- PSPREG403B - Assess compliance
Assessor Resource
PSPREG403B
Assess compliance
Assessment tool
Version 1.0
Issue Date: June 2024
Not applicable.
This unit covers risk assessment, monitoring of situations/environments/behaviours, and analysis of information to assess compliance with legislation and/or standards. It includes monitoring areas under own jurisdiction, receiving or identifying allegations of non-compliance, and conducting research to determine levels of compliance.
In practice, assessing compliance may overlap with other generalist or specialist public sector work activities such as acting ethically, exercising regulatory powers, promoting compliance, acting on non-compliance, etc.
This unit replaces and is equivalent to PSPREG403A Assess compliance with legislation.
You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)
Prerequisites
Not applicable.
Employability Skills
This unit contains employability skills.
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.
The Evidence Guide specifies the evidence required to demonstrate achievement in the unit of competency as a whole. It must be read in conjunction with the Unit descriptor, Performance Criteria, the Range Statement and the Assessment Guidelines for the Public Sector Training Package. | |
Units to be assessed together | Pre-requisite units that must be achieved prior to this unit:Nil Co-requisite units that must be assessed with this unit:Nil Co-assessed units that may be assessed with this unit to increase the efficiency and realism of the assessment process include, but are not limited to: PSPETHC401A Uphold and support the values and principles of public service PSPGOV408A Value diversity PSPGOV422A Apply government processes PSPLEGN401A Encourage compliance with legislation in the public sector PSPREG401C Exercise regulatory powers PSPREG402C Promote client compliance PSPREG405B Act on non-compliance |
Overview of evidence requirements | In addition to integrated demonstration of the elements and their related performance criteria, look for evidence that confirms: the knowledge requirements of this unit the skill requirements of this unit application of the Employability Skills as they relate to this unit (see Employability Summaries in Qualifications Framework) assessment of compliance in a range of (3 or more) contexts (or occasions, over time) |
Resources required to carry out assessment | These resources include: legislation, regulations, policy, guidelines and standards public sector values and codes of conduct evidence gathering methodology case studies and workplace scenarios to capture the range of situations likely to be encountered when assessing compliance |
Where and how to assess evidence | Valid assessment of this unit requires: a workplace environment or one that closely resembles normal work practice and replicates the range of conditions likely to be encountered when assessing compliance, including coping with difficulties, irregularities and breakdowns in routine assessment of compliance in a range of (3 or more) contexts (or occasions, over time) Assessment methods should reflect workplace demands, such as literacy, and the needs of particular groups, such as: people with disabilities people from culturally and linguistically diverse backgrounds Aboriginal and Torres Strait Islander people women young people older people people in rural and remote locations Assessment methods suitable for valid and reliable assessment of this competency may include, but are not limited to, a combination of 2 or more of: case studies portfolios questioning scenarios simulation or role plays authenticated evidence from the workplace and/or training courses |
For consistency of assessment | Evidence must be gathered over time in a range of contexts to ensure the person can achieve the unit outcome and apply the competency in different situations or environments |
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.
This section describes the essential skills and knowledge and their level, required for this unit. |
Skill requirements Look for evidence that confirms skills in: undertaking research, analysis and problem solving in the context of assessing compliance applying regulations and codes of practice using information technology for data analysis, recording and reporting communicating including questioning and negotiating of meaning in sometimes difficult situations responding to diversity, including gender and disability reading and applying complex information from legislation applying public sector legislation such as occupational health and safety and environmental and sustainability procedures in the context of assessing client compliance |
Knowledge requirements Look for evidence that confirms knowledge and understanding of: legislation, standards, policies and legal precedents organisational procedures, guidelines and protocols knowledge of own and others' jurisdictions risk management in the context of compliance assessment application of audit tools research and sampling methodologies security storage of evidence/information procedures for recording allegations/complaints specialist equipment equal employment opportunity, equity and diversity principles public sector legislation such as occupational health and safety and environment and sustainability relating to the assessment of client compliance |
The Range Statement provides information about the context in which the unit of competency is carried out. The variables cater for differences between States and Territories and the Commonwealth, and between organisations and workplaces. They allow for different work requirements, work practices and knowledge. The Range Statement also provides a focus for assessment. It relates to the unit as a whole. Text in bold italics in the Performance Criteria is explained here. | |
Risk assessment may include: | formal risk management cycle informal risk assessment |
Monitoring may include: | surveillance spot checks comparison of data over time audit quality assurance reviews |
Legislation, policy and procedures may include: | enabling legislation occupational health and safety legislation workers compensation legislation equal employment opportunity and anti-discrimination law environment legislation and sustainability procedures listening devices legislation privacy legislation/instructions organisational procedures and protocols standard operating procedures Australian standards |
Specialist equipment may include: | computer data analysis systems computer aided auditing techniques electronic equipment listening devices cameras chemical analysis kits security cupboards oil sampling kits personal protective equipment |
Other organisations/ jurisdictions may include: | State/Territory police and special units federal police military police Commonwealth regulatory agencies Local Government law enforcement officers fire and rescue emergency services |
Referrals may include: | suspicions complaints allegations of non-compliance |
Evidence collection methodology may include: | sampling audit interviews data analysis document analysis |
Recording/reporting of further action may include: | decision to proceed/not proceed justification for decision informing other areas or organisations of information received/gathered and the action to be taken, if any, subject to confidentiality and privacy legislation |
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 |
---|---|---|---|
Risk assessment analysis is conducted to identify and prioritise areas for monitoring and to identify methodology. | |||
Monitoring is conducted in accordance with legislation, policy and procedures. | |||
Inspections and/or compliance audits are conducted in accordance with organisational policy and procedures. | |||
Specialist equipment is utilised when required, in accordance with legislation, policy and procedures. | |||
Safety of self and others is protected in accordance with legislation, policy and procedures. | |||
Cooperation with other organisations and jurisdictions is facilitated in accordance with organisational policy and procedures. | |||
Referrals relating to non-compliance are recorded in accordance with legislation, policy and procedures. | |||
Possible and potential breaches are responded to in a timely manner in accordance with legislation, policy and procedures. | |||
Preliminary information is assessed to establish the offence and is validated to confirm the need for action in accordance with organisational policy and procedures. | |||
Complainants are handled in accordance with organisational guidelines which may indicate referral to more senior personnel. | |||
Timely consultation is undertaken as necessary to obtain advice on methodology to adopt and prevent gaps occurring in evidence collection. | |||
Evidence collection methodology is selected according to the purpose, situation and operational guidelines. | |||
Information/samples are collected, analysed and secured in accordance with legislation, policy and procedures. | |||
Information/samples are relevant and sufficient for the purpose identified. | |||
Assessment is made against the requirements of the legislation and the level of compliance is identified and documented according to legal and organisational requirements. | |||
Further action is determined consistent with the level of compliance and is recorded/reported in accordance with legislation, policy and procedures. |
Forms
Assessment Cover Sheet
PSPREG403B - Assess 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
PSPREG403B - Assess 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: