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 PSPREG417A, '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



1. Assist in audit planning

1.1 The audit objectives, scope and focus are identified.

1.2 Relevant operational and information systems in the audit context are identified.

1.3 Audit team roles and key audit techniques are identified.

1.4 An audit plan is prepared that meets organisational requirements and the objectives of the audit.

1.5 Audit documentation is prepared according to organisational policies and guidelines.

1.6 Pre-audit communication is conducted with the client to be audited in accordance with organisational policy and procedures.

2. Undertake preliminary activities

2.1 Concepts, systems and reports relevant to the audit are identified.

2.2 Analytical checks are performed in accordance with organisational policy and procedures.

2.3 Initial assessment is made, and considered to ensure it is appropriate and accurate.

2.4 Appropriate and significant controls are identified and control tests are designed.

2.5 Risk assessment activities are undertaken to determine risks and risk treatments necessary.

3. Undertake audit activity as a member of a team

3.1 Sampling techniques are identified to suit audit requirements and are applied according to established procedures.

3.2 Controls are tested and assessed in accordance with the audit plan.

3.3 Substantive testing is conducted.

3.4 Technology is selected and used in line with audit requirements.

3.5 Audit documentation and working papers are prepared according to the established format.

4. Deal with audit issues

4.1 Situations requiring specialist input are identified and referred for action.

4.2 Situations requiring referral to other areas are identified and referred in a timely manner.

4.3 Issues which arise during the audit are dealt with in a professional manner in accordance with organisational policy and procedures.

5. Contribute to the reporting and presentation of audit findings

5.1 Audit reports are prepared in the approved format.

5.2 Discussions with the client on audit findings are conducted in a professional manner.

5.3 Internal reports are prepared in the required style and format.

5.4 Final recommendations on action are made according to organisational policies and guidelines, and in a timely manner.

5.5 Responses to audit recommendations are received and the audit is finalised in accordance with organisational policy and procedures.

5.6 Audit findings are recorded in information management systems in accordance with organisational policy and procedures.

Qualifications and Skillsets

PSPREG417A appears in the following qualifications:

  • FNS51710 - Diploma of Applied Anti-Money Laundering and Counter Terrorism Financing Management
  • CSC40107 - Certificate IV in Correctional Practice
  • PSP41004 - Certificate IV in Government (Land Administration)
  • PSP42108 - Certificate IV in Government (Revenue Administration)
  • PSP40204 - Certificate IV in Government (Border Protection)
  • PSP41404 - Certificate IV in Government (Statutory Compliance)
  • PSP41804 - Certificate IV in Government (Road Transport Compliance)