Unit of competency Outline

Date retreived
22/07/2026 2:08 PM AWST

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Undertake compliance audits

Undertake compliance audits

Unit of competency
National Code
PSPREG043
State Code
ODW73
TGA Status
Current
DTWD Status
Approved
Current Release Number
1.00
Current Release Date
03/04/2022
View on TGA
State Implementation and Classification
Approved Date
08/07/2022
Field of Education
080317 - Quality Management
Original Release Date
08/07/2022
Nominal Hours
50
Description
This unit describes the performance outcomes, skills and knowledge required to perform comprehensive compliance audits. This unit applies to those working in public sector roles conducting regulatory activities. Those undertaking this unit work independently as part of a team, performing complex tasks in a range of familiar contexts.The skills in this unit must be applied in accordance with Commonwealth and State or Territory legislation, Australian standards and industry codes of practice.No occupational licensing, certification or specific legislative requirements apply to this unit at the time of publication.
Notes
Elements and Performance Criteria
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 required audit documentation.
  • 1.6. Conduct pre-audit communication with the representative(s) of the regulated entity to be audited.
2. Undertake preliminary activities.
  • 2.1. Identify concepts, systems and reports relevant to the audit.
  • 2.2. Perform analytical checks in accordance with procedures.
  • 2.3. Make and consider initial assessment to ensure assessment 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.
3. Undertake audit activity as a member of a team.
  • 3.1. Identify and apply sampling techniques to suit audit requirements.
  • 3.2. Test and assess controls in accordance with the audit plan.
  • 3.3. Conduct substantive testing that reflects audit scope.
  • 3.4. Select and use technology to suit audit requirements.
  • 3.5. Prepare audit documentation and working papers in accordance with established format.
4. Address audit issues.
  • 4.1. Identify and refer situations requiring specialist input.
  • 4.2. Identify and refer situations requiring referral to other areas or agencies.
  • 4.3. Address issues which arise during the audit in a professional manner.
5. Contribute to reporting and presentation of audit findings.
  • 5.1. Prepare audit reports in the approved format.
  • 5.2. Conduct discussions with the representative(s) of the regulated entity 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.
  • 5.5. Receive responses to audit recommendations and finalise the audit.
  • 5.6. Record audit findings in information management systems.
No information
No information
Replaces
State Code National Code Title Type
AWT81 PSPREG017 Undertake compliance audits Unit of competency
State Code National Code Title Type
BHO9 PSP40122 Certificate IV in Government Qualification