Reference no: EM133168532
Ensure Program Compliance
3.1 Identify Organisation and External Compliance Requirements
Identify the following:
• Organisational compliance requirements relevant to the program
• External compliance requirements relevant to the program
• Audit records that need to be maintained in compliance with relevant legislative requirements
Document the above in the Audit Records and Compliance Requirements Report template provided along with this workbook.
Have your supervisor complete and sign the Supervisor Declaration section of this report.
You will be assessed on:
• Practical knowledge of organisational and external compliance requirements relevant to the program
• Practical knowledge of audit records and legislative requirements relevant to audit records.
Before starting this task, review the Assessment Simulation Task 3.1 - Assessor's Checklist provided along with this workbook. This form lists the criteria your submissions must address to complete this task satisfactorily.
Your assessor will also:
• Organise workplace resources required for you to complete this assessment.
• Discuss with you the requirements listed in the Assessor's Checklist prior to the assessment.
• Address your queries and concerns regarding this task.
After completing this task, submit your completed Audit Records and Compliance Requirements Report to your assessor.
3.2 Generate and Maintain Audit Documentation
Generate and consolidate documentation from audits conducted within the program.
For this assessment, you are not required to perform the actual audits. However, you are required to generate the documentation from these audits.
Audit documentation must include:
• Documents from the planning of the audit.
• Audit checklist/s used in the audit.
• Procedures followed during the audit
• Report summarising the findings of the audit.
While being observed by your assessor, securely maintain these audit documents according to relevant legislative requirements.
You will be assessed on:
• Practical knowledge of audit documentation.
• Practical skills relevant to consolidating and securely maintaining audit documentation.
Before starting this task, review the following checklists provided along with this workbook:
• Assessment Simulation Task 3.2 - Observation Form
This form lists all the practical skills you need to demonstrate while completing this task.
• Assessment Simulation Task 3.2 - Assessor's Checklist
This form lists the criteria your submissions must address to complete this task satisfactorily.
Your assessor will also:
• Organise workplace resources required for you to complete this assessment.
• Discuss with you the requirements listed in the Observation Form and Assessor's Checklist prior to the assessment.
• Address your queries and concerns regarding this task.
After completing this task, submit the following to your assessor:
• Folder containing the audit documentation. This must include:
o Documents from the planning of the audit.
o Audit checklist/s used in the audit.
o Procedures followed during the audit
o Report summarising the findings of the audit.
3.3 Report on Compliance
While being observed by your assessor, meet with key program stakeholders and authorities to present information and key findings from the audits conducted.
At a minimum, during this meeting, you must:
• Report on compliance and non-compliant behaviours.
• Report on compliance and non-compliant processes.
• Report on compliance and non-compliant products.
• Identify actions to rectify these non-compliances.
Distribute copies of the audit documentation to key program stakeholders and authorities during this meeting.
You will be assessed on:
• Practical knowledge of audit information, documentation, and key findings.
• Practical skills relevant to presenting and distributing audit documentation to key program stakeholders and authorities.
• Practical skills relevant to identifying actions to rectify non-compliances.
Before starting this task, review the Assessment Simulation Task 3.3 - Observation Form provided along with this workbook. This form lists all the practical skills you need to demonstrate while completing this task.
Your assessor will also:
• Organise workplace resources required for you to complete this assessment.
• Discuss with you the requirements listed in the Observation Form prior to the assessment.
• Address your queries and concerns regarding this task.
3.4 Rectify Non-Compliances
While being observed by your assessor, implement the actions you identified to rectify the following:
• Non-compliant behaviours
• Non-compliant processes
• Non-compliant products.
How you will perform this task will depend on the actions you identified as well as processes in place within your program for rectifying non-compliances.
Secure documentation from your implementation of these actions, e.g., meeting minutes, revised processes and procedures, rectification reports, etc.
You will be assessed on:
• Practical knowledge of non-compliances and actions for rectifying them.
• Practical skills relevant to implementing actions to rectify non-compliances.
Before starting this task, review the Assessment Simulation Task 3.4 - Observation Form provided along with this workbook.
This form lists all the practical skills you need to demonstrate while completing this task.
Your assessor will also:
• Organise workplace resources required for you to complete this assessment.
• Discuss with you the requirements listed in the Observation Form prior to the assessment.
• Address your queries and concerns regarding this task.
After completing this task, submit the following to your assessor:
• Documentation of implementing actions to rectify non-compliant behaviours.
• Documentation of implementing actions to rectify non-compliant processes.
• Documentation of implementing actions to rectify non-compliant products.