Assessor Resource

PSPREG003
Apply regulatory powers

Assessment tool

Version 1.0
Issue Date: April 2024


This unit describes the skills required to cover the exercise of powers under the organisation's enabling legislation and other relevant legislation for regulation, monitoring, inspection and investigation.

This unit applies to those working in public sector roles conducting regulatory activities.

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.

Those undertaking this unit would work independently as part of a team, performing routine tasks involving a range of familiar and unfamiliar 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. Establish regulatory powers

1.1 Access and use current information relating to enabling legislation and regulations to maintain up-to-date knowledge of requirements.

1.2 Confirm powers provided under the legislation and the boundaries of those powers.

1.3 Identify and confirm compliance requirements of the legislation, related regulations, standards, codes of practice and policy.

1.4 Identify and confirm acts and omissions that comprise non-compliance or offences under the legislation.

2. Apply enabling legislation

2.1 Identify and analyse circumstances where regulatory powers will be exercised to determine response or measures to apply.

2.2 Identify circumstances requiring the exercise of regulatory powers that are outside own limits and refer to others.

2.3 Identify risks associated with the exercise of regulatory powers and strategies to manage risks.

2.4 Apply enabling legislation consistent with the boundaries and powers contained therein.

3. Utilise other legislation and standards

3.1 Identify other legislation and standards which impact on powers and confirm their requirements.

3.2 Resolve or refer apparently conflicting legislative directions.

4. Work with other organisations

4.1 Identify organisations that have jurisdictions which may overlap and establish and maintain relationships.

4.2 Identify organisations available to provide assistance and advice or take referrals and establish relationships for mutual benefit.

4.3 Follow organisational protocols and procedures when working with other organisations.

4.4 Refer compliance matters to other organisations for action when required.

4.5 Follow lead agency protocols and/or lines of authority during operations involving more than one organisation.

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.

undertaking research and analysis

using information technology to access relevant legislation and procedures

reading complex written materials and applying them to work practices

using scanning techniques

engaging in discussion involving exchanges of often complex oral information

choosing regulatory responses and/or measures to fit the circumstances and justifying those responses against legislation, guidelines, policy and regulations

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.

full range of regulatory powers and the limits to those powers

enabling legislation

offences under the legislation

aspects of criminal law, administrative law, industrial law, contract law

statutory time limits

terminology used in legislation and procedures

organisational policies, guidelines and regulations

public sector legislation including, health and safety and environment relating to the exercise of regulatory powers

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. Establish regulatory powers

1.1 Access and use current information relating to enabling legislation and regulations to maintain up-to-date knowledge of requirements.

1.2 Confirm powers provided under the legislation and the boundaries of those powers.

1.3 Identify and confirm compliance requirements of the legislation, related regulations, standards, codes of practice and policy.

1.4 Identify and confirm acts and omissions that comprise non-compliance or offences under the legislation.

2. Apply enabling legislation

2.1 Identify and analyse circumstances where regulatory powers will be exercised to determine response or measures to apply.

2.2 Identify circumstances requiring the exercise of regulatory powers that are outside own limits and refer to others.

2.3 Identify risks associated with the exercise of regulatory powers and strategies to manage risks.

2.4 Apply enabling legislation consistent with the boundaries and powers contained therein.

3. Utilise other legislation and standards

3.1 Identify other legislation and standards which impact on powers and confirm their requirements.

3.2 Resolve or refer apparently conflicting legislative directions.

4. Work with other organisations

4.1 Identify organisations that have jurisdictions which may overlap and establish and maintain relationships.

4.2 Identify organisations available to provide assistance and advice or take referrals and establish relationships for mutual benefit.

4.3 Follow organisational protocols and procedures when working with other organisations.

4.4 Refer compliance matters to other organisations for action when required.

4.5 Follow lead agency protocols and/or lines of authority during operations involving more than one organisation.

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.

undertaking research and analysis

using information technology to access relevant legislation and procedures

reading complex written materials and applying them to work practices

using scanning techniques

engaging in discussion involving exchanges of often complex oral information

choosing regulatory responses and/or measures to fit the circumstances and justifying those responses against legislation, guidelines, policy and regulations

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.

full range of regulatory powers and the limits to those powers

enabling legislation

offences under the legislation

aspects of criminal law, administrative law, industrial law, contract law

statutory time limits

terminology used in legislation and procedures

organisational policies, guidelines and regulations

public sector legislation including, health and safety and environment relating to the exercise of regulatory powers

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
Access and use current information relating to enabling legislation and regulations to maintain up-to-date knowledge of requirements. 
Confirm powers provided under the legislation and the boundaries of those powers. 
Identify and confirm compliance requirements of the legislation, related regulations, standards, codes of practice and policy. 
Identify and confirm acts and omissions that comprise non-compliance or offences under the legislation. 
Identify and analyse circumstances where regulatory powers will be exercised to determine response or measures to apply. 
Identify circumstances requiring the exercise of regulatory powers that are outside own limits and refer to others. 
Identify risks associated with the exercise of regulatory powers and strategies to manage risks. 
Apply enabling legislation consistent with the boundaries and powers contained therein. 
Identify other legislation and standards which impact on powers and confirm their requirements. 
Resolve or refer apparently conflicting legislative directions. 
Identify organisations that have jurisdictions which may overlap and establish and maintain relationships. 
Identify organisations available to provide assistance and advice or take referrals and establish relationships for mutual benefit. 
Follow organisational protocols and procedures when working with other organisations. 
Refer compliance matters to other organisations for action when required. 
Follow lead agency protocols and/or lines of authority during operations involving more than one organisation. 
Access and use current information relating to enabling legislation and regulations to maintain up-to-date knowledge of requirements. 
Confirm powers provided under the legislation and the boundaries of those powers. 
Identify and confirm compliance requirements of the legislation, related regulations, standards, codes of practice and policy. 
Identify and confirm acts and omissions that comprise non-compliance or offences under the legislation. 
Identify and analyse circumstances where regulatory powers will be exercised to determine response or measures to apply. 
Identify circumstances requiring the exercise of regulatory powers that are outside own limits and refer to others. 
Identify risks associated with the exercise of regulatory powers and strategies to manage risks. 
Apply enabling legislation consistent with the boundaries and powers contained therein. 
Identify other legislation and standards which impact on powers and confirm their requirements. 
Resolve or refer apparently conflicting legislative directions. 
Identify organisations that have jurisdictions which may overlap and establish and maintain relationships. 
Identify organisations available to provide assistance and advice or take referrals and establish relationships for mutual benefit. 
Follow organisational protocols and procedures when working with other organisations. 
Refer compliance matters to other organisations for action when required. 
Follow lead agency protocols and/or lines of authority during operations involving more than one organisation. 

Forms

Assessment Cover Sheet

PSPREG003 - Apply regulatory powers
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I declare that the assessment tasks submitted for this unit are my own work.

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Assessment Record Sheet

PSPREG003 - Apply regulatory powers

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

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