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Explain and carry out an audit of a documented system in a seafood
operation
Level
4
Credits
10
Purpose
People credited with this unit standard are able to, in a seafood operation:
prepare for an audit of a documented system; conduct an audit of a
documented system; record and report on an audit of a documented system;
verify corrective actions after an audit of a documented system; and explain
the corrective actions appropriate to the audit findings.
Subfield
Seafood
Domain
Seafood Generic
Status
Registered
Status date
19 March 2010
Date version published
19 March 2010
Planned review date
31 December 2014
Entry information
Open.
Accreditation
Evaluation of documentation and visit by NZQA and
industry.
Standard setting body (SSB)
Primary Industry Training Organisation
Accreditation and Moderation Action Plan (AMAP) reference
0123
This AMAP can be accessed at http://www.nzqa.govt.nz/framework/search/index.do.
Special notes
1
Definitions
Company requirements refer to instructions to staff on policy and procedures that are
communicated in an oral or written form. These requirements must include
legislation and safety requirements and may include but are not limited to industry
codes of practice and standards.
Documented system refers to any management system or programme that has been
developed and implemented to meet a specific standard, company requirement or
legislation requirement.
Seafood operation refers to a company whose business is the growing, harvesting,
processing or marketing of seafood.
 New Zealand Qualifications Authority 2016
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Stakeholders in this unit standard refer to auditee, supervisor, manager, company
manager, regulatory authority, customer, factory staff, other appropriate people or
departments.
Standards in this unit standard refer to the criteria against which each documented
system is being compared. The standards will be determined by the system selected
and the candidate will need to identify this standard prior to writing the system and
prior to assessment.
2
Legislation relevant to this unit standard may include but is not limited to – Animal
Products Act 1999, Food Act 1981, Health and Safety in Employment Act 1992 and
their subsequent amendments.
3
This unit standard applies to both internal and external audits. While the scope of the
internal and external audit might differ, the audit processes used will be similar.
Elements and performance criteria
Element 1
Prepare for an audit of a documented system in a seafood operation.
Performance criteria
1.1
The steps in the audit process are explained in terms of company requirements.
1.2
The standard to which the audit is to be conducted against is determined.
1.3
The scope and purpose of the audit is defined in accordance with company
requirements.
1.4
The documentation is reviewed when preparing to conduct an audit in
accordance with company requirements.
Range:
1.5
includes but is not limited to – standards, previous audit reports,
company audit schedules, corrective action logs.
The auditee is informed of the details of the intended audit in accordance with
company requirements.
Range
includes but is not limited to – scope, purpose, date, time.
Element 2
Conduct an audit of a documented system in a seafood operation.
Performance criteria
2.1
The documented system is audited against the standard and any variances are
identified.
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2.2
The documented system is audited against the current activities in the seafood
operation and any variances are identified in accordance with company
requirements.
2.3
Variances identified in the audit are communicated to key stakeholders prior to
the end of the audit in accordance with company requirements.
2.4
Corrective actions identified in previous reports are reviewed and compared to
current audit findings to confirm that the activities were effective and the issues
are not recurring.
Element 3
Record and report on an audit of a documented system in a seafood operation.
Performance criteria
3.1
Audit report format is prepared in accordance with company requirements.
3.2
Audit observations are recorded in sufficient detail to ensure accurate reporting
in accordance with company requirements.
3.3
Audit reports are documented identifying the extent of compliance with the
standard, any variations, and any required corrective action.
3.4
Audit reports are presented to the stakeholders in a timely manner and any
follow-up action agreed.
Range
follow-up action includes but is not limited to – targeted completion
date, appropriate corrective actions.
Element 4
Verify corrective actions after an audit of a documented system in a seafood operation.
Performance criteria
4.1
Evidence is gathered to verify identified corrective actions have been completed
as agreed.
4.2
Any corrective actions not completed are identified and a new target date is
agreed and corrective actions are followed up.
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Element 5
Explain the corrective actions related to the audit findings of a documented system in a
seafood operation.
Performance criteria
5.1
The explanation includes the levels of risk relative to corrective actions.
Range
5.2
The explanation includes the key components of corrective action.
Range
5.3
may include but is not limited to – high, medium and low levels of
risk.
Evidence is required for one of each level.
includes but is not limited to – product disposition, immediate
action, preventative action.
The explanation includes the difference between preventative and corrective
action.
Please note
Providers must be accredited by NZQA, or an inter-institutional body with delegated
authority for quality assurance, before they can report credits from assessment against
unit standards or deliver courses of study leading to that assessment.
Industry Training Organisations must be accredited by NZQA before they can register
credits from assessment against unit standards.
Accredited providers and Industry Training Organisations assessing against unit standards
must engage with the moderation system that applies to those standards.
Accreditation requirements and an outline of the moderation system that applies to this
standard are outlined in the Accreditation and Moderation Action Plan (AMAP). The
AMAP also includes useful information about special requirements for organisations
wishing to develop education and training programmes, such as minimum qualifications for
tutors and assessors, and special resource requirements.
Comments on this unit standard
Please contact Primary Industry Training Organisation standards@primaryito.ac.nz if you
wish to suggest changes to the content of this unit standard.
 New Zealand Qualifications Authority 2016