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Evidence Guide: AMPQUA418 - Conduct a document review

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

AMPQUA418 - Conduct a document review

What evidence can you provide to prove your understanding of each of the following citeria?

Plan the document review

  1. Determine the objectives, scope and criteria for the document review
  2. Identify relevant and current regulatory and commercial requirements
  3. Define audit client and reporting processes
  4. Select an audit team with appropriate technical expertise against the scope
Determine the objectives, scope and criteria for the document review

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify relevant and current regulatory and commercial requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Define audit client and reporting processes

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Select an audit team with appropriate technical expertise against the scope

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop document review checklist

  1. Develop checklist questions against the document review criteria
  2. Validate the checklist and ensure it covers all applicable regulations and/or commercial requirements as defined by the scope
Develop checklist questions against the document review criteria

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Validate the checklist and ensure it covers all applicable regulations and/or commercial requirements as defined by the scope

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct document review

  1. Identify and retrieve required workplace documents for review from workplace system
  2. Establish the authenticity of the documents being reviewed
  3. Identify and raise non-conformances against nominated criteria
Identify and retrieve required workplace documents for review from workplace system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish the authenticity of the documents being reviewed

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and raise non-conformances against nominated criteria

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report on outcomes of document review

  1. Collate and report on findings according to workplace requirements
  2. Consult with relevant personnel and raise corrective actions where required according to workplace requirements
Collate and report on findings according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consult with relevant personnel and raise corrective actions where required according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm and close out corrective actions

  1. Evaluate the effectiveness of the corrective action after an agreed time interval
  2. Close out corrective actions according to workplace requirements
  3. Report on the document review and corrective actions taken
Evaluate the effectiveness of the corrective action after an agreed time interval

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Close out corrective actions according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report on the document review and corrective actions taken

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Required Skills and Knowledge