List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.
Element | Performance criteria |
Elements describe the essential outcomes. | Performance criteria describe the performance needed to demonstrate achievement of the element. |
1. Plan the document review | 1.1 Determine the objective(s), scope and criteria of the document review 1.2 Identify relevant and current regulatory and commercial requirements 1.3 Define audit client and reporting processes 1.4 Select an audit team with appropriate technical expertise against the scope |
2. Develop document review checklist | 2.1 Develop checklist against criteria 2.2 Ensure the checklist covers all applicable regulations and/or commercial requirements as defined by the scope |
3. Conduct document review | 3.1 Identify and retrieve required enterprise documents for review 3.2 Review documents against the prepared checklist and determine compliance with each element on the checklist 3.3 Identify and raise non-conformances against nominated criteria |
4. Report on outcomes of document review | 4.1 Collate and report on findings according to workplace requirements 4.2 Consult with relevant personnel and raise corrective actions where required according to workplace requirements 4.3 Close out audit |
5. Confirm and close out corrective actions | 5.1 Evaluate and report the effectiveness of the corrective action after an agreed time interval 5.2 Close out Corrective Actions according to workplace requirements |
The candidates must conduct a document review.
The candidate must:
complete at least one document review of a section of the Approved Arrangement or Quality System within area of technical expertise
establish the authenticity of the documents being audited
identify and assemble documents for a minimum of one audit of an Approved Arrangement or Quality System
develop and validate a checklist for the audit
verify compliance with regulatory systems and/or commercial requirements
explain the process of audit and the reasons for the findings made
be able to reference the specific requirement that has not been met when a non-conformity is issued
plan and organise audit activities to conduct the audit effectively
use information systems, technologies and software, where applicable, to manage security, authorisation and distribution of audit data and records
interpret evidence and make a judgment on the level of compliance
prepare well-balanced, factual and objective written audit reports
use communication methods relevant to different groups and audience
The candidate must demonstrate a broad factual, technical and theoretical knowledge of:
the specified regulatory and commercial requirements and their impact on the nominated enterprise
audit management to develop an audit plan and audit processes
legislation, regulations, orders, codes and standards applicable to the areas being audited
the structure, authority levels and lines of reporting within the organisation
Assessment may take place using a sample Approved Arrangement or Quality Assurance system; however, all evidence collected must meet minimum regulatory and commercial requirements.
All evidence must be collected in the context of current Australian standards and regulations, as well as commercial standards which relate to the enterprise.
The assessor and/or assessment team must demonstrate a current working knowledge of the nature, structure and purpose of Approved Arrangements or Quality Assurance system and the regulatory and commercial requirements impacting the nominated enterprise.
The following three forms of assessment must be used:
Written test or quiz
Workplace Project
Workplace referees report
Assessors must satisfy current standards for RTOs.