Elements and Performance Criteria

Audit scope
The scope describes the purpose, extent and boundaries of the audit. This may include:
physical locations
products
processes
time period covered by the audit
extent of authority of the auditor

Legal requirements
The scope of the audit determines and may be determined by food safety legislation which may include:
Food standards code
Relevant state legislation and related codes of practice including industry sector-specific legislation and related codes of practice such as that relating to meat, seafood, dairy and primary production and processing
Regulatory and commercial requirements relevant to importing countries
Commonwealth legislation (eg. Export Control Act)
Other legislation which may impact on the conduct of a food safety auditor may include legislation covering:
OHS, anti-harassment, anti-discrimination and industrial relations
Trade practices legislation
Environmental risk management
Legal contracts or agreements


Audit client
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
The organisation being audited.


Audit client requirements
Client requirements are typically defined in audit contracts or agreements and may relate to:
legal requirements
food safety management system requirements
compliance with client site operational policies and procedures
confidentiality
business size, activities and processes
business culture
professional standards of conduct


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:
management systems policies and procedures
industry standards or codes
contractual requirements
international treaties and conventions

Levels of non-conformity
Levels of non-conformity are defined and based on food safety risk. They may be determined by:
the management system
the audit client
legislation
Where legislation applies, definitions may be determined by:
state and territory authorities, and/or
AQIS
Primary industry jurisdiction
Primary food production jurisdiction

Audit evidence
Evidence required for the purposes of meeting relevant food safety legislation may be defined by the client and/or the regulatory authority.
Audit evidence should be based on objective information rather than hearsay and may include:
system records
evidence collection records
statements of fact or other information relevant to the audit criteria and which is verifiable
observations
records of audit stage progression.

Evidence collection methods and sources
These will depend on the purpose and scope of the audit and may include:
observation
interviews
checklists
auditee documentation review
reports/data from other sources such as customer feedback, technical references, computerised databases
results of analyses.

Food safety management system
Documented arrangement implemented [and resourced] by a business for control of food safety. A food safety management system includes commitment from management, procedures and practices to identify and control food safety hazards and prevent their recurrence. It may incorporate recognised food safety tools such as HACCP and its prerequisite programs.

Resource requirements
Resource requirements will depend on the purpose and scope of the audit and may include:
audit personnel directly involved in undertaking the audit
access to relevant personnel and information within the business
access to any additional resources as required.

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
This includes (but is not limited to):
identifying food to be covered by the food safety program
defining the food and the method of distribution
identifying customers and intended use of food
describing the process (flowchart)
checking for accuracy and completeness of the previous steps

Audit records
Audit records are maintained to demonstrate the implementation of the audit process. These may include but are not limited to:
audit plans
audit reports
non-conformity reports
corrective action reports
follow up reports.

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
This 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


Pre-requisite programs
Pre-requisite programs are also referred to as support programs, or acronyms such as Good manufacturing practice (GMP), Good Agricultural Practice (GAP) and Good Hygiene Practice (GHP).
Pre-requisite programs can be divided into 2 categories.
layout, design and construction of buildings and facilities
supplies of air, water energy and other utilities
equipment including preventative maintenance, sanitary design and accessibility for maintenance and cleaning
support services including waste and sewage disposal
personal hygiene
cleaning and sanitation
pest control
measures for the prevention of cross-contamination
packaging and labelling procedures
supplier assurance
chemical storage
employee training
maintenance
calibration
document control
internal audit programs
traceability and recall programs
on-farm food safety schemes
inspecting and testing regimes, including analytical and microbiological testing


Critical control point
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
Criterion which separates acceptability from unacceptability

Overview of Assessment
Assessment may occur in a real or simulated audit context where the simulated context provides access to an actual medium or high risk food or primary industry business environment.

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Identify food safety legislation applying to a food business. Legislative requirements may relate to actual or hypothetical food businesses. A minimum of 2 scenarios must be covered providing that at least one food business operates in a market segment that has to meet compliance requirements in place of* or in addition to the Food Standards Code. The assessment activity must:

Identify the relevant legislation applying to the food business taking account of the industry sector, range of food handling activities undertaken and the markets into which products and/or services are sold.
Locate advice on relevant authorities and enforcement agencies in a state or territory and for international markets as appropriate.
Explain the legal responsibilities of a given food business.
*For example, export meat processors must comply with the Export Control Act and the Export Meat Orders.

Plan and conduct an audit that complies with legal and client requirements as appropriate. The criteria and evidence requirements may be developed to apply to an actual or hypothetical food business. The assessee must substantiate:

How audit scope and criteria meet legislative and client requirements.
The evidence required to assess compliance with the criteria and to support an objective, reliable and consistent audit outcome.
Definitions, levels and related reporting of non-conformance to comply with legislative requirements.
Submit completed audit records for the selected audit including the final audit report, non-conformity reports, corrective action reports, follow up reports and suggestions for improvements to the food safety management system and to the audit process. These latter items may be documented in personal notes rather than part of the formal audit report according to the audit scope.
The whole audit process must be witnessed by the assessor.

Communicating ideas and information
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Collecting analysing and organising information
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Planning and organising activities
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Working with others and in teams
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Using mathematical ideas and techniques
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Solving problems
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Using technology
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