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Evidence Guide: AMPX425 - 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

 

AMPX425 - 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 objective(s), scope and criteria of 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 objective(s), scope and criteria of 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 against criteria
  2. Ensure the checklist covers all applicable regulations and/or commercial requirements as defined by the scope
Develop checklist against criteria

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure the checklist 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 enterprise documents for review
  2. Review documents against the prepared checklist and determine compliance with each element on the checklist
  3. Identify and raise non-conformances against nominated criteria
Identify and retrieve required enterprise documents for review

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review documents against the prepared checklist and determine compliance with each element on the checklist

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
  3. Close out audit
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:

 

 

 

 

 

 

 

Close out audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm and close out corrective actions

  1. Evaluate and report the effectiveness of the corrective action after an agreed time interval
  2. Close out Corrective Actions according to workplace requirements
Evaluate and report 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:

 

 

 

 

 

 

 

Plan the document review

  1. Determine the objective(s), scope and criteria of 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 objective(s), scope and criteria of 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 against criteria
  2. Ensure the checklist covers all applicable regulations and/or commercial requirements as defined by the scope
Develop checklist against criteria

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure the checklist 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 enterprise documents for review
  2. Review documents against the prepared checklist and determine compliance with each element on the checklist
  3. Identify and raise non-conformances against nominated criteria
Identify and retrieve required enterprise documents for review

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review documents against the prepared checklist and determine compliance with each element on the checklist

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
  3. Close out audit
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:

 

 

 

 

 

 

 

Close out audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm and close out corrective actions

  1. Evaluate and report the effectiveness of the corrective action after an agreed time interval
  2. Close out Corrective Actions according to workplace requirements
Evaluate and report 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:

 

 

 

 

 

 

 

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 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

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 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

Range Statement