Assessment

TRAINING
Assessment Activity Workbook

Online Internal Food Safety Auditor ISO 22000:2018 &
ISO 19011:2018
Online Internal Food Safety Auditor ISO 22000:2018 &
ISO 19011:2018
Post Course Assessment Cover Sheet
This assessment cover sheet must be lodged for all Assessment tasks. Notification of the assessment outcome will be via email.
Please note:
Post course assessments without the Course assessment cover sheet will not be accepted. Applications without appropriate
supporting documentation will not be considered.
You have the right to appeal your assessment outcome. Please refer to the Student Handbook and the document “Post Course
Assessment Guide” for further information about completing your assessment tasks.
Section 1: Please provide the following contact details:
Student Full Name

Registration number (8 digit number emailed at the time of registration)
Name of course Date
Trainer Name Location
Contact email
Contact phone number
Unit Code Exemplar Global Unit Title
EG – AU Management Systems Auditing
BSB units are applicable for AUSTRALIAN participants ONLY. They are assessed based on the Assessment Activities
Workbook.
FBPAUD4001 Assess compliance with food safety program
Section 2: Student Declaration
I hereby state that the work submitted as part of my application for assessment:
☐ Complies with all privacy and confidentiality legislation
☐ Is my own work
I understand that any plagiarism of others’ work and/or failure to acknowledge contributions may have serious consequences in
relation to this assessment. Where work has been undertaken in collaboration with others, or where I have referenced other
materials, this has been acknowledged and the extent of the contributions has been made explicit.
Signature By signing and submitting this form, I confirm the student declaration is true.
Signed Date
Do you have any special needs or requirements that your assessor should be aware of?
If so, please contact SAI Global Customer Service via email; training@saiglobal.com to discuss this in confidence or attach to this
cover sheet. See the SAI Global Student Code of Practice and Student Handbook for further information. Refer to the SAI Global
Student Handbook and Code of Practice available on our website;
https://cdn.intelligencebank.com/au/share/lXEG/zb66/0Bqq/original/Training+Code+of+Practice+0519
Your personal information is protected by law. The information you provide on this form will be used by SAI Global to assess your competence for
the purpose of issuing qualifications and Statements of Attainment. SAI Global will ensure the confidentiality of information participants provide
during the course of their training and assessment which extends to sensitive information about a person’s employment, workplace and/or
operations. All personal information collected will be maintained in accordance with the privacy laws.
As an RTO SAI Global also collects data for the purposes of AVETMISS (Australian Vocational Education and Training Management Information
Statistical Standard), which is a legal requirement for all RTO’s. AVETMISS data, enrolment and course completion details are provided to
relevant Government agencies such as ASQA or NCVER, or representatives thereof, and remain confidential to those agencies. Your acceptance
of the terms and conditions of enrolment and your signature on the declaration above indicates your acceptance of this.
ONLINE INTERNAL FOOD SAFETY AUDITOR
ASSESSMENT WORKBOOK
Introduction
This document outlines the requirements and activities required to complete the Post Course Assessment for the Online
Internal Food Safety Auditor ISO 22000:2018 & ISO 19011:2018 Training Course.
Course Recognition
Certification: Exemplar Global
Students who meet all assessment criteria of the Post Course Assessment for Exemplar Global units will be deemed
competent and receive a Certificate of Attainment for Exemplar Global competency noted below:
Exemplar Global AU – Management Systems Auditing
Accreditation
NATIONALLY RECOGNISED TRAINING – AUSTRALIA ONLY
Students who meet all assessment criteria of the post course assessment for units under the Australian Qualifications
Framework will be deemed competent and receive a Statement of Attainment for the following units of competency:
 FBPAUD4001 Assess compliance with food safety program
saiglobal.com/training 1
ASSESSMENT WORKBOOK
Assessment Process
Below is detailed information about the assessment process including timelines for submission, assessment outcomes,
and assessment appeals process.
Students need to have access to a workplace to complete the post course assessment.
Students have 12 months from the date or registration to complete and submit their completed Post Course Assessment
to SAI Global for assessment.
ASSESSMENT APPEALS
A fair and impartial process is available to all participants at SAI Global. If a participant wishes to appeal his/her
assessment outcome, he/she must first discuss the issue with the trainer/assessor. If the participant would like to
proceed further with the request after discussions with the trainer/assessor, a formal request should be made in writing
within 1 month of receiving the results of the assessment
Grounds for appeal may vary and the application will be reviewed by a panel consisting of the relevant SAI Global
Managers.
REASONABLE ADJUSTMENT
Learners have the right to ask for reasonable adjustment to be made to an assessment if they consider the particular task
will disadvantage them, provided it does not compromise the integrity or rigor of the assessment. Examples of
reasonable assessment may include, the use of adaptive technology, additional time, verbal assessment, large prints,
bilingual assessment and provision of study materials in an alternate format etc.
RE-ASSESSMENT
If a student receives a not yet competent result, they are able to re-sit the assessment task or may be provided an
alternate task. In the first instance, the assessor should request for additional information required.
Re-assessment tasks will vary and may include:
Re-sit the same assessment again following discussions with the assessor
Provided an alternate form of assessment
Provide the assessor with a portfolio of evidence that demonstrates competence
ASSESSMENT CONDITIONS AND CRITERIA
Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of
typical activities and include access to:
 relevant legislation, regulations, standards and codes
 relevant workplace documentation and resources
 relevant technology and equipment
 case studies and, where possible, real situations
 interaction with others
2 saiglobal.com/training
ASSESSMENT WORKBOOK
SUMMARY OF ASSESSMENT
Type of Assessment Assessor’s Role
Assessment Task 1: There are six practical assessment activities contained in the online course. These
Case study-Based Offline must all be successfully completed in order to gain the relevant unit(s) of
Assessment Activities competency. Your answers will be assessed against the criteria outlined at the
beginning of each assessment activity.
 Assessment Activity 1: Prepare an Audit Plan
 Assessment Activity 2: Prepare a Checklist
 Assessment Activity 3: Compliance Audit
 Assessment Activity 4: Classify Non-Conformities
 Assessment Activity 5: Generate CARs
 Assessment Activity 6: Create an Audit Report
Assessment Task 2: A series of 17 short answer/multiple choice and scenario based questions based on
General Questions what you have learnt during the IFSA course. This part of the assessment will be
marked out of 100 points. Each question has been assigned a number of points as
indicated.
Assessment Task 3: In order to meet the FBPAUD4001 Assess compliance with food safety programs
AUSTRALIA ONLY criteria, participants are required to demonstrate auditing knowledge and skills,
which include foundation skills. To demonstrate these skills, they are required to
Workplace Evidence Items participate in an internal audit in their organisation.
1,2 and 3
Since it is not possible for you to witness the participation of the participant in the
internal audit a Supervisor/Observer in their own organisation is assigned the task
to observe and evaluate their ability to carry out an internal audit. A
Supervisor/Observer Declaration is included in this assessment task, which declares
that the skills for these tasks have been verified by a third party signatory.
These assessment tasks are required to be completed in order to attain the
Australian unit of competency:
FDFAU4001A Assess compliance with food safety programs
Assessment Task 4 To meet the FBPAUD4001 criteria, assessors need to evaluate foundation skills of
AUSTRALIA ONLY participants. These are assessed via Assessment Task 3 and 4 and a video call with
the participant. The assessor assigned to evaluate your skills will contact you to
Video call arrange a time to convenient to you both to review and discuss the assessment.
ASSESSMENT WORKBOOK
Activity Instructions
Before you begin, please download the Grummy Cake Company Case Study from the Resources button on the course
interface. You will need to review the case study in order to respond to the activity tasks.
Please complete these activities by placing your answers in the answer sections provided. Ensure you save the activities
to your computer as you progress throughout the course. When you have completed all the activities, you can upload
your document to the link provided at the end of this course.
Note: Please refer to your Online Assessment Guide which outlines your online assessment submission details. It is
recommended that you refer to this Online Assessment Guide prior to completing your assessments.
ASSESSMENT WORKBOOK
Assessment Task 1: Case Study Based Offline

Assessment Activities
Part 1: Online Written Assessment Activities
Instructions There are six practical assessment activities contained in the online course. These must
all be successfully completed in order to gain the relevant unit(s) of competency.
Offline Assessment Activity 1: Prepare an Audit Plan
Offline Assessment Activity 2: Prepare a Checklist
Offline Assessment Activity 3: Compliance Audit
Offline Assessment Activity 4: Classify Non-Conformities
Offline Assessment Activity 5: Generate CARs
Offline Assessment Activity 6: Create an Audit Report
Before you begin, please download the Crummy Cake Company case study from the
Resources button on the course interface. You will need to review the case study in
order to respond to the activity tasks.
Please complete these activities by placing your answers in the answer sections
provided. Ensure you save the activities to your computer as you progress throughout
the course. When you have completed all the activities, you can upload your document
to the link provided at the end of this course.
Note: You must be deemed to have satisfactorily completed all assessment tasks to be
deemed competent in the relevant units of competency for this course. These can be
found at the end of this assessment guide.
Please refer to your Guidelines for Submitting Online Assessments which outlines your
online assessment submission details. It is recommended that you refer to this document
prior to completing your assessments.
ASSESSMENT WORKBOOK
OFFLINE ASSESSMENT ACTIVITY 1: PREPARE AN AUDIT PLAN
Activity objective: The objective of this activity is to demonstrate how internal audits are planned for.
Task: Prepare an audit plan for an internal audit of the Pest Control procedure at The Crummy Cake Company, using
the SQF standard as the criteria.
Please ensure that the audit plan covers at a minimum the following information:
 The audit objectives - include a summary of the organisation’s requirements to comply with and apply
regulations, legal requirements, industry codes of practice, and customer requirements to their management
system.
 The audit scope, including identification of the organizational and functional units as well as processes to be
audited.
 The audit criteria and any reference documents.
 The audit methods to be used, including the records to be reviewed (samples) to obtain sufficient objective
evidence and the design of the sampling plan, if applicable.
 The roles and responsibilities of the audit team members, as well as guides, technical specialists and observers (if
appropriate)
Do not forget to save your work to your computer after completing the task.
ASSESSMENT WORKBOOK
Date of audit
Company The Crummy Cake Company
Address 23, Phil Street, Baker’s Avenue, MA
Contact Robin White
Products Frozen and fresh cakes and slices
Audit objectives
Audit scope
Audit Criteria
Applicable regulations,
legislation, codes of
practice.
Auditors
Roles and responsibilities

of audit team and guides
and observers (if
appropriate).
Audit methods
Records to be reviewed
(sampled)
Auditee requirements
Resources required
Expected duration
Start time
Audit timings
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OFFLINE ASSESSMENT ACTIVITY 2: PREPARE A CHECKLIST
Activity objective: The objective of this activity is to demonstrate the ability to develop a checklist that will assist
during the audit process.
Task: Your task is to develop a checklist for an audit that you will conduct on the Pest Control Procedure of The
Crummy Cake Company.
 Review the SQF Criteria for Pest Control shown in the first column of the checklist below.
 For each clause, enter the checklist questions in the Checklist Prompt column of the table. The checklist you
develop here will form a working document that you will continue to fill in for Activities 3 and 4 as well.
Do not forget to save your work to your computer after completing the task.
ASSESSMENT WORKBOOK
Requirement Checklist prompt Objective Evidence Compliance
11.2.11 Management of Pests and Vermin
11.2.11.1 The methods and

responsibilities for integrated pest
management shall be documented and
effectively implemented. The premises,
its surrounding areas, storage facilities,
machinery and equipment shall be kept
free of waste or accumulated debris so
as not to attract pests and vermin.
11.2.11.2 The pest and vermin

management program shall:
I. Describe the methods and
responsibility for the
development, implementation
and maintenance of the pest
and vermin management
program
II. Identify the target pests for
each pesticide application
III. Outline the methods used to
prevent pest problems
IV. Outline the pest elimination
methods
V. Outline the frequency with
which pest status is to be
checked
VI. Include on a site map the
identification, location,
number and type of bait
stations set
VII. List the chemicals used (they
are to be approved by the
relevant authority and their
Material Safety Data Sheets
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(MSDS) made available)

VIII. Outline the methods used to
make staff aware of the bait
control program and the
measures to take when they
come into contact with a bait
station
IX. Outline the requirements for
staff awareness and training in
the use of pest and vermin
control chemicals and baits
X. Measure the effectiveness of
the program to verify the
elimination of applicable
pests.
11.2.11.3 Inspections for pest activity

shall be undertaken on a regular basis
by trained personnel and the
appropriate action taken if pests are
present.
Crummy Cake requirement as per
procedure
The contractor will:
 maintain rodent bait stations
around the building (see map of
locations)
 inspect the bait stations as well
as the remainder of the
premises on a monthly basis.
 undertake a documented pest
control survey, quarterly
 conduct 6 monthly services on
all insectocuters
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The production manager will:

 Undertake a pest inspection
every week
 Read the sighting book on a
daily basis and initiate any
action as required
Any action taken internally or by
contractor in response to pest problems
shall be recorded in
 Sighting book, or
 Contractors log or service
report
11.2.11.4 Records of all pest control

applications shall be maintained.
11.2.11.5 Pesticides and other toxic

chemicals shall be clearly labeled and
stored as described in element 11.6.4
and handled and applied by properly
trained personnel. They shall be used
by or under direct supervision of
trained personnel with a thorough
understanding of the hazards involved,
including the potential for the
contamination of food and food contact
surfaces.
11.2.11.6 Pest control contractors shall

be:
I. Licensed and approved by the
relevant authority
II. Use only trained and qualified
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operators who comply with

regulatory requirements
III. Use only approved chemicals
IV. Provide a pest control
management plan which will
include a site map indicating
the location of bait stations and
traps
V. Report to a responsible
authorized person on entering
the premises and after the
completion of inspections or
treatments
VI. Provide a written report of their
findings and the inspections
and treatment applied
11.2.11.7 The supplier shall dispose of

unused pest control chemicals and
containers in accordance with
regulatory requirements and ensure
that:
I. Empty chemical containers are
not reused
II. Empty containers are labelled,
isolated and securely stored
while awaiting collection
III. Unused and obsolete chemicals
are stored under secure
conditions while waiting
authorized disposal by an
approved vendor
11.6.4 Storage of Hazardous Chemicals and Toxic Substances
11.6.4.1 Hazardous and chemical and
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toxic substances with the potential for

food contamination shall be stored so
as not to present a hazard to staff,
product, packaging, product handling
equipment or areas in which the
product is handled, stored or
transported.
11.6.4.2 Processing utensils and

packaging shall not be stored in areas
used to store hazardous chemicals and
toxic substances.
11.6.4.3 Daily supplies of chemical

used for continuous sanitizing of water
or as a processing aid, or for
emergency cleaning of food processing
equipment or surfaces in food contact
zones, may be stored within or in close
proximity to a processing area provided
access to the chemical storage facility
is restricted to authorized personnel.
11.6.4.4 Pesticides, rodenticides,

fumigants and insecticides shall be
stored separate from sanitizers and
detergents. All chemicals shall be
stored in their original containers.
11.6.4.5 Hazardous chemical and toxic

substance storage facilities shall:
I. Be compliant with national
and local legislation and
designed such that there is no
cross-contamination between
chemicals
ASSESSMENT WORKBOOK

II. Be adequately ventilated
III. Be provided with appropriate
signage indicating the area is a
hazardous storage area
IV. Be secure and lockable to
restrict access only to those
personnel with formal training
in the handling and use of
hazardous chemicals and toxic
substances
V. Have instructions on the safe
handling of hazardous
chemicals and toxic
substances readily accessible
to staff
VI. Be equipped with a detailed
and up to date inventory of all
chemicals contained in the
storage facility
VII. Have suitable first aid
equipment and protective
clothing available in close
proximity to the storage area
VIII. In the event of a hazardous

spill, be designed such that
spillage and drainage from the
area is contained
IX. Be equipped with spillage kits
and cleaning equipment
INTERNAL FOOD SAFETY AUDITOR
ONLINE COURSE ASSESSMENT MARKERS GUIDE
OFFLINE ASSESSMENT ACTIVITY 3: COMPLIANCE AUDIT
Activity objective: The objective of this activity is to demonstrate the ability to conduct a compliance audit and to accurately
identify and record the objective evidence.
Task: Your task is to conduct a compliance audit of the Pest Control procedure at The Crummy Cake Company.
 Review the Crummy Cake Company case study, specifically the Pest Control procedures, Pest Control records and the
Audit observations.
 Then, using the same checklist you filled partially for Activity 2, conduct a compliance audit and record the objective
evidence in the Objective Evidence column of the checklist.
Remember to save your work to your computer after completing the activity.
ASSESSMENT WORKBOOK
11.2.11.1 The methods and Are the methods and responsibilities documented?
responsibilities for integrated pest
management shall be documented and Are they effectively implemented?
effectively implemented. The premises, Are the premises, surrounding areas, storage facilities,
its surrounding areas, storage facilities, machinery and equipment kept free from debris?
machinery and equipment shall be kept
free of waste or accumulated debris so
as not to attract pests and vermin.
11.2.11.2 The pest and vermin Does the pest program:

management program shall:
Describe the methods and responsibility for the
I. Describe the methods and development, implementation and maintenance of the
responsibility for the pest program?
and maintenance of the pest Identify the target pests for each pesticide application?
and vermin management Effectively outline the methods used to prevent pest
program control problems?
II. Identify the target pests for Outline the pest control elimination methods?
Outline the frequency at which the pest status is
III. Outline the methods used to checked?
Include a site map?
IV. Outline the pest elimination
methods Does the site map clearly identify the location, number
and type of bait station?
V. Outline the frequency with
which pest status is to be List the approved chemicals used?
checked Are MSDS available?
VI. Include on a site map the How are staff made aware of the bait control program
identification, location, and the measures to take when they come into contact
number and type of bait with a bait station?
stations set
How are staff made aware and trained in the use of the
VII. List the chemicals used (they pest control program?
relevant authority and their Measure the effectiveness of the pest control program to
Material Safety Data Sheets verify that target pests have been eliminated?
ASSESSMENT WORKBOOK

make staff aware of the bait
control program and the
station
IX. Outline the requirements for
staff awareness and training in
the use of pest and vermin
pests.
11.2.11.3 Inspections for pest activity What is the frequency of inspections?

by trained personnel and the Are records of training available that demonstrate
appropriate action taken if pests are competence?
present. What actions are taken when pests are present?
procedure
locations)
as the remainder of the premises
on a monthly basis.
all insectocuters
ASSESSMENT WORKBOOK

every week
action as required
contractor in response to pest problems
shall be recorded in
 Sighting book
 Contractors log or service report
11.2.11.4 Records of all pest control Are records of pest control applications available,
applications shall be maintained. maintained and current?
11.2.11.5 Pesticides and other toxic Are pesticides and toxic chemicals labelled and stored
chemicals shall be clearly labeled and as 11.6.4?
and handled and applied by properly Are pesticides and toxic chemicals used by or under
trained personnel. They shall be used supervision of trained personnel?
by or under direct supervision of Are there records of training available?
contamination of food and food contact
surfaces.
11.2.11.6 Pest control contractors shall Are pest controls contractors licensed and is there a
be: copy of the license on file?
I. Licensed and approved by the Are there copies of training records for opertators?
relevant authority
II. Use only trained and qualified Are chemicals approved for use in food manufacturing
operators who comply with facilities?
regulatory requirements Does the site map adequately identify the locations of
III. Use only approved chemicals the bait stations?
IV. Provide a pest control Does the procedure make it a requirement that pest
management plan which will control contractors report to an authorised person on
include a site map indicating arrival and after the completion of the inspections and
the location of bait stations treatments?
and traps
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V. Report to a responsible
authorized person on entering Are there records to demonstrate this?
the premises and after the Is there a written report detailing all inspections and
completion of inspections or treatments applied?
treatments
Are there copies of the written report available?
VI. Provide a written report of
their findings and the
inspections and treatment
applied
11.2.11.7 The supplier shall dispose of Is the disposal of unused pest control chemicals in
unused pest control chemicals and accordance with regulatory requirements?
regulatory requirements and ensure How are empty containers disposed of?
that: Are empty containers reused in any way?
I. Empty chemical containers are
How are empty containers handled whilst waiting
not reused
collection?
II. Empty containers are labelled,
isolated and securely stored Is this clearly documented in a procedure?
while awaiting collection How are unused and obsolete chemicals stored whilst
III. Unused and obsolete chemicals waiting collection for disposal?
are stored under secure
conditions while waiting Is this clearly documented?
authorized disposal by an
approved vendor
11.6.4.1 Hazardous and chemical and Are pest control chemical and toxic substances
toxic substances with the potential for adequately stored so as not to present a hazard to staff,
food contamination shall be stored so product, packaging, product handling equipment or to
as not to present a hazard to staff, areas in which the product is handled, stored or
product, packaging, product handling transported?
transported.
11.6.4.2 Processing utensils and Are processing utensils and packaging stored separate
packaging shall not be stored in areas from hazardous chemicals and toxic substances?
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toxic substances.
11.6.4.3 Daily supplies of chemical No applicable to pest control.

emergency cleaning of food
processing equipment or surfaces in
food contact zones, may be stored
within or in close proximity to a
processing area provided access to the
chemical storage facility is restricted
to authorized personnel.
11.6.4.4 Pesticides, rodenticides, Are pesticides, rodenticides, fumigants and insecticides

fumigants and insecticides shall be stored separate from sanitizers and detergents?
stored separate from sanitizers and
detergents. All chemicals shall be Are all chemicals stored in their original containers?
stored in their original containers.
11.6.4.5 Hazardous chemical and toxic Are storage facilities compliant with legislation?
How do you prevent cross contamination between
I. Be compliant with national chemicals?
designed such that there is no Is storage adequately ventilated?
cross-contamination between
Is signage appropriate and does it indicate that the area
chemicals
is a hazardous storage area?
II. Be adequately ventilated
Is the storage area lockable and does it restrict access
III. Be provided with appropriate
only to those personnel with formal training in the use
signage indicating the area is
and handling of hazardous chemicals and toxic
a hazardous storage area
substances?
IV. Be secure and lockable to
restrict access only to those Are the instructions on the safe handling of hazardous
personnel with formal chemicals and toxic substances readily accessible to
training in the handling and staff?
use of hazardous chemicals Is there an up to date inventory of all chemicals
and toxic substances contained in the storage facility?
V. Have instructions on the safe
handling of hazardous Is there suitable first aid equipment and protective
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chemicals and toxic
substances readily accessible clothing available in close proximity to the storage area?
to staff Is the storage area suitably designed so that in the case
VI. Be equipped with a detailed of a hazardous spill, spillage and drainage is contained?
and up to date inventory of all
Does the storage area contain spill kits and cleaning
chemicals contained in the
equipment?
storage facility
spillage and drainage from
the area is contained
and cleaning equipment.
Legend:
Comments in purple relate to the review of the Crummy Cake procedure against the SQF element.
Comments in blue relate to the compliance audit of the records and the additional observations
INTERNAL FOOD SAFETY AUDITOR
ONLINE COURSE ASSESSMENT
OFFLINE ASSESSMENT ACTIVITY 4: CLASSIFY NON-CONFORMITIES
Activity objective: The objective of this activity is to determine how non-conformities are classified.
Task: From the compliance audit completed in Assessment Activity 3, review your audit findings and then for any
non-conformities identified classify them as Critical, Major or minor.
 Review the objective evidence you recorded for The Crummy Cake Company's Pest Control procedure, and
classify each non-conformity as Critical, Major or minor.
 Enter your classification in the Compliance column of the same checklist you filled partially for Activities 2 and
3.
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11.2.11.1 The methods and Are the methods and responsibilities documented? The procedure details the responsibilities and frequency of
responsibilities for integrated pest the monitoring activities but does not detail the
management shall be documented and Are they effectively implemented? responsibility for implementation.
effectively implemented. The Are the premises, surrounding areas, storage facilities,
premises, its surrounding areas, machinery and equipment kept free from debris?
storage facilities, machinery and
equipment shall be kept free of waste
or accumulated debris so as not to
attract pests and vermin.
11.2.11.2 The pest and vermin Does the pest program: The program does not clearly describe the methods and
management program shall: responsibilities for the development, implementation and
Describe the methods and responsibility for the maintenance of the pest control program. It states that the
I. Describe the methods and development, implementation and maintenance of the pest control contractor will maintain a manual outlining the
responsibility for the pest program? services to be provided and any actions taken.
and maintenance of the pest Identify the target pests for each pesticide application? The procedure does not name the contractor and also does
and vermin management Effectively outline the methods used to prevent pest not state the contractor’s license number. There is an extract
program control problems? from the Flop Pest Control manual but the procedure does
not identify that the Flop Pest company is the nominated
II. Identify the target pests for Outline the pest control elimination methods? contractor.
Outline the frequency at which the pest status is The procedure does not identify the target pests for each
III. Outline the methods used to checked? pesticide application on the site map.
Include a site map? The procedure does not effectively outline the pest control
IV. Outline the pest elimination elimination methods. It provides a map of the site and
methods Does the site map clearly identify the location, number
and type of bait station? identifies where bait stations and insectocuters will be
V. Outline the frequency with positioned but provides no further detail.
which pest status is to be List the approved chemicals used?
checked Are MSDS available?
Site map does not identify the location number.
VI. Include on a site map the How are staff made aware of the bait control program
identification, location, and the measures to take when they come into contact
number and type of bait with a bait station?
stations set The extract from the Flop Pest Control manual lists the
How are staff made aware and trained in the use of the chemicals however it is noted that Mothrid is not to be used
VII. List the chemicals used (they pest control program? near food. There are no application rates noted.
relevant authority and their Measure the effectiveness of the pest control program
to verify that target pests have been eliminated?
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Material Safety Data Sheets No chemical registration numbers stated in the procedure.
make staff aware of the bait The Arachnakil does not have a MSDS number stated on the
control program and the manual extract.
station The procedure does not outline the methods used to make
staff aware of the pest control program and what they need
IX. Outline the requirements for to do when they come in contact with a bait station.
staff awareness and training
in the use of pest and vermin
pests
11.2.11.3 Inspections for pest activity What is the frequency of inspections?

by trained personnel and the Are records of training available that demonstrate
appropriate action taken if pests are competence?
present. What actions are taken when pests are present?
procedure
locations)
as the remainder of the premises
on a monthly basis.
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all insectocuters

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every week
action as required
contractor in response to pest
problems shall be recorded in
 Sighting book
 Contractors log or service
report
11.2.11.4 Records of all pest control Are records of pest control applications available,
applications shall be maintained. maintained and current?
11.2.11.5 Pesticides and other toxic Are pesticides and toxic chemicals labelled and stored See comments in red under section 11.6.4
chemicals shall be clearly labeled and as 11.6.4?
and handled and applied by properly Are pesticides and toxic chemicals used by or under
trained personnel. They shall be used supervision of trained personnel?
by or under direct supervision of Are there records of training available?
contamination of food and food
contact surfaces.
11.2.11.6 Pest control contractors shall Are pest controls contractors licensed and is there a The procedure does not state the contractor’s license
be: copy of the license on file? number.
I. Licensed and approved by the Are there copies of training records for opertators? No training records were sighted.
relevant authority
Are chemicals approved for use in food manufacturing The procedure states that the chemicals used are food grade
II. Use only trained and qualified facilities? but there is no evidence that they are approved and no
operators who comply with approval numbers are cited.
regulatory requirements Does the site map adequately identify the locations of
the bait stations? Site map does not adequately identify the locations of the
III. Use only approved chemicals bait stations as per the SQF requirements. See notes above.
Does the procedure make it a requirement that pest
IV. Provide a pest control control contractors report to an authorised person on The procedure does not make it a requirement that the
management plan which will arrival and after the completion of the inspections and
ASSESSMENT WORKBOOK
include a site map indicating treatments? contractor reports to an authorised person.

the location of bait stations
and traps Are there records to demonstrate this? There were no written reports that detailed the inspections
and the treatments applied. This was confirmed by Jane
V. Report to a responsible Is there a written report detailing all inspections and Jones. The monthly inspection was evidenced by an entry
authorized person on entering treatments applied? into the Flop Pest Control log book.
the premises and after the Are there copies of the written report available?
completion of inspections or
treatments
VI. Provide a written report of
their findings and the
inspections and treatment
applied
11.2.11.7 The supplier shall dispose of Is the disposal of unused pest control chemicals in
unused pest control chemicals and accordance with regulatory requirements?
regulatory requirements and ensure How are empty containers disposed of?
that: Are empty containers reused in any way?
I. Empty chemical containers How are empty containers handled whilst waiting
are not reused collection?
II. Empty containers are labelled, Is this clearly documented in a procedure?
isolated and securely stored
while awaiting collection How are unused and obsolete chemicals stored whilst
waiting collection for disposal?
III. Unused and obsolete
chemicals are stored under Is this clearly documented?
secure conditions while
waiting authorized disposal
by an approved vendor
11.6.4.1 Hazardous and chemical and Are pest control chemical and toxic substances
toxic substances with the potential for adequately stored so as not to present a hazard to staff,
food contamination shall be stored so product, packaging, product handling equipment or to
as not to present a hazard to staff, areas in which the product is handled, stored or
product, packaging, product handling transported?
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transported.
11.6.4.2 Processing utensils and Are processing utensils and packaging stored separate
packaging shall not be stored in areas from hazardous chemicals and toxic substances?
toxic substances.
11.6.4.3 Daily supplies of chemical No applicable to pest control.

emergency cleaning of food processing
equipment or surfaces in food contact
zones, may be stored within or in close
proximity to a processing area
provided access to the chemical
storage facility is restricted to
authorized personnel.
11.6.4.4 Pesticides, rodenticides, Are pesticides, rodenticides, fumigants and

fumigants and insecticides shall be insecticides stored separate from sanitizers and
stored separate from sanitizers and detergents?
detergents. All chemicals shall be
stored in their original containers. Are all chemicals stored in their original containers?
11.6.4.5 Hazardous chemical and toxic Are storage facilities compliant with legislation?
How do you prevent cross contamination between
I. Be compliant with national chemicals?
designed such that there is no Is storage adequately ventilated?
cross-contamination between Is signage appropriate and does it indicate that the area
chemicals is a hazardous storage area?
II. Be adequately ventilated Is the storage area lockable and does it restrict access
III. Be provided with appropriate only to those personnel with formal training in the use
signage indicating the area is and handling of hazardous chemicals and toxic
a hazardous storage area substances?
IV. Be secure and lockable to Are the instructions on the safe handling of hazardous
restrict access only to those chemicals and toxic substances readily accessible to
ASSESSMENT WORKBOOK
personnel with formal staff?

training in the handling and
use of hazardous chemicals Is there an up to date inventory of all chemicals
and toxic substances contained in the storage facility?
V. Have instructions on the safe Is there suitable first aid equipment and protective
handling of hazardous clothing available in close proximity to the storage
chemicals and toxic area?
substances readily accessible Is the storage area suitably designed so that in the case
to staff of a hazardous spill, spillage and drainage is
VI. Be equipped with a detailed contained?
and up to date inventory of all Does the storage area contain spill kits and cleaning
chemicals contained in the equipment?
storage facility
spillage and drainage from the
area is contained
and cleaning equipment
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OFFLINE ASSESSMENT ACTIVITY 5: GENERATE CARS
Activity objective: Generate Corrective Action Requests (CARs) for non-conformities identified during an audit.
Task: Your task is to generate CARs based on non-conformities determined during the audit of the Pest Control
procedure at The Crummy Cake Company.
 Based on the findings that you recorded in the checklist, generate two separate CARs for any two of the non-
conformities noted. To generate the CARs, you will need to refer to all the previous information you have
documented in the checklist, such as the objective evidence captured, the non-conformities identified, their
classification, the criteria and the potential impact of the non-conformity on the organisation.
 Use the CAR forms provided below.
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CAR 1
Company Crummy Cake Company
Address 6 Sticky Way, Salmonella Town
Products
Date
Non-conformities
Reference Criteria
Evidence
Explanation/Effect
Name of the Auditor
Name of the Auditee
Corrective Action
required
Date to be completed
by
Auditee Signature
Follow up required
Evidence of
Corrective Action
Date corrective action

finalised
Auditor Signature
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CAR 2
Company Crummy Cake Company
Address 6 Sticky Way, Salmonella Town
Products
Date
Non-conformities
Reference Criteria
Evidence
Explanation/Effect
Name of the Auditor
Name of the Auditee
Corrective Action
required
Date to be completed
by
Auditee Signature
Follow up required
Evidence of
Corrective Action
Date corrective action

finalised
Auditor Signature
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OFFLINE ASSESSMENT ACTIVITY 6: CREATE AN AUDIT REPORT
Activity objective: The objective of this activity is to complete an audit report which clearly summarises the results of
the compliance audit conducted in Activity 3
Task: From your compliance audit conducted on the Pest Control procedure at The Crummy Cake Company, complete
an Audit Report which clearly summarises the results of the audit.
 You will need to refer to all the previous information you have documented, such as the audit checklist, the
objective evidence captured, the non-conformities identified and the CARs raised for the audit of the pest control
procedure.
 You must include the requirements for audit completion and conducting audit follow-up
Audit Number
Audit Scope
Audit Criteria
Audit Date
Audit Location
Auditor(s):
Auditee(s)
Summary of audit findings:
Non-conformities:
Opportunities for improvement:
Strengths:
Conclusion:
Audit Follow up requirements:
Auditors name and Signature
Auditee’s name and Signature
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Section 2: General Questions

Detailed Description
Instructions A series of 17 short-answer, multiple-choice and scenario-based questions based on what
you have learnt during the IFSA course.
Assessment Task 2: General Questions
1. CONSIDERING RISK (12 POINTS)
The purpose of this question is to consider how you would assess risk in your own organization as an internal auditor.
A. Identify an important area within your organization that may have potential risks.
B. List at least two types of information you would source to indicate risks within the area identified.
C. Who or what would you consult to determine the level of risk?
D. Briefly explain how these factors would influence the frequency of audits. Include 2 examples of specific
regulatory factors.
E. Briefly explain the purpose and minimum requirements of risk-based approaches to managing food safety
hazards, including the role of prescriptive templates or approved food safety programs, in supporting a risk-
based approach and the process used to validate these tools.
F. Identify an example of a prerequisite program in controlling hazards in your organisation, including its
relationship with the risk-based approaches.
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Notes
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2. AUDIT PLAN - ROLES AND RESPONSIBILITIES (10 POINTS)
A. Explain the roles and responsibilities of audit team members, with each of the roles listed below.
B. Identify the methods that could be used to assess and confirm the skill requirements of these roles, specifically
regarding food safety and food hygiene?
 Audit Team Leader
 Technical experts
 Guides
 Observers
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3. CONDUCTING AUDIT INTERVIEWS (10 POINTS)
The purpose of this question is to prepare you for conducting audit interviews within your organization.
Using the scope of your audit identified in Question 2 and the sections Audit Principles in Module 3 and Questioning
Techniques in Module 5 to guide you in answering the following questions.
A. List six attributes you consider important for an internal auditor within your organization to display when
conducting an audit interview specific to ISO19011:2018.
B. Why does an auditor use probing questions during an audit?
C. Provide an example of a probing question you would use in conducting an audit interview
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4. AUDIT FOLLOW UP AND REVIEW (10 POINTS)
The purpose of this question is to prepare you to identify that deficiencies identified during the audit have been
corrected during your follow-up audit. It also ensures your activity as an internal auditor contributes to the continual
improvement/review of your organization’s management systems.
Refer to Module 7 to guide you in answering the following questions:
A. List at least three sources of information that could be gathered to determine if identified deficiencies have been
corrected?
B. What would you do if those identified deficiencies were not corrected within the agreed timeframe?
C. Briefly describe how would you review the effectiveness of the audit and its contribution to the continual
improvement of your organization’s management systems?
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5. EFFECTIVE COMMUNICATION AND PERSONAL BEHAVIORS (10 POINTS)
The purpose of this question is to ensure that as an auditor you use effective communication when managing conflict
and that you maintain the personal behaviours as shown in ISO 19011:2018
Review the scenario and the responses provided.
1. Select the statement that would be most appropriate to a food safety auditor that would demonstrate the
personal behaviours shown in ISO 19011:2018
2. Comment on the suitability of each response and the possible impact on the audit, auditor and auditee. When
answering this question, consider the personal requirements of an auditor as outlined in ISO 19011:2018.
Refer to Module 5 to guide you in answering the following questions.
At the end of a long audit of Crummy Cakes your audit report identified an undisclosed allergen in the labelling of a
product. During the closing meeting you raise this as a critical non-conformance.
John, the labelling manager gets upset with your decision and says: ‘if you do that, it means we have to stop supply
today which will cost the business in excess of $10, 000, we can fix this issue overnight before the next labelling run’
How do you respond?
Response A.
“I appreciate the consequences to the business and therefore, if you can guarantee me that the problem will be fixed by
9am tomorrow, I will be satisfied and then we can overlook this in the audit report”.
Response B
‘Are you questioning my audit judgment John’?
Response C
I appreciate the consequences to the business, but as a supplier to Happy Supermarkets this represents a risk to
consumers that cannot be overlooked
Response D
“This should have been rectified earlier. All I am doing is highlighting the fact that nothing has been done since then”.
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QUESTION 6 (1 POINT)
An internal audit is also known as a:
a. Third party audit
b. Second party audit
c. First party audit
d. Certification audit
e. All of the above
An internal auditor must have knowledge of:
a. The way in which regulations, legal requirements and codes of practice are applied within the system
b. Effective communication techniques
c. Interview techniques
d. The audit criteria
e. All of the above
Audit evidence and findings must be:
a. Recorded accurately
b. Analysed
c. Prioritised
d. Summarised
e. All of the above
Which of the following responses would be inappropriate in an audit situation where conflict had arisen?
a. Listening
b. Aggressive language
c. Persuasion
d. Empathy
e. All of the above
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It would be unfeasible to conduct an audit if:
a. The auditor gets too busy
b. There is insufficient information on which to base the audit
c. The auditee is supportive of the audit
d. None of the above
e. All of the above
During planning and conducting the audit, the auditor must consider:
a. Any cultural, religious or social customs
b. Confidentiality of information
c. The appropriateness of the criteria, relevant standards and the management system
d. Techniques for establishing a positive relationship with the auditee
e. All of the above
QUESTION 12 (5 POINTS)
List six (6) Principles of Auditing, as defined by ISO 19011:2018 and provide an example of each principle in your
own words.
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a) Briefly explain the importance of confidentiality and the ways in which auditors can ensure confidentiality and
information security (maintain audit reports and notes, not discussing audit information etcetera).
b) Briefly explain the types of information that should be shared among the auditee, client, external bodies, audit
team leader and audit team members, as may be required.
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Are the following statements true or false? (Mark As “T” or “F” in the space provided.)
a. Only that part of the system relevant to the criteria or audit plan should be audited
b. The size and type of the business is not considered when developing the audit plan.
c. It is not necessary for the auditee organisation to understand risks, opportunities or the context of the
business
d. Sampling techniques are selected based on the audit objectives, scope, criteria, and risks identified in
the management system
e. Document reviews should be conducted with the relevant audit criteria.
f. Any omissions or deviations from the original plan should be recorded.
g. Relevant audit objectives, scope and criteria must be accurately defined in the audit documentation.
h. All reports and notes should be thrown away at the end of the audit.
i. The purpose and use of different work documents must be understood by the auditor
j. Auditors must assess that Top Management can demonstrate accountability, fulfilling responsibilities
and decisions to ensure the effectiveness of the management system is identified
k. Opening and closing meeting agenda guidance will not be found in ISO19011:2018
l. Auditors should minimize any interference with the auditees processes
m. Audit reports will include results, findings, conclusions and distribution criteria
n. It is not necessary to perform the audit within the agreed time schedule
o. Audit conclusions are based on sufficient and appropriate evidence
p. Schedules and required resources should be confirmed with the auditee before beginning audit activities
q. Audit reports and/or certificates should meet regulatory and client requirements
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Briefly list five ways in which an auditor can comply with the IRCA and/ or Exemplar Code of Conduct:
Briefly describe one situation where remote auditing might be appropriate, and why:
Briefly describe the process approach to auditing
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AUSTRALIA ONLY
Assessment Task 3: Workplace Evidence 1,2 and 3
Detailed Description
Instructions This post course assessment task consists of the submission of 3 assessment tasks to be
conducted in the workplace.
NB: All evidence outlined below must be submitted. If organisational confidentiality is
a concern, the identifying names of people & organisations may be blacked out or
replaced with pseudonyms.
Workplace Evidence Audit Plan – for a food safety management systems audit
Item 1
Include:
– Copy of the audit tools (e.g. checklists etc.) and indicate any modifications you
have made if you did not prepare the original tool(s)
– Copy of the audit plan
Workplace Evidence Audit Report – for a food safety management systems audit
Item 2:
Include:
– Copy of the completed audit report from the audit conducted
Workplace Evidence Supplementary Workplace Evidence – submission of a third party report

Item 3
Include:
– Completed third party audit observation from your workplace observer
ASSESSMENT WORKBOOK
INTERNAL FOOD SAFETY AUDITOR - POST COURSE ASSESSMENT
Attendees of the SAI Global’s Internal Food Safety Auditor Course, wishing to obtain a Certificate of Attainment in the
AQF unit of competency are requested to submit a report, as listed below, for marking.
You must satisfy the requirements of all three assessment tasks in order to be deemed satisfactory. If you are deemed
satisfactory in all assessment tasks contained in the Internal Food Safety Auditor course, you will be deemed competent
in the relevant units of competency.
Feedback on the submission will be returned with the report.
The assessment is to ensure that attendees understand the principles of internal auditing and are able to provide a
suitable report for internal use, including management review.
The assessment is also to ensure that attendees understand the importance of corrective action and follow-up via the
internal audit tools.
Participants acting as consultants to food businesses

For those participants acting as consultants to food businesses, you are to undertake the following assessment activities
as above on a client HACCP Plan with the following additional information:
 Contact name or auditee name, company name and phone number, date of audit for verification
Assessment Details
 Undertake an internal audit and provide a report which identifies the forms that are used for monitoring and
corrective action along with any findings from the audit.
 Provide a report on the corrective actions undertaken and evidence that corrective actions have been followed
up.
 Specify the start and finish dates of the records reviewed – ensure that the audit covers at least one month’s
review of records.
 Supply a summary of the overall audit via a report.
*Note:
A copy of the HACCP plan (as least those parts covering CCPs and QCPs) needs to be submitted with the assessment.
ASSESSMENT WORKBOOK
Workplace Evidence 1: Preparation of Two

Audit Plans
For those who work for a Company with a documented and implemented HACCP Food Safety Program, you are to
prepare two audit plans and undertake an internal audit of
(i) Good Manufacturing Practices
a. Develop an audit plan and checklist focusing on at least at least one GMP area
b. The plan must include the audit of evidence that food safety skills and knowledge of food business personnel is
commensurate with their work role for the relevant work area
(ii) Critical Control Points (and Quality Control Points where applicable) in one HACCP Plan using the following
tools:
a. Develop an audit plan and checklist focusing on at least two (2) steps that are CCPs (and QCPs), identify what
the critical limits are and check that monitoring and corrective action is being undertaken in accordance with
the monitoring procedure (to include what, how, where, when and who).
Ensure that each of the two audit plans cover as a minimum, the following information:
1. Evidence of the scope and purpose of the audit – specific standards/ legislative/ industry codes of practice/
customer requirements must be referenced as applicable. The scope and application of the audit plan is appropriate
to the size, risk, and type of auditee organization. You must include a summary of sampling arrangements.
2. Document the roles and responsibilities of the audit team leader, audit team members, and technical experts
3. Evidence of the audit checklist and /or documentation to be used.
4. Summarise your communications plan and strategies. E.g. who/ how/ what?
5. Include the audit report distribution list/ process in the audit plans
6. Evidence of confirmation of the auditee prior to conducting the audit and any resources to be used during the audit.
7. A summary of potential audit constraints and issues and how these will be addressed in the audit e.g. language,
cultural, social, security issues etc.
8. Evidence of consultation with the auditing team on determining auditing methods and techniques (where
applicable).
NB: If the audit was conducted within your own business some of these requirements may not be relevant.
However you will need to adjust the audit plan so that this information is provided, to be deemed competent.
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Notes
saiglobal.com/training | 51
ASSESSMENT WORKBOOK
Workplace Evidence 2: Copy of Detailed

Audit Report and Any Supporting Evidence
Provide a detailed audit report that you have prepared as a result of participating in an audit in a team situation. Make
sure the report covers, as a minimum, the following information:
1. Evidence of documents and records which were requested prior to the onsite audit and during the onsite audit as
part of the document review, for review and in what context these were selected (this information can be provided
via the audit checklist you have used), plus evidence of your assessment of these documents and records via notes
etc.
2. Evidence of who participated in the entry meeting for the onsite audit, their positions etc. and a summary of what
was covered in the entry meeting. A sign on sheet must be provided as evidence of attendees and the agenda of
the opening and closing meetings. Evidence of your contribution during entry and exit meeting must be provided.
3. Evidence of who was interviewed (i.e. their role and/or position – without using full names) in relation to the
documents and records and why.
4. Evidence of any issues that may have arisen during the audit and how these were resolved e.g. how any conflict,
etc. may have been dealt with (either within the audit team or with the auditee).
5. Provide evidence of actions taken in circumstances requiring the audit plan to be adjusted are identified and
negotiated in a timely manner
6. Evidence of identification of any trends and areas of risk that may have been identified.
7. Evidence of how the information has been evaluated against the audit criteria/objectives (legislation/standards,
etc.) including evidence of how you arrived at issuing any Corrective Action Requests.
8. Evidence of audit findings (including summary) and any areas for improvement as well as Corrective Action
requests.
9. Evidence of the discussions in the exit meeting and evidence of agreement to follow up Corrective Actions etc.
with the auditee.
10. Review the audit process and identify opportunities for improvement. As part of the audit review the corrective
action implementation plan defining proposed actions and timelines developed by the auditee
11. In your audit report Identify and report patterns, trends, interrelationships and areas of risk in relation to the
management system
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Notes
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Workplace Evidence 3: Third Party Report
AUDIT EVALUATION AND VERIFICATION FORMS
Workplace observer to complete:
Third Party Information and Declaration
Note to Observer
As part of the assessment for this unit of competency, the Assessor is seeking confirmation of the Candidate’s
workplace performance. This proforma should be completed by someone who has had the opportunity to closely
observe the Candidate’s performance over a period of time. This is NOT an assessment of performance but will add
to the portfolio of evidence provided to the assessor to determine the candidate’s competence against the relevant
units of competency.
Name of Third Party Observer
Work Phone Contact Information
Work Email Contact Information
What is your relationship to the

candidate?
How long have you worked with the

candidate?
What is your experience and/or

qualification(s) in the area of food safety
Management Systems?
Declaration:
I have completed the Third-Party
Observation Report below. I understand
that my role in this assessment process is
to provide evidence of the application of
skills and knowledge by the candidate in
the workplace over time.
[Signature] [Date]
ASSESSMENT WORKBOOK
Third Party Observation Report
Name of Auditor (Candidate):
Date of Audit:
Name of Organisation:
General Auditing Skills
During the planning phase did the candidate demonstrate their ability to: Yes No N/A
Source, review and interpret documentation pertaining to the audit scope and
criteria?
☐ ☐ ☐
Prepare or contribute to developing an audit plan? ☐ ☐ ☐
Prepare or modify an audit work document that reflected the scope of the audit? ☐ ☐ ☐
During the audit did the candidate demonstrate their ability to: Yes No N/A
Read and interpret information from a range of sources including documents,

interviews, observations, and review of data and reports?
☐ ☐ ☐
Use verbal communication skills to establish rapport, ask questions to gather facts
during audit interviews, and clarify information if/when needed?
☐ ☐ ☐
Use listening skills to ensure understanding and insight about aspects of the audit
subject (area, process, function)?
☐ ☐ ☐
Apply analysis skills to evaluate evidence against the criteria and generate audit
findings?
☐ ☐ ☐
Use verbal communication to convey audit conclusions during a closing meeting

using terms and language that ensures a clear understanding of audit outcomes?
☐ ☐ ☐
Engage with other audit team members to relay information or seek guidance and
clarification relating to some aspect of audit evidence?
☐ ☐ ☐
At the conclusion of the audit did the candidate demonstrate their ability to: Yes No N/A
Prepare a report that clearly communicates detailed findings and conclusions using
terms and language that ensures a clear understanding of the overall audit outcomes?
☐ ☐ ☐
Organize and store all records pertaining to the audit in accordance with
organizational policies and procedures?
☐ ☐ ☐
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Food Safety Auditing Skills
During the course of the audit observed by you: Yes No N/A
The auditor demonstrated the knowledge of the food process steps and could identify
food safety hazards
☐ ☐ ☐
Did the auditor conduct or participate in a food safety audit as part of a team in a
professional and ethical manner?
☐ ☐ ☐
Did the auditor evaluate and audit the organisation’s:

 Arrangements for identifying food safety hazards (Including the use of
templates, if used)? ☐ ☐ ☐
 Food safety risks?
 Food safety management monitoring processes?
Was the auditor able to demonstrate knowledge of the preliminary steps of HACCP? ☐ ☐ ☐
Did the auditor verify records pertaining to both HACCP and relevant prerequisite
programs during the audit?
☐ ☐ ☐
Did the auditor assess skill requirements and options to confirm that the responsible
personnel within the food business have the relevant food safety and food hygiene ☐ ☐ ☐
knowledge?
Was there appropriate use of language, terms and jargon (terminology) relating to
quality auditing and industry standards and common biological and chemical terms ☐ ☐ ☐
in both written and oral communications?
ASSESSMENT WORKBOOK
Summary
Overall what worked well?
What could be improved?
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AUSTRALIA ONLY
Assessment Task 4: Video Call
ASSESSMENT REQUIREMENTS
As stated earlier, the purpose of the video call is for the assessor to evaluate the foundation skills of participants. The
basis of this call is the submission of Assessment Parts 3 and 4 of their Assessment Activites Workbook.
Here is a list of suggested discussion points during the video call with the participants.
 Describe the organisation you audited and its context.
 What were the main challenges you faced during the audit?
 During which part of the audit did you interact with the auditee?
 How would you describe your interaction with the auditee?
 What was your role in the opening and closing meetings? What was your main learning from these meetings?
 Describe any major nonconformity you noticed and how followed up on it,
In addition, you may ask any other question related to the internal audit they participated in.
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Units of Competency
COMPETENCY AND PERFORMANCE CRITERIA
Exemplar Global: AU Management Systems Auditing
Element Performance Criteria
1 Understand the The principles of auditing as outlined in ISO 19011:2018, are understood
1.1
application of the and applied.
principles, procedures
and methods of The terms and definitions of ISO 19011:2018 are understood and applied.
1.2
auditing
1.3 Understand the different types of management system audits.
The typical process flow for conducting an audit is understood and
1.4
described.
Understand the types of risks and opportunities associated with auditing.
1.5
The application of different audit methods and the difference between

1.6
‘remote audits’ and auditing ‘virtual activities’ are understood.
2 Understand the Based on the auditee’s business and operations, the audit scope and
conduct of an effective 2.1 relevant criteria are identified ensuring they are aligned to the audit
audit in the context of program objectives.
the auditee’s
organizational Understand the factors to be considered to determine the feasibility of an
2.2
situation audit.
Relevant management system documented information of the auditee is

2.3
reviewed.
Information is collected, verified and reviewed in preparation for

2.4 developing appropriate work documents. Work documents are prepared
and the proper use of these is understood.
An audit plan is developed applying the risk-based approach to meet the
2.5
audit objectives, scope, and criteria.
3 Understand the 3.1 Audits are conducted in accordance with the audit scope using relevant
application of the documents that identify the audit objectives and criteria for a given audit.
regulations, and other
considerations that are 3.2 Understand the appropriateness and consequences of using sampling
relevant to the audit, techniques for auditing
the management
3.3 Understand auditing organizational context considering internal and
system, and the
external issues, needs and expectations of interested parties as well as the
conduct of the audit
risks and opportunities of the organization.
3.4 Understand auditing leadership and commitment with respect to
accountability, responsibilities, decision making and ensuring the
management system achieves its intended outcomes.
3.5 The roles and responsibilities of the audit team leader, audit team
members, and technical experts are understood.
3.6 Understand how organizations comply with and apply regulations, legal
requirements, industry codes of practice, and customer requirements to
their management system.
3.7 All aspects of the on-site audit activities are understood and applied.
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Exemplar Global: AU Management Systems Auditing
3.7.1. The purpose and content of the opening meeting is understood.
3.7.2. The role of communication and the types of information that

should be communicated throughout an audit are understood.
Communication methods and link between audit team and
auditee are understood.
3.7.3. Work documents are used appropriately and as necessary to
record audit findings.
3.7.4. The process approach is employed to audit the organization’s

processes and their interactions.
3.7.5. Audit activities are to be conducted such that interference with

the auditee’s work processes are minimized.
3.7.6. Adherence to the agreed time schedule is demonstrated.

3.7.7. Audit evidence is collected based on verifiable information.
3.7.8. Audit findings are generated and reviewed for relevancy and
accuracy in order to prepare audit conclusions. Findings are
appropriately documented for the type of audit being performed.
3.7.9. Audit conclusions are developed based on audit findings and
other information.
3.7.10. The purpose and content of the closing meeting is understood.
3.8 An audit report is prepared and distributed as outlined in

ISO 19011:2018.
3.9 Requirements for audit completion and conducting audit follow-up are
established, understood, and applied.
4 Practice personal
4.1 Effective and efficient means of communication are used.
behaviours necessary
for the effective and
efficient conduct of a Interview skills are used to effectively acquire information within the
4.2
management system scope of the audit.
audit
The requirements for confidentiality, information security, and
4.3
proprietary information are understood and applied.
4.4 Personal behaviours as listed in ISO 19011:2018 are demonstrated.
ASSESSMENT WORKBOOK
AUSTRALIA ONLY: COMPETENCY AND PERFORMANCE CRITERIA
Element Performance Criteria
Elements describe the essential Performance criteria describe the required performance needed to demonstrate
outcomes of a unit of achievement of the element. Where bold italicised text is used, these are detailed
competency. in the range statement. Assessment of performance is to be consistent with the
evidence guide.
1 Plan the audit 1.1 Develop an audit plan to meet the audit scope
Ensure the plan is capable of delivering the required outcomes within
1.2
resource and time allocations
Ensure the plan includes audit purpose, scope and relevant templates or
1.3
approved food safety program
1.4 Identify activities and responsibilities for the audit

Identify audit timing, including timetable for each stage of the audit
1.5
1.6 Identify resource, personnel and reporting requirements
1.7 Identify follow-up and completion procedures
Identify and establish communication protocols to facilitate the

1.8 effective exchange of information and suited to the auditee
environment
2 Confirm that the food 2.1 Define the food and the method of distribution
business has
documented required 2.2 Identify customers and intended use of food
preliminary work 2.3 Describe and document the process
Ensure the food business has checked their documentation for accuracy
2.4
and completeness
3 Confirm the food Assess the documented food safety program and related procedures and
safety program is 3.1 prerequisite programs to confirm that they have a prescriptive tool or
supported by a tool or have been validated by a technical expert
template or has been
validated Review the food business’s method of identifying and analysing food
3.2
safety hazards
Select templates, or the approved food safety program, to meet audit

3.3
scope
Adapt templates, or the approved food safety program, to suit the needs
3.4
of the business without adversely affecting food safety
Review documented verification records to confirm that the

3.5
requirements of the food safety program are being met
Assess corrective actions required, where processes are identified as

3.6 not meeting targets or critical limits, to confirm they meet the
requirements of the template or food safety program
Assess food safety prerequisite programs to confirm they are
3.7 appropriate for the food business or industry sector to maintain a safe
food environment
Review food safety program documents to confirm currency, accuracy
3.8 and adequacy to facilitate maintenance of an adequate food safety
program
4. Collect evidence to 4.1 Collect evidence to confirm that documented programs and procedures
review and assess are working effectively, reflect actual practice and are consistently
applied
ASSESSMENT WORKBOOK
implementation of Collect evidence to confirm that food safety monitoring and corrective
4.2
food safety programs actions are carried out according to procedure
Collect evidence to confirm that safety prerequisite programs are

4.3
effective and consistently followed
Collect evidence to confirm that food safety records are completed and
4.4
provide an accurate record of events
Collect evidence to confirm that records are accessed and analysed to

4.5 confirm effective program maintenance according to the template or
food safety program
Collect evidence to confirm that food safety skills and knowledge of
4.6
food business personnel is commensurate with their work role
Collect evidence to confirm that the food safety program has been
4.7 internally monitored and assessed, updated and improved by a technical
expert
5. Manage the audit Monitor audit progress against the audit plan, and identify and address
5.1
process any variation to plan
Identify and negotiate circumstances requiring the audit plan to be

5.2
adjusted in a timely manner
Ensure audit addresses audit scope and is conducted within time and
5.3
resource constraints to meet quality and professional standards
Review the audit process to identify opportunities for improvement

5.4
6. Consolidate audit Analyse and assess audit evidence to identify any areas of non-
6.1
outcomes compliance with legislation and/or the food safety program
6.2 Identify and classify non-conformities as agreed by the audit plan

Report non-conformities according to agreed client and/or legislative
6.3
requirements
6.4 Prepare and submit audit reports and/or certificates or present as

required to meet regulatory and client requirements
Ensure a corrective action implementation plan defining proposed
6.5 actions and timelines developed by the auditee is reviewed to confirm
that template or food safety program requirements are met
Review audit findings to confirm that evidence is sufficient as defined
6.6
by the template or approved food safety program
7 Confirm and close out Monitor and verify implementation and effectiveness of corrective
7.1
corrective actions action against the template or the approved food safety program
7.2 Maintain audit records to record corrective actions
This section describes those language, literacy, numeracy and employment skills
Foundation Skills that are essential for performance in this unit of competency but are not explicit
in the performance criteria.
Skill Description
Reading  Interpret food safety guidelines and regulations

 Interpret product quality and workplace procedures
ASSESSMENT WORKBOOK
Navigate the world of work  Apply knowledge of regulations and policies relevant to workplace food
safety programs
 Monitor adherence to legal and regulatory standards and responsibilities
Get the work done  Plan, monitor and manage relatively complex, routine and non-routine
tasks, making adjustments as necessary
 Use digital tools to monitor processes and access and organise complex
data

Assessment

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TRAINING

Assessment Activity Workbook

Section 1: Please provide the following contact details:

Student Full Name

Section 2: Student Declaration

Exemplar Global AU – Management Systems Auditing

NATIONALLY RECOGNISED TRAINING – AUSTRALIA ONLY

 FBPAUD4001 Assess compliance with food safety program

Re-assessment tasks will vary and may include:

Provided an alternate form of assessment

Provide the assessor with a portfolio of evidence that demonstrates competence

ASSESSMENT CONDITIONS AND CRITERIA

 relevant legislation, regulations, standards and codes

 relevant workplace documentation and resources

 relevant technology and equipment

 case studies and, where possible, real situations

 interaction with others

Type of Assessment Assessor’s Role

Assessment Task 1: Case Study Based Offline

Part 1: Online Written Assessment Activities

OFFLINE ASSESSMENT ACTIVITY 1: PREPARE AN AUDIT PLAN

 The audit criteria and any reference documents.

Company The Crummy Cake Company

Address 23, Phil Street, Baker’s Avenue, MA

Contact Robin White

Products Frozen and fresh cakes and slices

Roles and responsibilities

OFFLINE ASSESSMENT ACTIVITY 2: PREPARE A CHECKLIST

Requirement Checklist prompt Objective Evidence Compliance

11.2.11 Management of Pests and Vermin

11.2.11.1 The methods and

11.2.11.2 The pest and vermin

Requirement Checklist prompt Objective Evidence Compliance

(MSDS) made available)

11.2.11.3 Inspections for pest activity

Requirement Checklist prompt Objective Evidence Compliance

The production manager will:

11.2.11.4 Records of all pest control

11.2.11.5 Pesticides and other toxic

11.2.11.6 Pest control contractors shall

Requirement Checklist prompt Objective Evidence Compliance

operators who comply with

11.2.11.7 The supplier shall dispose of

11.6.4 Storage of Hazardous Chemicals and Toxic Substances

11.6.4.1 Hazardous and chemical and

Requirement Checklist prompt Objective Evidence Compliance

toxic substances with the potential for

11.6.4.2 Processing utensils and

11.6.4.3 Daily supplies of chemical

11.6.4.4 Pesticides, rodenticides,

11.6.4.5 Hazardous chemical and toxic

Requirement Checklist prompt Objective Evidence Compliance

VIII. In the event of a hazardous

OFFLINE ASSESSMENT ACTIVITY 3: COMPLIANCE AUDIT

Requirement Checklist prompt Objective Evidence Compliance

11.2.11 Management of Pests and Vermin

11.2.11.2 The pest and vermin Does the pest program:

Requirement Checklist prompt Objective Evidence Compliance

VIII. Outline the methods used to

11.2.11.3 Inspections for pest activity What is the frequency of inspections?

Requirement Checklist prompt Objective Evidence Compliance

Requirement Checklist prompt Objective Evidence Compliance

11.6.4 Storage of Hazardous Chemicals and Toxic Substances