NZQA proposed unit standard
nnnnn draft version nn
Page 1 of 13
Title
Demonstrate knowledge of the standards specified in
ISO19011:2011: Guidelines for auditing management systems
Level
6
Credits
6
Purpose
People credited with this unit standard are able to demonstrate
knowledge of: managing the audit programme, competence
requirements and evaluation process of auditors, and audit
sampling.
Classification
Subfield > Domain
Available grade
Achieved
Explanatory notes
1. Abbreviations and definitions
Audit – systematic, independent and documented process for obtaining audit evidence
and evaluating it objectively to determine the extent to which the audit criteria are
fulfilled
ISO 19011:2011 (E) second Edition
2. Legislation, regulations and compliance requirements relevant to this unit standard
includes but is not limited to: Amusement Devices Regulations 1978; Crimes
Amendment Act 2012; District plans, Regional plans, Local Government bylaws and
regulations; Hazardous Substances and New Organisms Act (HSNO Act) 1996;
Food Act 1981, Health and Safety in Employment Act 1992; Health and Safety in
Employment (Adventure Activities) Regulations 2011; Injury Prevention, Maritime
Transport Act 1994; NZS 5826:2010; Rehabilitation, and Compensation Act 2001;
Land Transport (Road User) Rule 2004; Resource Management Act 1991; Injury
Prevention, Rehabilitation, and Compensation Act 2001.
Outcomes and evidence requirements
Outcome 1
Demonstrate knowledge of managing an audit programme
Name of Standard Setting Body
SSB Code ######
 New Zealand Qualifications Authority 2013
NZQA proposed unit standard
nnnnn draft version nn
Page 2 of 13
Evidence requirements
1.1
The key components required to establish audit objectives and an audit
programme are explained in accordance with ISO 19011:2011
Range
1.2
The process for implementing an audit programme is explained in accordance
with ISO 19011:2011
Range
1.3
roles and responsibilities, individual competencies, extent, risks,
procedure and resources.
objectives, scope and criteria, methods, team, leader responsibilities,
programme outcomes and records.
The key components required to monitor, review and improve an audit
programme are explained in accordance with ISO 19011:2011.
Outcome 2
Demonstrate knowledge of the competence requirements and evaluation process of
auditors
Evidence requirements
2.1
Auditor competence requirements to fulfil the needs of an audit programme are
explained in accordance with ISO 19011:2011.
Range
2.2
general, personal behaviour, knowledge and skills, achieving auditor
competence, code of conduct.
Audit team leader competence requirements to fulfil the needs of an audit
programme are explained in accordance with ISO 19011:2011.
Range
working under the direction and guidance of a different audit team
leader.
2.3
The process for establishing auditor evaluation criteria and methodology is
explained in accordance with ISO 19011:2011.
2.4
Requirements for conducting an auditor evaluation are described in accordance
with ISO 19011:2011.
2.55
Methods for maintaining and improving auditor competence are explained in
accordance with ISO 19011:2011.
2.6
Requirement for knowledge and skills related to the sector being audited is
explained in accordance with ISO 19011:2011.
Range
includes but is not limited to – processes, equipment, hazardous
substances, process cycles, maintenance, logistics, work flow
Name of Standard Setting Body
SSB Code ######
 New Zealand Qualifications Authority 2013
NZQA proposed unit standard
nnnnn draft version nn
Page 3 of 13
organisation, work practices, shift-scheduling, organisational culture,
leadership, behaviour, hazards and hazard management.
Outcome 3
Demonstrate knowledge of audit sampling.
Evidence requirements
3.1
The general objectives of audit sampling are explained in accordance with ISO
19011:2011.
Range
3.2
sampling plan, method, sample size, sampling activity.
Judgement based sampling and statistical sampling are explained and
compared in accordance with ISO 19011:2011.
Range
a minimum of three examples where judgement based sampling is
justified and three examples of where statistical sampling is required.
Replacement information
This unit standard replaced unit standard nnnnn. [Only
appears if populated.]
Planned review date
dd MMMM yyyy
Status information and last date for assessment for superseded versions
Process
Version Date
Last Date for Assessment
Registration
1
Consent and Moderation Requirements (CMR) reference
nnnn
This CMR can be accessed at http://www.nzqa.govt.nz/framework/search/index.do.
Please note
Providers must be granted consent to assess against standards (accredited) by NZQA,
before they can report credits from assessment against unit standards or deliver courses
of study leading to that assessment.
Industry Training Organisations must be granted consent to assess against standards by
NZQA before they can register credits from assessment against unit standards.
Providers and Industry Training Organisations, which have been granted consent and
which are assessing against unit standards must engage with the moderation system that
applies to those standards.
Name of Standard Setting Body
SSB Code ######
 New Zealand Qualifications Authority 2013
NZQA proposed unit standard
nnnnn draft version nn
Page 4 of 13
Requirements for consent to assess and an outline of the moderation system that applies
to this standard are outlined in the Consent and Moderation Requirements (CMRs). The
CMR 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 the SSB ssb@email.address if you wish to suggest changes to the content
of this unit standard.
Name of Standard Setting Body
SSB Code ######
 New Zealand Qualifications Authority 2013
NZQA proposed unit standard
nnnnn draft version nn
Page 5 of 13
Title
Demonstrate knowledge of legislation that impacts on safety auditing
of recreation activities
Level
6
Credits
5
Purpose
People credited with this unit standard are able to identify and
explain the interpretation of: occupational legislation that
impacts on the regulatory framework for safety auditing
recreation activities and the interpretation of local body bylaws
and legislation that impacts on the regulatory framework for
safety auditing recreation activities.
Classification
Recreation and Sport > Recreation and Sport – Management?
Available grade
Achieved
Explanatory notes
1
Legislation, regulations and compliance requirements relevant to this unit
standard include but are not limited to: Amusement Devices Regulations 1978;
Crimes Amendment Act 2012; District plans, Regional plans, Local Government
bylaws; Hazardous Substances and New Organisms Act (HSNO Act) 1996;
Food Act 1981, Health and Safety in Employment Act 1992; Health and Safety
in Employment (Adventure Activities) Regulations 2011; Injury Prevention,
Maritime Transport Act 1994; NZS 5826:2010; Rehabilitation, and
Compensation Act 2001; Land Transport (Road User) Rule 2004; Resource
Management Act 1991; Injury Prevention, Rehabilitation, and Compensation
Act 2001.
2
Abbreviations
ISO (as in ISO 19011) stands for International Standards Organisation
SMS Safety Management Systems
3
For the purpose of this unit standard the term regulatory framework refers to the
following:
Safety Audit Standard for Adventure Activities: Requirements for a Safety Audit
of Activities, Ministry of Business, Innovation and Employment, March 2013
Name of Standard Setting Body
SSB Code ######
 New Zealand Qualifications Authority 2013
NZQA proposed unit standard
nnnnn draft version nn
Page 6 of 13
New Zealand Adventure Activities Certification Scheme: Requirements for
bodies providing safety audits and certification of adventure activity operators,
Ministry of Business, Innovation and Employment, September 2013
ISO 19011:2011 (E), Guidelines for Auditing Management Systems
ISO 17065:2012 Conformity assessment-requirements for bodies certifying
products, processes and services
Activity Safety Guidelines (ASGs) and other associated guidance material
http://www.supportadventure.co.nz/activity-safety-guidelines
Health and Safety in Employment (Adventure Activities) Regulations 2011
Health and Safety in Employment Act 1992.
Outcomes and evidence requirements
Outcome 1
Identify and explain the legislation that impacts on the safety auditing of recreation
activities.
Evidence requirements
1.1
Legislation which relates to the regulatory framework for safety auditing of
recreation activities is identified.
Range
a minimum of 4 different types of recreation activities across a range
of environments.
1.2
Interpretations of the identified legislation are explained in terms of the
regulatory framework for safety auditing of recreation activities.
1.3
Implications of organisational compliance and non-compliance with the
identified legislation which relates to the regulatory framework for safety
auditing of recreation activities is explained.
Range
implications may include – liability, risk management, health, safety,
employment, privacy, environmental sustainability, public
accessibility, licence to operate.
Outcome 2
Identify and explain the local body bylaws and legislation that impacts on the regulatory
framework for safety auditing recreation activities.
Evidence requirements
Name of Standard Setting Body
SSB Code ######
 New Zealand Qualifications Authority 2013
NZQA proposed unit standard
2.1
nnnnn draft version nn
Page 7 of 13
Local body bylaws and legislation which relate to the regulatory framework for
safety auditing recreation activities are identified.
Range
may include but is not limited to land, sea, lake, river,
a minimum of 4 different types of recreation contexts is required.
2.2
Interpretations of the identified local body bylaws and legislation are explained
in terms of the regulatory framework for safety auditing recreation activities.
2.3
Implications of organisational compliance and non-compliance with the
identified local body bylaws and legislation which relate to the regulatory
framework for safety auditing recreation activities is explained.
implications may include – liability, risk management, market
positioning, health, safety, employment, environmental
sustainability, public accessibility, licence to operate.
Range
Replacement information
This unit standard replaced unit standard nnnnn. [Only
appears if populated.]
Planned review date
dd MMMM yyyy
Status information and last date for assessment for superseded versions
Process
Version Date
Last Date for Assessment
Registration
1
This CMR can be accessed at http://www.nzqa.govt.nz/framework/search/index.do.
Please note
Providers must be granted consent to assess against standards (accredited) by NZQA,
before they can report credits from assessment against unit standards or deliver courses
of study leading to that assessment.
Industry Training Organisations must be granted consent to assess against standards by
NZQA before they can register credits from assessment against unit standards.
Providers and Industry Training Organisations, which have been granted consent and
which are assessing against unit standards must engage with the moderation system that
applies to those standards.
Requirements for consent to assess and an outline of the moderation system that applies
to this standard are outlined in the Consent and Moderation Requirements (CMRs). The
CMR 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.
Name of Standard Setting Body
SSB Code ######
 New Zealand Qualifications Authority 2013
NZQA proposed unit standard
nnnnn draft version nn
Page 8 of 13
Comments on this unit standard
Please contact the SSB ssb@email.address if you wish to suggest changes to the content
of this unit standard.
Name of Standard Setting Body
SSB Code ######
 New Zealand Qualifications Authority 2013
NZQA proposed unit standard
nnnnn draft version nn
Page 9 of 13
Title
Demonstrate and apply knowledge of safety auditing for adventure
activities
Level
6
Credits
10
Purpose
People credited with this unit standard are able to: demonstrate
an understanding of the regulatory framework for the safety
auditing of Adventure Activities, demonstrate and apply
knowledge of safety management systems when auditing
Adventure Activities, demonstrate and apply knowledge of the
competencies required for auditing adventure activities, and
demonstrate knowledge of the Adventure Activities sector.
Classification
Recreation and Sport > Recreation and Sport – Management
Available grade
Achieved
Entry information
Recommended skills
and knowledge
People seeking credit for this unit standard must hold a high
level qualification or attestation for an activity as stated in the
New Zealand Adventure Activities Certification Scheme.
Explanatory notes
1. References
For the purpose of this unit standard the term regulatory framework refers to the
following:
Activity Safety Guidelines (ASGs) and other associated guidance material
http://www.supportadventure.co.nz/activity-safety-guidelines
Health and Safety in Employment Act 1992
Health and Safety in Employment (Adventure Activities) Regulations 2011
IAF MD1: Certification of Multiple Sites Based on Sampling.
IAF MD2: Transfer of Accredited Certification of Management Systems.
Name of Standard Setting Body
SSB Code ######
 New Zealand Qualifications Authority 2013
NZQA proposed unit standard
nnnnn draft version nn
Page 10 of 13
IAF MD4: Use of Computer Assisted Auditing Techniques (CAAT) for Accredited
Certification of Management Systems.
ISO 19011:2011 (E), Guidelines for Auditing Management Systems
ISO 17065:2012 Conformity assessment-requirements for bodies certifying
products, processes and services
New Zealand Adventure Activities Certification Scheme: Requirements for bodies
providing safety audits and certification of adventure activity operators, Ministry of
Business, Innovation and Employment, September 20
Safety Audit Standard for Adventure Activities: Requirements for a Safety Audit of
Activities, Ministry of Business, Innovation and Employment, March 2013
2. Abbreviations and definitions
Adventure activities refers to those activities defined by the Health and Safety in
Employment (Adventure Activities) Regulations 2011
IAF (as in IAF MD1) stands for International Accreditation Forum
ISO (as in ISO 19011) stands for International Standards Organisation
SMS Safety Management Systems
Scheme refers to New Zealand Adventure Activities Certification Scheme:
Requirements for bodies providing safety audits and certification of adventure
activity operators
Outcomes and evidence requirements
Outcome 1
Demonstrate an understanding of the regulatory framework for the safety auditing of
Adventure Activities.
Evidence requirements
1.1
The different components of the regulatory framework are explained in terms of
their relevance to the safety auditing of specific adventure activities.
Range
three adventure activities from different outdoor environments.
Outcome 2
Demonstrate and apply knowledge of safety management systems when auditing
adventure activities.
Name of Standard Setting Body
SSB Code ######
 New Zealand Qualifications Authority 2013
NZQA proposed unit standard
Range
nnnnn draft version nn
Page 11 of 13
a minimum of three full audits under the Scheme, two of these involving
organisations operating with multiple activities at more than one site.
Evidence requirements
2.1
Hazard management processes and their systematic implementation is
explained and evaluated in accordance with the Safety Audit Standard for
Adventure Activities.
2.2
Standard operating procedures are explained and evaluated against evidence
in accordance with the Safety Audit Standard for Adventure Activities.
Range
staff competence, dynamic management of hazards, supervision
structures, clothing and equipment, field communications, ancillary
services.
2.3
Emergency preparedness and response plans and procedures are evaluated in
accordance with the Safety Audit Standard for Adventure Activities.
2.4
Incident management policies and procedures are explained and evaluated in
accordance with the Safety Audit Standard for Adventure Activities.
Range
2.5
incident response, incident review.
Processes to ensure continual improvement of SMS and safety outcomes are
identified and analysed in accordance with the Safety Audit Standard for
Adventure Activities.
Range
Document control, internal review of SMS, internal review of
adventure activities.
Outcome 3
Demonstrate and apply knowledge of the competencies required for auditing adventure
activities.
Range
a minimum of three full audits under the Scheme, two of these involving an
audit plan requiring the use of more than one auditor or technical expert.
Evidence requirements
3.1
Non-technical competencies for auditing adventure activities are explained and
applied in accordance with the Scheme.
Range
3.2
generic management, communications, assessment.
Technical qualification and/or competencies for auditing adventure activities are
explained and applied in accordance with the Scheme.
Name of Standard Setting Body
SSB Code ######
 New Zealand Qualifications Authority 2013
NZQA proposed unit standard
Range
3.3
qualifications, attestations.
The range of qualifications or proof of staff competence in the outdoors sector is
explained as it applies to the Scheme.
Range
3.4
national bodies, international, in-house, NZQF.
The roles of the audit team are explained and applied in accordance with the
Scheme.
Range
3.5
nnnnn draft version nn
Page 12 of 13
lead auditor, audit certifier, auditor, technical experts.
The components of the audit plan are explained and prepared in accordance
with the Scheme.
Outcome 4
Demonstrate knowledge of the adventure activities sector.
Evidence requirements
4.1
The roles of organisations involved in the adventure activities sector are
described in relation to the regulatory framework for the safety auditing of
adventure activities.
Range
4.2
includes but is not limited to – adventure activities operators, peak
industry bodies, government agencies, compliance bodies, training
providers.
Significant incidents that have occurred in the adventure activities sector along
with the associated learning’s that relate to safety management systems and/or
safety auditing are explained in relation to the Health and Safety in Employment
(Adventure Activities) Regulations 2011.
Range
a minimum of 4 significant incidents.
Replacement information
This unit standard replaced unit standard nnnnn. [Only
appears if populated.]
Planned review date
dd MMMM yyyy
Name of Standard Setting Body
SSB Code ######
 New Zealand Qualifications Authority 2013
NZQA proposed unit standard
nnnnn draft version nn
Page 13 of 13
Status information and last date for assessment for superseded versions
Process
Version Date
Last Date for Assessment
Registration
1
Consent and Moderation Requirements (CMR) reference
nnnn
This CMR can be accessed at http://www.nzqa.govt.nz/framework/search/index.do.
Please note
Providers must be granted consent to assess against standards (accredited) by NZQA,
before they can report credits from assessment against unit standards or deliver courses
of study leading to that assessment.
Industry Training Organisations must be granted consent to assess against standards by
NZQA before they can register credits from assessment against unit standards.
Providers and Industry Training Organisations, which have been granted consent and
which are assessing against unit standards must engage with the moderation system that
applies to those standards.
Requirements for consent to assess and an outline of the moderation system that applies
to this standard are outlined in the Consent and Moderation Requirements (CMRs). The
CMR 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 the SSB ssb@email.address if you wish to suggest changes to the content
of this unit standard.
Name of Standard Setting Body
SSB Code ######
 New Zealand Qualifications Authority 2013