COMPLIANCE OFFICER4260A3 Pay Grade: 19 DEFINITION OF WORK Summary This is specialized technical work in conducting compliance reviews. Work involves conducting regulatory and compliance reviews; conducting on-site interviews of licensees; monitoring and documenting physical, operational, and security-related issues; preparing final compliance reports; conducting training workshops. Work also includes advising agencies on how to comply or remain in compliance with system policies, and state/federal laws, regulations and policies. Standard Classification Factors Supervision Received - LEVEL C: "Under direction..." Employees at this level usually receive a general outline of the work to be performed and are generally free to develop their own sequences and methods within the scope of established policies. New, unusual, or complex work situations are almost always referred to a superior for advice. Work is periodically checked for progress and conformance to established policies and requirements. Difficulty - LEVEL B: Average - Where the employee is confronted with a variety of duties susceptible to different methods of solution which, in turn, places a correspondingly higher demand upon resourcefulness and concentration. Positions which require the analysis and evaluation of raw data and the rendering of conclusions would, in many instances, fall into this category. Complexity - LEVEL C: Work is of a standardized nature that may involve a variety of duties. Analytical thought becomes more important at this level due to increased data and changing situations. Tasks usually have several steps, some of which may not be directly related. Alternatives may exist for processes or methods to be used in solving problems. Workers at this level exercise a moderate amount of independent judgment. Work is controlled by routine review and reporting to or consultation with supervisors. When guidelines exist at this level, they tend to be more complicated or technical in nature requiring careful interpretation. Consequences of Actions and Decisions - LEVEL B: Consequences of actions or decisions at this level are minor as the work is normally reviewed regularly and errors are usually detected in following operations. Errors may be disruptive to co-workers or may cause minor inefficiency. Costs due to errors are minimal. Contacts - LEVEL C: The purpose of the contact is to influence, motivate, conduct interviews, make formal presentations or counsel to achieve common understanding or solutions to problems when the information is sensitive in nature or the individuals or groups are skeptical or uncooperative. Communication techniques and well developed communication skills become an important requirement at this level. Physical Demands - LEVEL B: The work requires light physical exertion. The employee may be required to perform handling activities with lightweight or easily moved items (e.g. books, file folders, boxes of office supplies, small machine parts, etc.); perform moving activities for brief periods; operate light equipment; perform repetitive motions for brief periods; confined to a work area. Environmental Conditions - LEVEL A: The work environment involves normal everyday hazards or discomforts typical of offices, meeting and training rooms, or libraries. Comfortable levels of temperature, ventilation, lighting and sound are inherent in the work environment. Exposure to deviations from pleasant environmental conditions is only occasional. The likelihood of injury is remote. Supervision/Leadership - LEVEL A: No supervisory or leadership responsibility; may explain work instructions or assist in training others. Distinguishing Features Differs from the Special Investigator I class which provides for conducting investigations and enforcing laws and regulations rather than conducting compliance reviews. Differs from the Construction Contract Compliance Specialist class which provides for conducting compliance reviews of construction contractors exclusively. Differs from the State Auditor series which requires exercising generally accepted accounting and auditing procedures. EXAMPLES OF WORK PERFORMED Conducts reviews of licensees, applicants, or governmental agencies to ensure compliance with applicable laws and regulations. Conducts compliance reviews to ensure that proper security procedures are being utilized; provides assistance on how to improve security procedures. Conducts desk audits, on-site reviews, and in-depth evaluations of service providers to ensure fiscal policies and procedures are in compliance with established federal program guidelines. Develops and issues reports regarding findings of compliance reviews; records any violations and prepares recommendations for improvements. Develops schedules to ensure agencies, service providers or licensees are reviewed within the appropriate time allowed by state and federal regulations. Conducts training workshops on information dissemination, privacy and security issues, license application process, and/or other compliance issues. Develops training schedules, guides, and handout materials; determines training budget expectations. Compiles and publishes a newsletter informing user agencies about current topics and issues relating to compliance, safety and security, and new or revised system policies, state/federal statutes, policies or regulations. REQUIRED KNOWLEDGE, ABILITIES, AND SKILLS Knowledge *Knowledge of the principles and methods of conducting compliance reviews and interviews. *Knowledge of the principles and methods for developing informational programs and materials. *Knowledge of the principles and practices of public speaking. Knowledge of federal and state laws, regulations, statutes and policies relating to criminal justice network administration. Abilities *Ability to exercise judgment and discretion in applying and interpreting laws, regulations, statutes, and policies. *Ability to conduct interviews and compliance reviews. *Ability to establish and maintain effective working relationships with administrative officials, employees and agencies officials. *Ability to effectively speak in public. *Ability to write and edit various forms of informational material. *Ability to conduct adult training workshops. Ability to utilize criminal justice network systems. *Necessary at Entry MINIMUM REQUIREMENTS: One year of experience in compliance/inspection work. Education may be substituted for experience as determined relevant by the agency. NC: 06/94 |