PSPREG043 — Undertake compliance audits

1 Assist in audit planning.

• 1.1Identify the audit objectives, scope and focus.
• 1.2Identify relevant operational and information systems in the audit context.
• 1.3Identify audit team roles and key audit techniques.
• 1.4Prepare an audit plan that meets organisational requirements and the objectives of the audit.
• 1.5Prepare required audit documentation.
• 1.6Conduct pre-audit communication with the representative(s) of the regulated entity to be audited.

2 Undertake preliminary activities.

• 2.1Identify concepts, systems and reports relevant to the audit.
• 2.2Perform analytical checks in accordance with procedures.
• 2.3Make and consider initial assessment to ensure assessment is appropriate and accurate.
• 2.4Identify appropriate and significant controls and design control tests.
• 2.5Undertake risk assessment activities to determine risks and risk treatments.

3 Undertake audit activity as a member of a team.

• 3.1Identify and apply sampling techniques to suit audit requirements.
• 3.2Test and assess controls in accordance with the audit plan.
• 3.3Conduct substantive testing that reflects audit scope.
• 3.4Select and use technology to suit audit requirements.
• 3.5Prepare audit documentation and working papers in accordance with established format.

4 Address audit issues.

• 4.1Identify and refer situations requiring specialist input.
• 4.2Identify and refer situations requiring referral to other areas or agencies.
• 4.3Address issues which arise during the audit in a professional manner.

5 Contribute to reporting and presentation of audit findings.

• 5.1Prepare audit reports in the approved format.
• 5.2Conduct discussions with the representative(s) of the regulated entity on audit findings in a professional manner.
• 5.3Prepare internal reports in the required style and format.
• 5.4Make final recommendations on action.
• 5.5Receive responses to audit recommendations and finalise the audit.
• 5.6Record audit findings in information management systems.

What does an assessment tool for PSPREG043 need to cover?

To satisfy the Principles of Assessment and Rules of Evidence, an assessment for PSPREG043 needs to address all 43 unit components: 5 elements with 25 performance criteria, 3 performance evidence requirements, 10 knowledge evidence requirements, and the foundation skills. A coverage matrix mapping each question and task to these components is what an auditor looks for.

How does Auditori generate an assessment tool for PSPREG043?

Auditori pulls the current release of PSPREG043 from training.gov.au and generates a complete package: candidate assessment, assessor guide with model answers and observation criteria, and a coverage matrix mapping every component. A suitably qualified person then reviews and approves the draft in a built-in workflow — consistent with ASQA's guidance on AI use in VET — before export as branded PDF and editable Word.

Is the first assessment tool really free?

Yes. Every new account includes one free credit — enough to generate the complete assessment tool for PSPREG043 — with no card and no subscription required. After that it's pay-as-you-go per unit.

Can I check my existing PSPREG043 assessment instead of generating a new one?

Yes — upload your existing assessment or learner guide and Auditori maps it against every element, performance criterion, PE and KE of PSPREG043, showing exactly what's covered and what's missing. Mapping costs a quarter of a credit.