
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Critical control point |
Critical control point is a step at which control can be applied and is essential to prevent or eliminate a food safety hazard or reduce it to an acceptable level |
Critical limit |
Critical limit refers to criterion which separates acceptability from unacceptability |
Unit Sector(s)
Unit sector |
Food safety auditing |
Competency field
Competency field |
Co-requisite units
Co-requisite units |
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