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

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

 

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

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

Identify audit dates

  1. Document and schedule known or expected dates of external audits in accordance with workplace practices
  2. Confirm dates and notify all relevant company personnel
Document and schedule known or expected dates of external audits in accordance with workplace practices

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm dates and notify all relevant company personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify audit scope

  1. Describe and convey audit scope to people affected by external audit processes
Describe and convey audit scope to people affected by external audit processes

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

  1. Conduct internal audits, where necessary, and develop reports in accordance with workplace policy and procedures
  2. Review previous internal audit reports and production reports to identify past problem areas
  3. Monitor and review previous problem areas
  4. Review previous customer complaints that reflect on food production and safety
Conduct internal audits, where necessary, and develop reports in accordance with workplace policy and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor and review previous problem areas

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review previous customer complaints that reflect on food production and safety

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Make arrangements for the external audit process

  1. Make arrangements for the external audit and confirm them with the auditors
  2. Make arrangements for greeting the external auditors and the provision of a workplace guide in accordance with workplace requirements
  3. Notify relevant internal departments of the arrangements
  4. Determine roles and responsibilities of enterprise personnel in the audit process
Make arrangements for the external audit and confirm them with the auditors

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Notify relevant internal departments of the arrangements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine roles and responsibilities of enterprise personnel in the audit process

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Accompany the external auditors

  1. Facilitate entry and exit interviews
  2. Escort external auditors for the duration of the audit in accordance with established arrangements and workplace procedures
Facilitate entry and exit interviews

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report on the external audit

  1. Report external audit finding in accordance with workplace requirements
  2. Communicate external audit findings to relevant individuals
  3. Follow up on external audit findings and take corrective action, where appropriate
Report external audit finding in accordance with workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate external audit findings to relevant individuals

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify audit dates

  1. Document and schedule known or expected dates of external audits in accordance with workplace practices
  2. Confirm dates and notify all relevant company personnel
Document and schedule known or expected dates of external audits in accordance with workplace practices

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm dates and notify all relevant company personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify audit scope

  1. Describe and convey audit scope to people affected by external audit processes
Describe and convey audit scope to people affected by external audit processes

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

  1. Conduct internal audits, where necessary, and develop reports in accordance with workplace policy and procedures
  2. Review previous internal audit reports and production reports to identify past problem areas
  3. Monitor and review previous problem areas
  4. Review previous customer complaints that reflect on food production and safety
Conduct internal audits, where necessary, and develop reports in accordance with workplace policy and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor and review previous problem areas

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review previous customer complaints that reflect on food production and safety

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Make arrangements for the external audit process

  1. Make arrangements for the external audit and confirm them with the auditors
  2. Make arrangements for greeting the external auditors and the provision of a workplace guide in accordance with workplace requirements
  3. Notify relevant internal departments of the arrangements
  4. Determine roles and responsibilities of enterprise personnel in the audit process
Make arrangements for the external audit and confirm them with the auditors

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Notify relevant internal departments of the arrangements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine roles and responsibilities of enterprise personnel in the audit process

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Accompany the external auditors

  1. Facilitate entry and exit interviews
  2. Escort external auditors for the duration of the audit in accordance with established arrangements and workplace procedures
Facilitate entry and exit interviews

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report on the external audit

  1. Report external audit finding in accordance with workplace requirements
  2. Communicate external audit findings to relevant individuals
  3. Follow up on external audit findings and take corrective action, where appropriate
Report external audit finding in accordance with workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate external audit findings to relevant individuals

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

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. 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

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. 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

Range Statement