Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

AMPX406 Mapping and Delivery Guide
Manage or oversee an external audit of the establishment’s quality system

Version 1.0
Issue Date: April 2024


Qualification -
Unit of Competency AMPX406 - Manage or oversee an external audit of the establishment’s quality system
Description
Employability Skills
Learning Outcomes and Application This unit describes the skills and knowledge required to prepare for and respond to an audit of a quality system conducted by an external party.This unit is applicable to managers and Quality Assurance (QA) personnel who facilitate external audits by regulators, accrediting agencies, customers or overseas reviewers.All work should be carried out to comply with workplace and regulatory requirements.This unit applies to individuals who take responsibility for their own work and for the quality of others’ work within known parameters. They provide and communicate solutions to a range of predictable and sometimes unpredictable problems.The unit must be delivered and assessed in the context of Australian meat industry standards and regulations.No occupational licensing, legislative or certification requirements are known to apply to this unit at the time of publication.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.

Competency must be demonstrated while managing or overseeing one complete external audit of the company’s quality system.

As a minimum, the following thee forms of assessment must be used:

quiz of underpinning knowledge

workplace demonstration

workplace referee or third-party report of performance over time.

All evidence must be collected in the context of current Australian meat industry standards and regulations.

Assessors must satisfy current standards for RTOs.
Prerequisites/co-requisites
Competency Field
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities 		Slides
PPT 		Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Identify audit dates
  • Document and schedule known or expected dates of external audits in accordance with workplace practices
  • Confirm dates and notify all relevant company personnel
       
Element: Identify audit scope
  • Describe and convey audit scope to people affected by external audit processes
       
Element: Identify audit team size and length/duration of the external audit
  • Identify audit team size and duration and make necessary notifications throughout the workplace
       
Element: Review internal audit reports to check areas expected to be covered in the external audit
  • Conduct internal audits, where necessary, and develop reports in accordance with workplace policy and procedures
  • Review previous internal audit reports and production reports to identify past problem areas
  • Monitor and review previous problem areas
  • Review previous customer complaints that reflect on food production and safety
       
Element: Make arrangements for the external audit process
  • Make arrangements for the external audit and confirm them with the auditors
  • Make arrangements for greeting the external auditors and the provision of a workplace guide in accordance with workplace requirements
  • Notify relevant internal departments of the arrangements
  • Determine roles and responsibilities of enterprise personnel in the audit process
       
Element: Accompany the external auditors
  • Facilitate entry and exit interviews
  • Escort external auditors for the duration of the audit in accordance with established arrangements and workplace procedures
       
Element: Report on the external audit
  • Report external audit finding in accordance with workplace requirements
  • Communicate external audit findings to relevant individuals
  • Follow up on external audit findings and take corrective action, where appropriate
       
Element: Identify audit dates
  • Document and schedule known or expected dates of external audits in accordance with workplace practices
  • Confirm dates and notify all relevant company personnel
       
Element: Identify audit scope
  • Describe and convey audit scope to people affected by external audit processes
       
Element: Identify audit team size and length/duration of the external audit
  • Identify audit team size and duration and make necessary notifications throughout the workplace
       
Element: Review internal audit reports to check areas expected to be covered in the external audit
  • Conduct internal audits, where necessary, and develop reports in accordance with workplace policy and procedures
  • Review previous internal audit reports and production reports to identify past problem areas
  • Monitor and review previous problem areas
  • Review previous customer complaints that reflect on food production and safety
       
Element: Make arrangements for the external audit process
  • Make arrangements for the external audit and confirm them with the auditors
  • Make arrangements for greeting the external auditors and the provision of a workplace guide in accordance with workplace requirements
  • Notify relevant internal departments of the arrangements
  • Determine roles and responsibilities of enterprise personnel in the audit process
       
Element: Accompany the external auditors
  • Facilitate entry and exit interviews
  • Escort external auditors for the duration of the audit in accordance with established arrangements and workplace procedures
       
Element: Report on the external audit
  • Report external audit finding in accordance with workplace requirements
  • Communicate external audit findings to relevant individuals
  • Follow up on external audit findings and take corrective action, where appropriate
       


Evidence Required

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. Identify audit dates

1.1 Document and schedule known or expected dates of external audits in accordance with workplace practices

1.2 Confirm dates and notify all relevant company personnel

2. Identify audit scope

2.1 Describe and convey audit scope to people affected by external audit processes

3. Identify audit team size and length/duration of the external audit

3.1 Identify audit team size and duration and make necessary notifications throughout the workplace

4. Review internal audit reports to check areas expected to be covered in the external audit

4.1 Conduct internal audits, where necessary, and develop reports in accordance with workplace policy and procedures

4.2 Review previous internal audit reports and production reports to identify past problem areas

4.3 Monitor and review previous problem areas

4.4 Review previous customer complaints that reflect on food production and safety

5. Make arrangements for the external audit process

5.1 Make arrangements for the external audit and confirm them with the auditors

5.2 Make arrangements for greeting the external auditors and the provision of a workplace guide in accordance with workplace requirements

5.3 Notify relevant internal departments of the arrangements

5.4 Determine roles and responsibilities of enterprise personnel in the audit process

6. Accompany the external auditors

6.1 Facilitate entry and exit interviews

6.2 Escort external auditors for the duration of the audit in accordance with established arrangements and workplace procedures

7. Report on the external audit

7.1 Report external audit finding in accordance with workplace requirements

7.2 Communicate external audit findings to relevant individuals

7.3 Follow up on external audit findings and take corrective action, where appropriate

The candidate must manage or oversee at least one complete external audit of the establishment’s quality system.

The candidate must:

apply relevant communication and problem-solving skills

work effectively as an individual and as part of a team

demonstrate clear communication and interpersonal skills related to preparing for and participating in an external audit

schedule, record the schedule and manage the planning for external audits

ensure the quality systems covering the area to be audited are in place and effective as shown by internal audit reports

identify and apply relevant workplace health and safety and regulatory requirements

use available technology to prepare for and follow up external audits

identify reports of internal and external audits and take corrective action

maintain currency of knowledge through independent research and professional development

The candidate must demonstrate a broad factual, technical and theoretical knowledge of:

regulatory and other requirements for external audits

technical and regulatory aspects covered by each external audit

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

Element

Performance criteria

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Identify audit dates

1.1 Document and schedule known or expected dates of external audits in accordance with workplace practices

1.2 Confirm dates and notify all relevant company personnel

2. Identify audit scope

2.1 Describe and convey audit scope to people affected by external audit processes

3. Identify audit team size and length/duration of the external audit

3.1 Identify audit team size and duration and make necessary notifications throughout the workplace

4. Review internal audit reports to check areas expected to be covered in the external audit

4.1 Conduct internal audits, where necessary, and develop reports in accordance with workplace policy and procedures

4.2 Review previous internal audit reports and production reports to identify past problem areas

4.3 Monitor and review previous problem areas

4.4 Review previous customer complaints that reflect on food production and safety

5. Make arrangements for the external audit process

5.1 Make arrangements for the external audit and confirm them with the auditors

5.2 Make arrangements for greeting the external auditors and the provision of a workplace guide in accordance with workplace requirements

5.3 Notify relevant internal departments of the arrangements

5.4 Determine roles and responsibilities of enterprise personnel in the audit process

6. Accompany the external auditors

6.1 Facilitate entry and exit interviews

6.2 Escort external auditors for the duration of the audit in accordance with established arrangements and workplace procedures

7. Report on the external audit

7.1 Report external audit finding in accordance with workplace requirements

7.2 Communicate external audit findings to relevant individuals

7.3 Follow up on external audit findings and take corrective action, where appropriate

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Document and schedule known or expected dates of external audits in accordance with workplace practices 
Confirm dates and notify all relevant company personnel 
Describe and convey audit scope to people affected by external audit processes 
Identify audit team size and duration and make necessary notifications throughout the workplace 
Conduct internal audits, where necessary, and develop reports in accordance with workplace policy and procedures 
Review previous internal audit reports and production reports to identify past problem areas 
Monitor and review previous problem areas 
Review previous customer complaints that reflect on food production and safety 
Make arrangements for the external audit and confirm them with the auditors 
Make arrangements for greeting the external auditors and the provision of a workplace guide in accordance with workplace requirements 
Notify relevant internal departments of the arrangements 
Determine roles and responsibilities of enterprise personnel in the audit process 
Facilitate entry and exit interviews 
Escort external auditors for the duration of the audit in accordance with established arrangements and workplace procedures 
Report external audit finding in accordance with workplace requirements 
Communicate external audit findings to relevant individuals 
Follow up on external audit findings and take corrective action, where appropriate 
Document and schedule known or expected dates of external audits in accordance with workplace practices 
Confirm dates and notify all relevant company personnel 
Describe and convey audit scope to people affected by external audit processes 
Identify audit team size and duration and make necessary notifications throughout the workplace 
Conduct internal audits, where necessary, and develop reports in accordance with workplace policy and procedures 
Review previous internal audit reports and production reports to identify past problem areas 
Monitor and review previous problem areas 
Review previous customer complaints that reflect on food production and safety 
Make arrangements for the external audit and confirm them with the auditors 
Make arrangements for greeting the external auditors and the provision of a workplace guide in accordance with workplace requirements 
Notify relevant internal departments of the arrangements 
Determine roles and responsibilities of enterprise personnel in the audit process 
Facilitate entry and exit interviews 
Escort external auditors for the duration of the audit in accordance with established arrangements and workplace procedures 
Report external audit finding in accordance with workplace requirements 
Communicate external audit findings to relevant individuals 
Follow up on external audit findings and take corrective action, where appropriate 

Forms

Assessment Cover Sheet

AMPX406 - Manage or oversee an external audit of the establishment’s quality system
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

AMPX406 - Manage or oversee an external audit of the establishment’s quality system

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: