Assessor Resource

SFIEMS401B
Conduct an internal audit of an environmental management system

Assessment tool

Version 1.0
Issue Date: May 2024


This unit addresses the knowledge, processes and techniques necessary to conduct internal audits of environmental management systems in the seafood industry. The systems may be to a third-party certification or stewardship standard, but this is not essential. The environmental management system may be enterprise-based or it may be a system developed by a common interest group, for example, oyster growers within an estuary or a fishers' cooperative.

The internal audit also covers the implementation of identified corrective action and opportunities for improving and monitoring their effectiveness. Specialist technical expertise may be required to analyse and interpret monitoring data.

All enterprise or workplace procedures and activities are carried out according to relevant government regulations, licensing and other compliance requirements.

Equipment operation, maintenance, repairs and calibrations are undertaken in a safe manner that conforms to manufacturer instructions. Appropriate personal protective equipment (PPE) is selected, checked, used and maintained.

This unit of competency involves preparing for, carrying out and documenting an internal audit of an environmental management system by a supervisor.

No licensing, legislative, regulatory or certification requirements apply to this unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)

Employability Skills

This unit contains employability skills.



Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

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.

Overview of assessment

Critical aspects for assessment evidence required to demonstrate competence in this unit

Assessment must confirm the ability to:

undertake internal audits of an environmental management system.

Assessment must confirm knowledge of:

application of audit principles

approaches to continuous improvement

approaches to planning.

Context of and specific resources for assessment

Assessment is to be conducted in a work environment, or simulated environment.

The candidate must undertake several internal audits (an audit can address one or more components of the environmental management system).

Resources for assessment may include:

access to personnel who have a role and responsibility in implementing and/or monitoring the effectiveness of the environmental management system

documentation relevant to the audit.

Method of assessment

The following assessment methods are suggested:

demonstrating the application of continuous improvement processes

planning, conducting and reporting of an internal audit of an environmental management system.

Guidance information for assessment

This unit may be assessed holistically with other units within a qualification.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

Required skills

analysing monitoring data

developing and documenting an audit plan, action plan and conformance/non-conformance checklist

documenting and reporting on findings

interpreting environmental management system documentation

interpreting relevant national and international standards and codes of practice

presenting recommendations.

Required knowledge

audit processes

continuous improvement processes

enterprise or cooperative environmental management system

national or international environmental standards and protocols relevant to the audit

organisational structure of the enterprise or common interest group, including responsibilities and delegated authority of key personnel

problem-solving techniques that identify causes of non-conformance and options to remedy problems

relevant health, safety and environment requirements

reporting requirements of the workplace or common interest group.

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.

Relevant government regulations, licensing and other compliance requirements may include:

biodiversity and genetically modified organisms

biosecurity, translocation and quarantine

Australian Quarantine Inspection Service (AQIS) and other import requirements

business or workplace operations, policies and practices

correct marketing names and labelling

ecologically sustainable development (ESD) principles, environmental hazard identification, risk assessment and control

fisheries or aquaculture regulations, permits and licences

food safety, Hazard Analysis Critical Control Point (HACCP), hygiene and temperature control along chain of custody

health and welfare of aquatic animals

Indigenous land rights and cultural activities, including fishing by traditional methods

maritime and occupational diving operations, safety at sea and pollution control

occupational health and safety (OHS) hazard identification, risk assessment and control.

PPE may include

buoyancy vest or personal floatation device (PFD)

gloves, mitts or gauntlets, and protective hand and arm covering

hard hat or protective head covering

hearing protection (e.g. ear plugs and ear muffs)

insulated protective clothing for freezers or chillers and refrigeration units

non-slip and waterproof boots (gumboots) or other safety footwear

personal locator beacon or Emergency Position Indicating Radio Beacon (EPIRB)

protective eyewear, glasses and face mask

protective hair, beard and boot covers

protective outdoor clothing for tropical conditions

respirator or face mask

safety harness

sun protection (e.g. sun hat, sunscreen and sunglasses)

uniforms, overalls or protective clothing (e.g. mesh and waterproof aprons)

waterproof clothing (e.g. wet weather gear and waders).

The scope may include:

control of customer supplied product

document and data control

external controls

process control

product identification and traceability

public resources, such as fish stocks and water

purchasing procedures

responsibilities of personnel within the enterprise or common interest group

servicing of vessels, vehicles, machinery and equipment

training

waste control

water quality control.

Relevant documentation may include:

any documentation related to the environmental management elements being audited

certification documentation from clients and suppliers

community feedback

environmental management system plan and procedures

material and equipment specifications

monitoring records

training records.

Environmental managementsystem may address the requirements of:

federal, state and territory environmental legislation, such as:

Environment Protection and Biodiversity Conservation Act 1999

Environment Protection and Biodiversity Conservation Regulations 2000

state and territory environmental protection authorities and agencies

International Convention for the Prevention of Pollution from Ships (MARPOL)

local government by-laws and regulations, including regional land and water management plans

state and territory OHS legislation and regulations

third-party standards, such as the ISO 14000 series and those of the Marine Stewardship Council.

Work area may be within:

all or selected enterprises operating under a communal environmental management system

an enterprise.

Relevant personnel may include:

managers, customers, suppliers, general public, state or federal fisheries management and environmental protection officers, and other personnel with environmental management responsibilities.

Improvement tools may include:

cause and effect diagrams

ESD frameworks and guidelines

process and capability mapping.

Reported may involve:

data entry into enterprise or cooperative group databases

judgement and recommendations

presentations

verbal responses

written reports.

Documentation may include:

audit documents

enterprise or common interest group environmental management system plans

environmental certification or registration requirements

safety precautions, standard operating procedures and work instructions.

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
The scope of the planned audit is determined and requirements are detailed. 
Procedures to be audited are identified and relevant documentation collected. 
Relevant personnel are briefed, and roles and responsibilities allocated. 
A detailed audit plan is developed in consultation with relevant personnel. 
A checklist to identify conformance and non-conformance is developed. 
The components of the environmental management system and work area to be audited are selected. 
Continuous improvement and ownership of the audit process are maximised by collaborating with relevant personnel. 
Sufficient evidence is collected to identify non-conforming aspects of the environmental management system. 
Evidence is analysed using improvement tools to identify suitable corrective actions. 
The internal audit is reported as directed in the audit plan. 
Findings from the audit process are documented in the required format. 
Recommendations for corrective actions are presented. 
Strategies are provided for the implementation of the corrective actions. 
Relevant personnel are consulted regarding the necessary strategies to improve the environmental management system. 
An action plan is developed and implemented to improve the environmental management system. 
The effectiveness of the corrective action is evaluated and reported after an agreed time interval. 
Relevant documentation is recorded and stored appropriately for future access. 

Forms

Assessment Cover Sheet

SFIEMS401B - Conduct an internal audit of an environmental management system
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Assessment Record Sheet

SFIEMS401B - Conduct an internal audit of an environmental management system

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Assessment task 1: [title] Result: Competent Not yet competent

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