This unit supports the implementation of national and state or territory food safety legislation and regulations but does not preclude any requirement for external second or third-party auditing processes, or audit requirements in respect of the Food Business Classification System.

All enterprise or workplace procedures and activities are carried out according to relevant government regulations, licensing and other compliance requirements, including occupational health and safety (OHS) guidelines, food safety and hygiene regulations and procedures and ecologically sustainable development (ESD) principles.

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.

ELEMENT

PERFORMANCE CRITERIA

1. Plan for food safety internal audits

1.1. Information and resources required to conduct the audit are identified and located.

1.2. An audit plan is developed to meet internalaudit scope.

2. Conduct food safety audits

2.1. Information is collected that is adequate, representative and meets audit requirements/scope.

2.2. Information is analysed to assess appropriate application of the food safety program.

2.3. Records are reviewed to assess compliance with the food safety program.

2.4. Interviews are conducted on the operation of the food safety program with people who have specific tasks outlined in the program.

2.5. Compliance with the food safety program is observed and an assessment given.

2.6. Premises and transport vehicles are inspected, as required, to confirm that they meet the design and construction requirements set out by food safety legislation.

2.7. Areas requiring corrective action are identified and recorded.

3. Report and follow up audit outcomes

3.1. Situations presenting an imminent and serious risk to the safety of food are reported according to legislative requirements.

3.2. Audit reports are prepared to address audit scope requirements.

3.3. The results of the audit are communicated within the food business and to regulatory agencies as required by legislation.

3.4. Areas requiring corrective action are acknowledged by the food business.

3.5. A corrective action plan is developed, reported and agreed.

3.6. Implementation of corrective action as set out in the corrective action plan is confirmed.

Required skills

applying appropriate questioning, observation and related communication skills to support information collection appropriate to the food business

assessing the adequacy of the food safety program, such as verifying information used by the food business to establish methods of controlling food safety hazards

communicating the audit findings, including any relevant follow-up action to the food business

communicating the audit plan to the food business and agreeing on audit timetable and scope of the audit

confirming that food premises, fixtures, fittings, equipment and transport vehicles meet the minimum requirements of food safety legislation

confirming that the food business has implemented appropriate corrective action with the timeframe established by the corrective action plan

documenting non-conformance where findings indicate either a failure to comply with the food safety program or inadequacy of the food safety program

establishing the audit sequence, activities and timelines

forming conclusions on audit outcomes which can be duplicated, given the evidence collected

identifying and locating information required to conduct the audit

identifying any changes that have occurred in the food business since the commencement of the food safety program or since the last audit that could affect food safety

identifying, investigating and recording evidence of non-conformance and judge significance

preparing tools to collect information, such as checklists and interview schedules

reviewing food business documentation to confirm that required formation is available

reviewing records, conducting interviews, observing workplace practices and collecting other relevant information, as required, to assess compliance with the food safety legislation

taking immediate action to report non-conformities that present an imminent and serious risk to the safety of food

verifying that the food business is implementing the food safety program, including identifying food safety hazards that may be reasonably expected to occur, determining adequate methods to control hazards, monitoring and record keeping procedures, validating and corrective action requirements.

Literacy skills used for:

documenting and reporting the findings of the audit in appropriate format to meet legal and food business requirements

recording evidence of non-conformance, imminent and serious risks.

Numeracy skills used for:

interpreting workplace data

using graphs, tables, and formulae to present findings of the audit in appropriate format to meet legal and food business requirements.

Required knowledge

audit procedures and techniques, including:

appropriate recording reporting formats

business systems and related reference documents and appropriate application of these in an audit

communication skills and techniques appropriate to the food business

data analysis methods relevant to the audit process

techniques for collecting information, including choice of appropriate methods to ensure data is adequate and representative

the purpose and stages involved in a food safety audit

audit roles and responsibilities, including:

any requirements for prescribed fees and charges that may be levied on a food business and the process by which this occurs

appropriate ethical conduct of auditors as may be set out in codes of ethics of auditors

requirements and procedures for certification or registration of auditors and authorised officers

legal requirements, including:

food business classification systems and the implications of these for determining the frequency and scope of audit

obligations of food business to report to enforcement agencies any non-conformities that present an imminent and serious risk to the safety of food

obligations of food businesses relating to food safety

other relevant legislation that could impact on the application of food safety legislation in the business and/or industry

role and responsibilities of auditors and authorised officers

the purpose and intent of food safety legislation

competency standards and training options for people working with food to develop food safety skills and knowledge

industry terminology, food characteristics and food handling and storage practices and processing techniques relevant to the industry sector as they affect food safety

minimum standards for the design and construction of food premises, including equipment and transport vehicles

relevant technical and industry knowledge to verify compliance with food safety legislation

situations likely to present serious food safety risks, and the responsibilities under legislation for the reporting of such risks

techniques for applying Hazard Analysis Critical Control Point (HACCP) concepts in a food business, including techniques for identifying hazards and assessing risks that may be reasonably expected to occur, determining appropriate control method, monitoring and record keeping, validating, corrective action and recording requirements.

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:

conduct an internal audit of a range of activities directly or indirectly involved in the production or processing of seafood against food safety standards

make recommendations on corrective action

report on audit findings.

Assessment must demonstrate knowledge of:

audit procedures and techniques

audit roles and responsibilities

food standards and regulatory implications

food safety specific to the seafood sector.

Context of and specific resources for assessment

Assessment of this unit of competence is conducted within the context of the seafood industry. Assessment must occur in the context of real food businesses within the seafood processing sector where food safety hazards are identified, assessed and controlled by a food safety program. The environment must provide an opportunity for the assessee to demonstrate the ability to conduct food safety audits to meet the audit scope, legal and food business requirements.

Resources may include:

audit requirements

enterprise policy relating to the treatment of wastes

food business

food safety and other relevant standards

HACCP plan

OHS policy and procedures.

Method of assessment

The following assessment methods are suggested:

project undertaking internal audits of activities within a seafood food business

workplace documentation, including audit report and corrective actions required

written or oral questions.

Guidance information for assessment

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

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:

ESD principles, environmental hazard identification, risk assessment and control

fisheries or aquaculture regulations, permits, licences, quotas, catch restrictions and other compliance requirements, including:

Australian Exclusive Economic Zone

international treaties and agreements

food safety, HACCP, hygiene and temperature control along chain of custody

imports quarantine and inspection, and importing approved arrangements for Australian Quarantine Inspection Service (AQIS), Australian Customs Service (ACS) and Biosecurity Australia (BA)

Indigenous native title, land claims and cultural activities, including fishing by traditional methods

maritime and occupational diving operations:

foreign and Australian legislation applying to quarantine and customs

International Convention for the Safety of Life at Sea (SOLAS)

International Convention on Standards of Training, Certification and Watchkeeping for Seafarers (STCW 1978)

Marine Emergency Response Search and Rescue (MERSAR)

National Standards for Commercial Vessels

pollution prevention - International Convention for the Prevention of Pollution from Ships (MARPOL 73/78)

Uniform Shipping Laws (USL) Code

use of vessels, right of way and other marine orders, bunkering and refuelling

land, buildings and vehicles:

buildings and structures design and appearance, constructions and additions

poaching, trespass and theft

road laws for use of motor vehicles, bikes, trucks and other transport equipment

soil and water management

use of chemicals and biological agents

use of firearms and powerheads

use of utilities, including water, natural gas, electricity and sewage

water or land lease, tenure or ownership and use

business or workplace operations, policies and practices:

commercial law, including fair trading and trade practices

consumer law

corporate law, including registration, licensing and financial reporting

disability policies and practices

equal opportunity, anti-discrimination and sexual harassment

industrial relations and awards, individual employment contracts and share of catch agreements

jurisdictional variations

superannuation

taxation

trade practices

warnings and dismissals

worker's compensation

OHS hazard identification, risk assessment and control

product quality assurance

correct naming and labelling (country of origin, Australian Fish Names Standard, eco-labelling)

correct quantities, sizes, other customer requirements

third-party certification such as Australian Grown, Environmental ISO14001.

OHS guidelines may include:

appropriate workplace provision of first aid kits and fire extinguishers

clean, uncluttered, hygienic workplace

codes of practice, regulations and/or guidance notes which may apply in a jurisdiction or industry sector

enterprise-specific OHS procedures, policies or standards

hazard and risk assessment of workplace and maintenance activities and control measures

induction or training of staff, contractors and visitors in relevant OHS procedures and or requirements to allow them to carry out their duties in a safe manner

OHS training register

safe lifting, carrying and handling techniques, including manual handling, and the handling and storage of hazardous substances

safe systems and procedures for outdoor work, including protection from solar radiation, fall protection, confined space entry and the protection of people in the workplace

systems and procedures for the safe maintenance of property, machinery and equipment, including hydraulics and exposed moving parts

the appropriate use, maintenance and storage of PPE.

Food safety and hygiene regulations and procedures may include:

Australian Shellfish Sanitation program

display, packaging and sale of food, including seafood and aquatic products

equipment design, use, cleaning and maintenance

exporting requirements, including AQIS Export Control (Fish) orders

handling and disposal of condemned or recalled seafood products

HACCP, food safety program, and other risk minimisation and quality assurance systems

location, construction and servicing of seafood premises

people, product and place hygiene and sanitation requirements

Primary Products Standard and the Australian Seafood Standard (voluntary)

processing, further processing and preparation of food, including seafood and aquatic products

product labelling, tracing and recall

receipt, storage and transportation of food, including seafood and aquatic products

requirements set out in Australian and New Zealand Food Authority (ANZFA) Food Standards Code and state and territory food regulations

temperature and contamination control along chain of custody.

ESD principles may include:

controlling the use and recycling of water, and managing water quality and quantity

increasing use of renewable, recyclable and recoverable resources

managing environmental hazard identification, risk assessment and control

managing imported products quarantine and inspection, facility biosecurity, translocation of livestock and genetic material, and health certification

managing stock health and welfare, especially for handling, holding, transport and slaughter

managing sustainable fisheries or broodstock/seedstock collection requirements such as size limits, quotas, season restrictions, population dynamics, fishing impacts, reducing by-catch, fisheries management strategies, and maintaining biodiversity

managing, controlling and treating effluents, chemical residues, contaminants, wastes and pollution

minimising noise, dust, light or odour emissions

planning environmental and resource efficiency improvements

preventing genetically modified organisms and live cultured or held organisms from escaping into environment

protecting native and protected flora and fauna, marine or land parks or areas, adhering to the Convention on International Trade in Endangered Species of Wild Flora and Fauna (CITES), the Ramsar Convention, World Heritage and other international treaties for which Australia is a signatory.

reducing emissions of greenhouse gases

reducing use of non-renewable resources

reducing disturbances to soils, erosion and surface water flows from machinery use and other activities

reducing energy use and introducing alternative energy sources.

PPE may include:

buoyancy vest or personal floatation device (PFD)

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

insulated protective clothing for freezers or chillers and refrigeration units

protective outdoor clothing for tropical conditions

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

hard hat or protective head covering

protective hair, beard and boot covers

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

protective eyewear, glasses and face mask

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

respirator or face mask

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

safety harness

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

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

Internal audit scope:

is established by food business and may be informed by the requirements of relevant legislation

does not meet regulatory requirements but may be used to determine progress of the food business towards the achievement of the objectives of the food safety plan

will identify information collection methods, such as:

accessing relevant technical information

interviews

observance

review of workplace records.

Corrective action may involve:

developing a corrective action plan that identifies non-conformance, corrective actions, date by which action must be taken and any other follow up requirement. Depending on the nature and scope of an audit, the business is typically responsible for identifying appropriate corrective action. However, the auditor must be able to determine whether an appropriate corrective action plan has been developed and must therefore have the technical knowledge to do so

training of food business personnel in required procedures and processes using communication skills and techniques appropriate to their language, literacy and technical skill base

meeting the design and construction requirements for food safety premises, fixtures, fittings, equipment and transport vehicles as set out in food safety standards and or relevant state or territory legislation and regulations

meeting the relevant state/territory audit management system which may specify additional requirements of auditors, such as meeting appropriate ISO standards.

Unit sector

Seafood processing

This unit contains employability skills.