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Evidence Guide: POLGEN007 - Review policing governance and accountability 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

 

POLGEN007 - Review policing governance and accountability compliance

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

Plan internal compliance audit/review

  1. Assess the business activity and/or information from stakeholders to inform the scope and objectives of the audit/review.
  2. Define scope and objectives of audit/review.
  3. Design the compliance audit/review, including method, roles and responsibilities.
  4. Evaluate audit/review plan to ensure it meets objectives and jurisdictional expectations.
  5. Identify potential sources of information/intelligence to inform audit/review.
Assess the business activity and/or information from stakeholders to inform the scope and objectives of the audit/review.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Define scope and objectives of audit/review.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Conduct internal compliance audit/review

  1. Communicate the objectives, scope, roles and responsibilities of the audit/review to audit/review team and stakeholders.
  2. Collect information/intelligence to facilitate audit/review.
  3. Analyse information collected to determine its relevance as audit/review evidence.
  4. Analyse audit/review evidence to identify levels of compliance and areas for improvement.
  5. Develop preliminary audit/review findings and recommendations through evaluation of audit/review evidence.
Communicate the objectives, scope, roles and responsibilities of the audit/review to audit/review team and stakeholders.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Collect information/intelligence to facilitate audit/review.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Monitor internal compliance audit/review

  1. Monitor the progress of the audit/review to determine whether any adjustments are required.
  2. Conduct environmental scans to ensure contemporary nature and validity of audit/review.
  3. Monitor the integrity of the audit/review to ensure audit/review outcomes are reached.
  4. Manage audit/review progress in line with governance and accountability requirements.
Monitor the progress of the audit/review to determine whether any adjustments are required.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Conclude internal compliance audit/review

  1. Evaluate preliminary audit/review findings and recommendations to determine how and what should be communicated to stakeholders.
  2. Assess findings and develop recommendations to ensure compliance/improvements.
  3. Review own performance throughout the audit/review process using stakeholder feedback.
  4. Assess the audit/review process to inform future practice.
Evaluate preliminary audit/review findings and recommendations to determine how and what should be communicated to stakeholders.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Assess findings and develop recommendations to ensure compliance/improvements.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Assess the audit/review process to inform future practice.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Plan internal compliance audit/review

  1. Assess the business activity and/or information from stakeholders to inform the scope and objectives of the audit/review.
  2. Define scope and objectives of audit/review.
  3. Design the compliance audit/review, including method, roles and responsibilities.
  4. Evaluate audit/review plan to ensure it meets objectives and jurisdictional expectations.
  5. Identify potential sources of information/intelligence to inform audit/review.
Assess the business activity and/or information from stakeholders to inform the scope and objectives of the audit/review.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Define scope and objectives of audit/review.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Conduct internal compliance audit/review

  1. Communicate the objectives, scope, roles and responsibilities of the audit/review to audit/review team and stakeholders.
  2. Collect information/intelligence to facilitate audit/review.
  3. Analyse information collected to determine its relevance as audit/review evidence.
  4. Analyse audit/review evidence to identify levels of compliance and areas for improvement.
  5. Develop preliminary audit/review findings and recommendations through evaluation of audit/review evidence.
Communicate the objectives, scope, roles and responsibilities of the audit/review to audit/review team and stakeholders.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Collect information/intelligence to facilitate audit/review.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Monitor internal compliance audit/review

  1. Monitor the progress of the audit/review to determine whether any adjustments are required.
  2. Conduct environmental scans to ensure contemporary nature and validity of audit/review.
  3. Monitor the integrity of the audit/review to ensure audit/review outcomes are reached.
  4. Manage audit/review progress in line with governance and accountability requirements.
Monitor the progress of the audit/review to determine whether any adjustments are required.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Conclude internal compliance audit/review

  1. Evaluate preliminary audit/review findings and recommendations to determine how and what should be communicated to stakeholders.
  2. Assess findings and develop recommendations to ensure compliance/improvements.
  3. Review own performance throughout the audit/review process using stakeholder feedback.
  4. Assess the audit/review process to inform future practice.
Evaluate preliminary audit/review findings and recommendations to determine how and what should be communicated to stakeholders.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Assess findings and develop recommendations to ensure compliance/improvements.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Assess the audit/review process to inform future practice.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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.

Required Skills and Knowledge

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)