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Evidence Guide: ICAI5253A - Implement and evaluate systems for regulatory and standards compliance

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

ICAI5253A - Implement and evaluate systems for regulatory and standards compliance

What evidence can you provide to prove your understanding of each of the following citeria?

Implement compliance systems

  1. Monitor and assess the information security compliance practices of all personnel in accordance with enterprise policies and procedures
  2. Maintain ongoing and effective communications with key compliance stakeholders
  3. Conduct internal audits to determine if information security control objectives, controls, processes, and procedures are effectively applied and maintained, and perform as expected
Monitor and assess the information security compliance practices of all personnel in accordance with enterprise policies and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain ongoing and effective communications with key compliance stakeholders

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct internal audits to determine if information security control objectives, controls, processes, and procedures are effectively applied and maintained, and perform as expected

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Evaluate the compliance systems

  1. Assess the effectiveness of enterprise compliance program controls against appropriate benchmarks
  2. Assess the effectiveness of the information security compliance process and procedures for process improvement and implement changes where appropriate
  3. Compile, analyse, and report performance measures
Assess the effectiveness of enterprise compliance program controls against appropriate benchmarks

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess the effectiveness of the information security compliance process and procedures for process improvement and implement changes where appropriate

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Compile, analyse, and report performance measures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Evidence of the following is essential:

Assessment must confirm sufficient knowledge of the basic elements of legal obligations with respect to privacy and the specific application of security issues.

Assessment must confirm the ability to implement and evaluate compliance requirements

Context of and specific resources for assessment

Assessment must ensure:

The ability to monitor and assess the information security compliance

Conduct internal audits

Assess the effectiveness of enterprise compliance

Compile, analyse, and report performance measures

To demonstrate competency in this unit the following resources will be needed:

IT business specifications

Information on the security environment including relevant laws/legislation, existing organisational security policies, organisational expertise and knowledge

Possible security environment also includes the threats to security that are, or are held to be, present in the environment

Risk analysis tools/methodologies

IT security assurance specifications

Method of assessment

The purpose of this unit is to define the standard of performance to be achieved in the workplace. In undertaking training and assessment activities related to this unit, consideration should be given to the implementation of appropriate diversity and accessibility practices in order to accommodate people who may have special needs. Additional guidance on these and related matters is provided in ICA05 Section 1.

The following assessment method is appropriate for this unit:

Competency in this unit should to be assessed using summative assessment to ensure consistency of performance in a range of contexts. This unit can be assessed either in the workplace or in a simulated environment. However, simulated activities must closely reflect the workplace to enable full demonstration of competency.

Assessment will usually include observation of real or simulated work processes and procedures and/or performance in a project context as well as questioning on underpinning knowledge and skills. The questioning of team members, supervisors, subordinates, peers and clients where appropriate may provide valuable input to the assessment process. The interdependence of units for assessment purposes may vary with the particular project or scenario.

Guidance information for assessment

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended.

Additionally, an individual demonstrating this competency would be able to:

Demonstrate understanding of specialised knowledge with depth in some areas

Analyse, diagnose, design and execute judgement across a broad range of technical or management functions

Generate ideas through the analysis of information and concepts at an abstract level

Demonstrate a command of wide-ranging, highly specialised technical, creative or conceptual skills

Demonstrate accountability for personal outputs within broad parameters

Demonstrate accountability for personal and group outcomes within broad parameters.

Required Skills and Knowledge

Required skills

Researching skills related to security

Ability to articulate complex security scenarios in a clear concise manner relevant to all levels of the organisation

Skills in relation to analysis, evaluation and presentation of information

Group facilitation and presentation skills in relation to transferring and collecting information

Required knowledge

Current industry-accepted hardware and software products, including broad knowledge of security features and capabilities

Accurate and in-depth knowledge of the client business domain

Broad general knowledge of privacy issues and legislation (e.g. when integrating legal requirements with IT security)

Risk analysis relating to IT security, including broad knowledge of general security issues incorporating substantial depth in some areas

Detailed knowledge of operating systems, including strengths and weaknesses over lifetime of product

Awareness of legislation relating to IT security

Range Statement

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Key compliance stakeholders may include:

internal departments

external organisations

individual people

employees

Appropriate benchmarksmay include:

applicable laws

regulations

standards

policies

procedures