- PSPREG401C - Exercise regulatory powers
Assessor Resource
PSPREG401C
Exercise regulatory powers
Assessment tool
Version 1.0
Issue Date: April 2024
Not applicable.
This unit covers the exercise of powers under the organisation's enabling legislation, and other relevant legislation for regulation, monitoring, inspection and investigation. It includes establishing regulatory powers, applying enabling legislation, utilising other legislation and standards, and working with other organisations.
In practice, exercising regulatory powers occurs in the context of other specialist and generalist public sector work activities such as acting ethically, promoting client compliance, assessing compliance, conducting investigations, making arrests, conducting search and seizure, interviewing, gathering evidence, etc.
No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
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: PSPCRT401B Carry out court orderly functions PSPCRT402B Manage witnesses PSPCRT403B Handle exhibits and documents tendered PSPCRT404B Serve process PSPCRT405B Handle monies received in satisfaction of warrants or orders PSPCRT406B Compile and use official notes PSPETHC401A Uphold and support the values and principles of public service PSPGOV422A Apply government processes PSPLEGN401A Encourage compliance with legislation in the public sector PSPREG402C Promote client compliance PSPREG403B Assess compliance PSPREG404C Investigate non-compliance PSPREG405B Act on non-compliance PSPREG406C Make arrests PSPREG407B Produce formal record of interview PSPREG408C Conduct search and seizure PSPREG409B Prepare a brief of evidence PSPREG411A Gather information through interviews |
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) the exercise of regulatory powers 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 case studies and workplace scenarios to capture the range of regulatory situations likely to be encountered |
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 exercising regulatory powers, including coping with difficulties, irregularities and breakdowns in routine the exercise of regulatory powers 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 target 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, 2 or more of: case studies demonstration observation portfolios projects 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 and analysis using information technology to access relevant legislation and procedures reading complex written materials such as legislation, regulations, codes of practice and legal precedents and applying them to work practices using scanning techniques to locate main ideas in legislation, guidelines and policy documents engaging in discussion involving exchanges of often complex oral information communicating with a range of people from diverse backgrounds responding to diversity, including gender and disability choosing regulatory responses/measures to fit the circumstances and justifying those responses against legislation, guidelines, policy and regulations networking, building relationships and working with others applying occupational health and safety and environment procedures relating to the exercise of regulatory powers |
Knowledge requirements Look for evidence that confirms knowledge and understanding of: 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 applicable standards terminology used in legislation and procedures organisational policies, guidelines and regulations equity and diversity principles public sector legislation such as occupational health and safety and environment relating to the exercise of regulatory powers |
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. | |
Legislation may include: | State/Territory and Commonwealth legislation related to: public sector management, financial management auditor general audit, customs and excise, quarantine, fisheries, agriculture, land management, conservation, coastal management, environmental protection, environment, insurance, legal administration (sheriffs, young offenders), workers compensation, occupational safety and health, workplace relations planning, construction, transport, energy, mining, resource management, communications education and children's services, employment, vocational education and training, equal employment opportunity and anti-discrimination |
Regulatory responses or measures may include: | audit caution clearance community protection control encouragement to comply entry impoundment initiation of proceedings that may lead to prosecution inspection investigation issue of notices on-the-spot fines possession referral to another agency/jurisdiction search seizure surveillance warning |
Risks associated with the exercise of regulatory powers may result from: | workplace hazards environmental hazards equipment failure people engaged in illegal activities movement into and out of Australia of: aircraft cargo people postal articles vessels client cultural background client literacy levels |
Other legislation may include: | aspects of common law aspects of Crimes Act 1914 and Criminal Code Act 1995 contract law administrative law industrial relations law financial management Acts public service Acts |
Standards may include: | public sector standards government security standards fraud control standards |
Relationships may include: | informal formal memoranda of understanding (MOUs) |
Other organisations may include: | administrative appeals tribunals Coroner's office emergency services federal police fire and rescue industrial inspectors Local Government law enforcement officers legal advisers military police security services State/Territory police and special units other State/Territory/Commonwealth departments/agencies State/Territory/Commonwealth prosecution agencies |
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 |
|---|---|---|---|
| Current information relating to enabling legislation and regulations is accessed and used to maintain up-to-date knowledge of requirements. | |||
| Powers provided under the legislation and the boundaries of those powers are confirmed. | |||
| Compliance requirements of the legislation, related regulations, standards, codes of practice and policy are identified and confirmed. | |||
| Acts and omissions that comprise non-compliance/offences under the legislation are identified and confirmed. | |||
| Circumstances where regulatory powers will be exercised are identified and analysed to determine response/s or measures to apply, in accordance with the legislation and organisational policy and procedures. | |||
| Circumstances requiring the exercise of regulatory powers that are outside own limits are identified and referral to others is made in accordance with organisational policy and procedures. | |||
| Risks associated with the exercise of regulatory powers are identified and strategies to manage risks are identified in accordance with the organisation's risk management strategy. | |||
| Enabling legislation is applied consistent with the boundaries and powers contained therein and organisational policy and procedures. | |||
| Other legislation and standards which impact on powers are identified and their requirements confirmed. | |||
| Apparently conflicting legislative directions are resolved or referred in accordance with organisational policy and procedures. | |||
| Organisations that have jurisdictions which may overlap are identified and relationships are established and maintained in accordance with organisational policy and procedures. | |||
| Organisations available to provide assistance and advice or take referrals are identified and relationships are established for mutual benefit. | |||
| Organisational protocols and procedures are followed when working with other organisations. | |||
| Compliance matters are referred to other organisations for action when required in accordance with organisational policy and procedures. | |||
| Lead agency protocols/lines of authority are followed during operations involving more than one organisation. |
Forms
Assessment Cover Sheet
PSPREG401C - Exercise regulatory powers
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Assessment Record Sheet
PSPREG401C - Exercise regulatory powers
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