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Evidence Guide: AMPX404 - Conduct an internal audit of a documented program

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

 

AMPX404 - Conduct an internal audit of a documented program

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

Plan the audit

  1. Interpret audit schedule and plan and organise the timely conduct of internal audit
  2. Determine objectives, scope and criteria of audit according to workplace requirements
  3. Assemble and brief audit team, as required, about the objectives, scope and criteria of the audit
  4. Notify those affected by and involved in the audit and document responsibilities according to workplace requirements
  5. Notify stakeholders involved in an internal audit according to workplace requirements
  6. Identify procedures, records and workplace documentation needed for the audit
  7. Document evidence collection methods and sources to be used during the audit, including developing workplace checklists in accordance with workplace specifications
  8. Conduct a document review prior to audit
Interpret audit schedule and plan and organise the timely conduct of internal audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine objectives, scope and criteria of audit according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assemble and brief audit team, as required, about the objectives, scope and criteria of the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Notify those affected by and involved in the audit and document responsibilities according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Notify stakeholders involved in an internal audit according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify procedures, records and workplace documentation needed for the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document evidence collection methods and sources to be used during the audit, including developing workplace checklists in accordance with workplace specifications

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct a document review prior to audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct the audit

  1. Conduct an entry meeting with relevant parties to explain the purpose, scope and criteria for the audit, the methods to be used for conducting the audit, and procedures for reporting and following up results
  2. Conduct an audit of the program in accordance with workplace and regulatory requirements
  3. Use effective communication skills when conducting the audit
  4. Collect verifiable objective evidence against the criteria of the audit
  5. Make findings using the objective evidence against the audit criteria
  6. Identify and categorise non-conformances according to workplace requirements
  7. Record audit activity according to workplace requirements
Conduct an entry meeting with relevant parties to explain the purpose, scope and criteria for the audit, the methods to be used for conducting the audit, and procedures for reporting and following up results

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct an audit of the program in accordance with workplace and regulatory requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use effective communication skills when conducting the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Collect verifiable objective evidence against the criteria of the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Make findings using the objective evidence against the audit criteria

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and categorise non-conformances according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Record audit activity according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report on audit findings

  1. Prepare an audit report, detailing areas of the program which were audited and findings against the audit criteria, including non-conformances, where applicable
  2. Document objective evidence according to workplace standards
  3. Keep records of audit process, objective evidence and findings in accordance with workplace and regulatory requirements
  4. Report findings according to workplace requirements
Prepare an audit report, detailing areas of the program which were audited and findings against the audit criteria, including non-conformances, where applicable

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document objective evidence according to workplace standards

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Keep records of audit process, objective evidence and findings in accordance with workplace and regulatory requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report findings according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm and close out corrective action

  1. Verify the effectiveness of corrective actions
  2. Maintain records of the effectiveness of corrective actions
Verify the effectiveness of corrective actions

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain records of the effectiveness of corrective actions

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan the audit

  1. Interpret audit schedule and plan and organise the timely conduct of internal audit
  2. Determine objectives, scope and criteria of audit according to workplace requirements
  3. Assemble and brief audit team, as required, about the objectives, scope and criteria of the audit
  4. Notify those affected by and involved in the audit and document responsibilities according to workplace requirements
  5. Notify stakeholders involved in an internal audit according to workplace requirements
  6. Identify procedures, records and workplace documentation needed for the audit
  7. Document evidence collection methods and sources to be used during the audit, including developing workplace checklists in accordance with workplace specifications
  8. Conduct a document review prior to audit
Interpret audit schedule and plan and organise the timely conduct of internal audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine objectives, scope and criteria of audit according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assemble and brief audit team, as required, about the objectives, scope and criteria of the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Notify those affected by and involved in the audit and document responsibilities according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Notify stakeholders involved in an internal audit according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify procedures, records and workplace documentation needed for the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document evidence collection methods and sources to be used during the audit, including developing workplace checklists in accordance with workplace specifications

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct a document review prior to audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct the audit

  1. Conduct an entry meeting with relevant parties to explain the purpose, scope and criteria for the audit, the methods to be used for conducting the audit, and procedures for reporting and following up results
  2. Conduct an audit of the program in accordance with workplace and regulatory requirements
  3. Use effective communication skills when conducting the audit
  4. Collect verifiable objective evidence against the criteria of the audit
  5. Make findings using the objective evidence against the audit criteria
  6. Identify and categorise non-conformances according to workplace requirements
  7. Record audit activity according to workplace requirements
Conduct an entry meeting with relevant parties to explain the purpose, scope and criteria for the audit, the methods to be used for conducting the audit, and procedures for reporting and following up results

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct an audit of the program in accordance with workplace and regulatory requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use effective communication skills when conducting the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Collect verifiable objective evidence against the criteria of the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Make findings using the objective evidence against the audit criteria

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and categorise non-conformances according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Record audit activity according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report on audit findings

  1. Prepare an audit report, detailing areas of the program which were audited and findings against the audit criteria, including non-conformances, where applicable
  2. Document objective evidence according to workplace standards
  3. Keep records of audit process, objective evidence and findings in accordance with workplace and regulatory requirements
  4. Report findings according to workplace requirements
Prepare an audit report, detailing areas of the program which were audited and findings against the audit criteria, including non-conformances, where applicable

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document objective evidence according to workplace standards

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Keep records of audit process, objective evidence and findings in accordance with workplace and regulatory requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report findings according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm and close out corrective action

  1. Verify the effectiveness of corrective actions
  2. Maintain records of the effectiveness of corrective actions
Verify the effectiveness of corrective actions

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain records of the effectiveness of corrective actions

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

Element

Performance criteria

Elements describe the essential outcomes.

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

1. Plan the audit

1.1 Interpret audit schedule and plan and organise the timely conduct of internal audit

1.2 Determine objectives, scope and criteria of audit according to workplace requirements

1.3 Assemble and brief audit team, as required, about the objectives, scope and criteria of the audit

1.4 Notify those affected by and involved in the audit and document responsibilities according to workplace requirements

1.5 Notify stakeholders involved in an internal audit according to workplace requirements

1.6 Identify procedures, records and workplace documentation needed for the audit

1.7 Document evidence collection methods and sources to be used during the audit, including developing workplace checklists in accordance with workplace specifications

1.8 Conduct a document review prior to audit

2. Conduct the audit

2.1 Conduct an entry meeting with relevant parties to explain the purpose, scope and criteria for the audit, the methods to be used for conducting the audit, and procedures for reporting and following up results

2.2 Conduct an audit of the program in accordance with workplace and regulatory requirements

2.3 Use effective communication skills when conducting the audit

2.4 Collect verifiable objective evidence against the criteria of the audit

2.5 Make findings using the objective evidence against the audit criteria

2.6 Identify and categorise non-conformances according to workplace requirements

2.7 Record audit activity according to workplace requirements

3. Report on audit findings

3.1 Prepare an audit report, detailing areas of the program which were audited and findings against the audit criteria, including non-conformances, where applicable

3.2 Document objective evidence according to workplace standards

3.3 Keep records of audit process, objective evidence and findings in accordance with workplace and regulatory requirements

3.4 Report findings according to workplace requirements

4. Confirm and close out corrective action

4.1 Verify the effectiveness of corrective actions

4.2 Maintain records of the effectiveness of corrective actions

Required Skills and Knowledge

Element

Performance criteria

Elements describe the essential outcomes.

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

1. Plan the audit

1.1 Interpret audit schedule and plan and organise the timely conduct of internal audit

1.2 Determine objectives, scope and criteria of audit according to workplace requirements

1.3 Assemble and brief audit team, as required, about the objectives, scope and criteria of the audit

1.4 Notify those affected by and involved in the audit and document responsibilities according to workplace requirements

1.5 Notify stakeholders involved in an internal audit according to workplace requirements

1.6 Identify procedures, records and workplace documentation needed for the audit

1.7 Document evidence collection methods and sources to be used during the audit, including developing workplace checklists in accordance with workplace specifications

1.8 Conduct a document review prior to audit

2. Conduct the audit

2.1 Conduct an entry meeting with relevant parties to explain the purpose, scope and criteria for the audit, the methods to be used for conducting the audit, and procedures for reporting and following up results

2.2 Conduct an audit of the program in accordance with workplace and regulatory requirements

2.3 Use effective communication skills when conducting the audit

2.4 Collect verifiable objective evidence against the criteria of the audit

2.5 Make findings using the objective evidence against the audit criteria

2.6 Identify and categorise non-conformances according to workplace requirements

2.7 Record audit activity according to workplace requirements

3. Report on audit findings

3.1 Prepare an audit report, detailing areas of the program which were audited and findings against the audit criteria, including non-conformances, where applicable

3.2 Document objective evidence according to workplace standards

3.3 Keep records of audit process, objective evidence and findings in accordance with workplace and regulatory requirements

3.4 Report findings according to workplace requirements

4. Confirm and close out corrective action

4.1 Verify the effectiveness of corrective actions

4.2 Maintain records of the effectiveness of corrective actions

The candidate must conduct an internal audit of at least one complete section of a documented program.

The candidate must:

locate relevant commonwealth, state and/or territory legislation, regulations and related codes of practice and determine the legal responsibilities of the business

locate relevant codes or compliance program requirements

communicate the audit process, requirements and findings to relevant personnel clearly and accurately

apply planning skills to ensure the smooth conduct of the audit process

use negotiation skills to organise and facilitate audit processes, including following meeting procedures and resolving issues

identify and follow an audit trail

conduct research to identify, collect and analyse evidence

gather, analyse and record data accurately

plan and organise audit activities

use information systems, technologies and software to manage security, authorisation and distribution of audit data and records

interpret evidence and make a judgement on the level of compliance

prepare well-balanced, factual and objective written audit reports

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

audit management processes to develop and implement an audit against an agreed plan, including an understanding of the scope/level of authority to revise the resource and allocate time allocations to take account of variation to plan

legislation, regulations, orders, codes and standards applicable to the areas being audited

communication methods relevant to different groups and audience

evidence appropriate for use in audit processes, including an understanding of the difference between objective and hearsay evidence and methods for recording and managing evidence to provide reliable reference information in the event that evidence is challenged

evidence collection methods including record sampling and sample analysis, including an understanding of the evidence collection options relevant to a given audit situation, the reliability of each collection method and the range/extent of evidence collection methods required to ensure that audit outcomes are objective, consistent, fair and reliable

legislation that impacts on acceptable communication methods and conduct including anti-discrimination, anti-harassment and privacy legislation

methods used to identify Critical Control Points and establish critical limits, appropriate to the nature of the hazard, the requirements of the audit and the industry sector

personal attributes required of an auditor

the internal auditing policies and procedures of the workplace

the structure, authority levels and lines of reporting within the organisation

the underlying principles of risk-based approaches to controlling food safety hazards including HACCP as described in the Codex Alimentarius Guidelines

vocabulary and terms relating to food safety, including terms and jargon used to describe technical processes, industry standards and common biological and chemical terms

Range Statement