1.

Write a program for auditing compliance of a law,

regulation or policy. It should include an objective,
scope and audit procedures. Select a law, regulation
or policy that a company must be in compliance with
from any industry. Research what is required for a
company to be in compliance. Narrow down the
requirements to a specific section of the law,
regulation or policy to ensure the audit steps will be
less than 20.
The objective is formed by first determining what
management is trying to acheive and then restating
their objective by adding "To ensure..." or "To
determine if...". In a compliance audit, management
is trying to be in compliance with a law, regulation or
policy. The auditor will ensure they are doing what is
necessary to be compliant. Word the objective to the
specific section being audited, not the entire law,
regulation or policy.
The scope defines the section of law, regulation or
policy being audited. It should include the time period
of the audit (last 12 months, quarter, 2 years). what
will be sampled and the sample size. Sample size
may be made up but consider what you think would
be reasonable to be competent and sufficient.
The audit procedures or steps should be specific and
detailed clearly for an auditor to pick up and
understand what action must be taken. An auditor
does not perform management work, make
management decisions or supervise client personnel
so the steps are not a procedure manual of what
management should be doing. The steps are written
to ensure that each of the procedures that
management should be doing is being performed. Do
not use generalities such as, "Ensure the document
was completed properly". The audit steps must
define what properly is and what the auditor is looking
for. A minimum of 10 steps is required.
The audit program must be your own work and not an
altered program downloaded from the internet.