Assessor Resource

POLGEN007
Review policing governance and accountability compliance

Assessment tool

Version 1.0
Issue Date: March 2024


This unit describes the skills required to oversee internal compliance audits and reviews, including planning, monitoring and concluding activities.

This unit applies to police managers and forms part of their responsibilities within policing hierarchies related to police legitimacy and transparency, in both a public service and public safety context.

The skills and knowledge described in this unit must be applied within the legislative, regulatory and policy environment in which they are carried out. Organisational policies and procedures must be consulted and adhered to, particularly those related to privacy and police legitimacy.

Those undertaking this role would demonstrate strong autonomy, making strategic decisions and providing leadership to the jurisdiction supervising teams in a broad range of contexts while performing sophisticated tasks. They would provide advice and influence executive decisions for stakeholders while performing complex tasks in a range of contexts.

No licensing, legislative or certification requirements apply to unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)



Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions section.

1. Plan internal compliance audit/review

1.1 Assess the business activity and/or information from stakeholders to inform the scope and objectives of the audit/review.

1.2 Define scope and objectives of audit/review.

1.3 Design the compliance audit/review, including method, roles and responsibilities.

1.4 Evaluate audit/review plan to ensure it meets objectives and jurisdictional expectations.

1.5 Identify potential sources of information/intelligence to inform audit/review.

2. Conduct internal compliance audit/review

2.1 Communicate the objectives, scope, roles and responsibilities of the audit/review to audit/review team and stakeholders.

2.2 Collect information/intelligence to facilitate audit/review.

2.3 Analyse information collected to determine its relevance as audit/review evidence.

2.4 Analyse audit/review evidence to identify levels of compliance and areas for improvement.

2.5 Develop preliminary audit/review findings and recommendations through evaluation of audit/review evidence.

3. Monitor internal compliance audit/review

3.1 Monitor the progress of the audit/review to determine whether any adjustments are required.

3.2 Conduct environmental scans to ensure contemporary nature and validity of audit/review.

3.3 Monitor the integrity of the audit/review to ensure audit/review outcomes are reached.

3.4 Manage audit/review progress in line with governance and accountability requirements.

4. Conclude internal compliance audit/review

4.1 Evaluate preliminary audit/review findings and recommendations to determine how and what should be communicated to stakeholders.

4.2 Assess findings and develop recommendations to ensure compliance/improvements.

4.3 Review own performance throughout the audit/review process using stakeholder feedback.

4.4 Assess the audit/review process to inform future practice.

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the candidate must demonstrate evidence of performance of the following on at least one occasion.

designing internal compliance audits/reviews, including scope, objectives, method, roles and responsibilities

communicating information to stakeholders

collecting, analysing and evaluating information relating to audits/reviews

scanning and monitoring information to make adjustments to audit/review and develop preliminary findings

managing audit process to ensure outcomes are reached

adhering to jurisdictional governance and accountability requirements

identifying efficiencies and effectiveness of processes in line with jurisdictional requirements

evaluating preliminary findings to determine communication requirements

composing audit/review findings

reviewing own performance and audit/review process for continuous improvement purposes

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the depth of knowledge demonstrated must be appropriate to the job context of the candidate.

current legislation, policies, standards and procedures relating to audits

jurisdictional processes relating to internal investigation, internal business, and change management processes

jurisdictional business continuity requirements and continuous improvement practices

audit methodologies, including desk top audits and compliance auditing processes

risk management frameworks

organisational structure (including chain of command, domains of practice, functional areas)

external accountability practices (including anti-corruption agencies)

This unit contains no specific industry-mandated assessment conditions. Guidance on suggested and recommended conditions and methods can be found in the Implementation Guide.

Assessors must satisfy the NVR/AQTF mandatory competency requirements for assessors.


Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)


Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions section.

1. Plan internal compliance audit/review

1.1 Assess the business activity and/or information from stakeholders to inform the scope and objectives of the audit/review.

1.2 Define scope and objectives of audit/review.

1.3 Design the compliance audit/review, including method, roles and responsibilities.

1.4 Evaluate audit/review plan to ensure it meets objectives and jurisdictional expectations.

1.5 Identify potential sources of information/intelligence to inform audit/review.

2. Conduct internal compliance audit/review

2.1 Communicate the objectives, scope, roles and responsibilities of the audit/review to audit/review team and stakeholders.

2.2 Collect information/intelligence to facilitate audit/review.

2.3 Analyse information collected to determine its relevance as audit/review evidence.

2.4 Analyse audit/review evidence to identify levels of compliance and areas for improvement.

2.5 Develop preliminary audit/review findings and recommendations through evaluation of audit/review evidence.

3. Monitor internal compliance audit/review

3.1 Monitor the progress of the audit/review to determine whether any adjustments are required.

3.2 Conduct environmental scans to ensure contemporary nature and validity of audit/review.

3.3 Monitor the integrity of the audit/review to ensure audit/review outcomes are reached.

3.4 Manage audit/review progress in line with governance and accountability requirements.

4. Conclude internal compliance audit/review

4.1 Evaluate preliminary audit/review findings and recommendations to determine how and what should be communicated to stakeholders.

4.2 Assess findings and develop recommendations to ensure compliance/improvements.

4.3 Review own performance throughout the audit/review process using stakeholder feedback.

4.4 Assess the audit/review process to inform future practice.

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the candidate must demonstrate evidence of performance of the following on at least one occasion.

designing internal compliance audits/reviews, including scope, objectives, method, roles and responsibilities

communicating information to stakeholders

collecting, analysing and evaluating information relating to audits/reviews

scanning and monitoring information to make adjustments to audit/review and develop preliminary findings

managing audit process to ensure outcomes are reached

adhering to jurisdictional governance and accountability requirements

identifying efficiencies and effectiveness of processes in line with jurisdictional requirements

evaluating preliminary findings to determine communication requirements

composing audit/review findings

reviewing own performance and audit/review process for continuous improvement purposes

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the depth of knowledge demonstrated must be appropriate to the job context of the candidate.

current legislation, policies, standards and procedures relating to audits

jurisdictional processes relating to internal investigation, internal business, and change management processes

jurisdictional business continuity requirements and continuous improvement practices

audit methodologies, including desk top audits and compliance auditing processes

risk management frameworks

organisational structure (including chain of command, domains of practice, functional areas)

external accountability practices (including anti-corruption agencies)

This unit contains no specific industry-mandated assessment conditions. Guidance on suggested and recommended conditions and methods can be found in the Implementation Guide.

Assessors must satisfy the NVR/AQTF mandatory competency requirements for assessors.

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Assess the business activity and/or information from stakeholders to inform the scope and objectives of the audit/review. 
Define scope and objectives of audit/review. 
Design the compliance audit/review, including method, roles and responsibilities. 
Evaluate audit/review plan to ensure it meets objectives and jurisdictional expectations. 
Identify potential sources of information/intelligence to inform audit/review. 
Communicate the objectives, scope, roles and responsibilities of the audit/review to audit/review team and stakeholders. 
Collect information/intelligence to facilitate audit/review. 
Analyse information collected to determine its relevance as audit/review evidence. 
Analyse audit/review evidence to identify levels of compliance and areas for improvement. 
Develop preliminary audit/review findings and recommendations through evaluation of audit/review evidence. 
Monitor the progress of the audit/review to determine whether any adjustments are required. 
Conduct environmental scans to ensure contemporary nature and validity of audit/review. 
Monitor the integrity of the audit/review to ensure audit/review outcomes are reached. 
Manage audit/review progress in line with governance and accountability requirements. 
Evaluate preliminary audit/review findings and recommendations to determine how and what should be communicated to stakeholders. 
Assess findings and develop recommendations to ensure compliance/improvements. 
Review own performance throughout the audit/review process using stakeholder feedback. 
Assess the audit/review process to inform future practice. 
Assess the business activity and/or information from stakeholders to inform the scope and objectives of the audit/review. 
Define scope and objectives of audit/review. 
Design the compliance audit/review, including method, roles and responsibilities. 
Evaluate audit/review plan to ensure it meets objectives and jurisdictional expectations. 
Identify potential sources of information/intelligence to inform audit/review. 
Communicate the objectives, scope, roles and responsibilities of the audit/review to audit/review team and stakeholders. 
Collect information/intelligence to facilitate audit/review. 
Analyse information collected to determine its relevance as audit/review evidence. 
Analyse audit/review evidence to identify levels of compliance and areas for improvement. 
Develop preliminary audit/review findings and recommendations through evaluation of audit/review evidence. 
Monitor the progress of the audit/review to determine whether any adjustments are required. 
Conduct environmental scans to ensure contemporary nature and validity of audit/review. 
Monitor the integrity of the audit/review to ensure audit/review outcomes are reached. 
Manage audit/review progress in line with governance and accountability requirements. 
Evaluate preliminary audit/review findings and recommendations to determine how and what should be communicated to stakeholders. 
Assess findings and develop recommendations to ensure compliance/improvements. 
Review own performance throughout the audit/review process using stakeholder feedback. 
Assess the audit/review process to inform future practice. 

Forms

Assessment Cover Sheet

POLGEN007 - Review policing governance and accountability compliance
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:


Assessment Record Sheet

POLGEN007 - Review policing governance and accountability compliance

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: