Undertake compliance audits

Formats and tools

Unit Description
Reconstruct the unit from the xml and display it as an HTML page.
Assessment Tool
an assessor resource that builds a framework for writing an assessment tool
Assessment Template
generate a spreadsheet for marking this unit in a classroom environment. Put student names in the top row and check them off as they demonstrate competenece for each of the unit's elements and performance criteria.
Assessment Matrix
a slightly different format than the assessment template. A spreadsheet with unit names, elements and performance criteria in separate columns. Put assessment names in column headings to track which performance criteria each one covers. Good for ensuring that you've covered every one of the performance criteria with your assessment instrument (all assessement tools together).
Wiki Markup
mark up the unit in a wiki markup codes, ready to copy and paste into a wiki page. The output will work in most wikis but is designed to work particularly well as a Wikiversity learning project.
Evidence Guide
create an evidence guide for workplace assessment and RPL applicants
Competency Mapping Template
Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners. A template for developing assessments for a unit, which will help you to create valid, fair and reliable assessments for the unit, ready to give to trainers and students
Observation Checklist
create an observation checklist for workplace assessment and RPL applicants. This is similar to the evidence guide above, but a little shorter and friendlier on your printer. You will also need to create a seperate Assessor Marking Guide for guidelines on gathering evidence and a list of key points for each activity observed using the unit's range statement, required skills and evidence required (see the unit's html page for details)

Self Assessment Survey
A form for students to assess thier current skill levels against each of the unit's performance criteria. Cut and paste into a web document or print and distribute in hard copy.
Moodle Outcomes
Create a csv file of the unit's performance criteria to import into a moodle course as outcomes, ready to associate with each of your assignments. Here's a quick 'how to' for importing these into moodle 2.x
Registered Training Organisations
Trying to find someone to train or assess you? This link lists all the RTOs that are currently registered to deliver PSPREG017, 'Undertake compliance audits'.
Google Links
links to google searches, with filtering in place to maximise the usefulness of the returned results
Reference books for 'Undertake compliance audits' on fishpond.com.au. This online store has a huge range of books, pretty reasonable prices, free delivery in Australia *and* they give a small commission to ntisthis.com for every purchase, so go nuts :)

Elements and Performance Criteria



Elements describe the essential outcomes

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions section.

1. Assist in audit planning

1.1 Identify the audit objectives, scope and focus.

1.2 Identify relevant operational and information systems in the audit context.

1.3 Identify audit team roles and key audit techniques.

1.4 Prepare an audit plan that meets organisational requirements and the objectives of the audit.

1.5 Prepare audit documentation.

1.6 Conduct pre audit communication with the client to be audited.

2. Undertake preliminary activities

2.1 Identify concepts, systems and reports relevant to the audit.

2.2 Perform analytical checks are performed.

2.3 Make and consider initial assessment to ensure it is appropriate and accurate.

2.4 Identify appropriate and significant controls and design control tests.

2.5 Undertake risk assessment activities to determine risks and risk treatments necessary.

3. Undertake audit activity as a member of a team

3.1 Identify sampling techniques to suit audit requirements and apply.

3.2 Test and assess controls in accordance with the audit plan

3.3 Conduct substantive testing when necessary.

3.4 Select and use technology in line with audit requirements.

3.5 Prepare audit documentation and working papers according to the established format.

4. Deal with audit issues

4.1 Identify and refer situations requiring specialist input.

4.2 Identify and refer situations requiring referral to other areas or agencies promptly.

4.3 Deal with issues which arise during the audit in a professional manner.

5. Contribute to the reporting and presentation of audit findings

5.1 Prepare audit reports in the approved format.

5.2 Conduct discussions with the client on audit findings in a professional manner.

5.3 Prepare internal reports in the required style and format.

5.4 Make final recommendations on action promptly.

5.5 Receive responses to audit recommendations and finalise the audit.

5.6 Record audit findings in information management systems.