- PSPREG602B - Evaluate regulatory compliance
Assessor Resource
PSPREG602B
Evaluate regulatory compliance
Assessment tool
Version 1.0
Issue Date: April 2024
Not applicable.
This unit covers evaluation of compliance outcomes, and review of regulatory policies, procedures and legislation to improve compliance outcomes. This is typically performed by a manager with responsibility for regulatory officers who enforce and promote compliance with the organisation's enabling legislation (such as customs, quarantine, workplace safety, equal employment opportunity, agriculture, environmental protection, etc). It includes developing compliance measures/targets, evaluating the extent of compliance, reviewing procedures and guidelines to improve compliance, and contributing to new legislation or the review of existing legislation.
In practice, evaluation of regulatory compliance may overlap with other public sector work activities such as managing ethical behaviour and compliance with public sector legislation, managing diversity, risk, resources, etc.
This unit replaces and is equivalent to PSPREG602A Evaluate regulatory compliance.
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 unitsthat must be achieved prior to this unit:Nil Co-requisite unitsthat 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: PSPETHC601B Maintain and enhance confidence in public service PSPGOV601B Apply government systems PSPLEGN601B Manage compliance with legislation in the public sector PSPMNGT602B Manage resources PSPMNGT605B Manage diversity PSPMNGT608B Manage risk PSPMNGT611A Manage evaluations PSPPOL603A Manage policy implementation PSPREG601B Manage regulatory 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) evaluation of regulatory compliance in a range of (2 or more) contexts (or occasions, over time) |
Resources required to carry out assessment | These resources include: legislation, policy, procedures and protocols relating to regulatory compliance in the public sector relevant aspects of common law case studies and workplace scenarios to capture the range of situations likely to be encountered when evaluating regulatory 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 evaluating regulatory compliance, including coping with difficulties, irregularities and breakdowns in routine evaluation of regulatory compliance in a range of (2 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 projects questioning scenarios 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 information analysis interpreting complex written and numerical materials preparing written reporting requiring formal structure and language responding to diversity, including gender and disability applying occupational health and safety and environment legislation in the context of regulatory compliance |
Knowledge requirements Look for evidence that confirms knowledge and understanding of: enabling legislation government policies principles of evaluation equal employment opportunity, equity and diversity principles public sector policy and legislation including occupational health and safety and environment relating to the evaluation of regulatory 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 italics in the Performance Criteria is explained here. | |
Measures may include | evaluation against strategic goals/targets/major outcomes level of prosecutions, cautions or warnings number of people accessing organisational publications about compliance requirements outcomes, such as: reported injuries/deaths, workers compensation claims and premiums (relevant to workplace safety) illegal imports (relevant to customs) exotic diseases (relevant to quarantine) amount of land affected by salinity (relevant to land management) qualitative, such as: client satisfaction (relevant to all regulatory areas) |
Legislation and policy may include | enabling legislation, such as that dealing with: 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 public sector management, financial management auditor general planning, construction, transport, energy, mining, resource management, communications family services, employment, equal employment opportunity and anti-discrimination aspects of common law contract law administrative law equal employment opportunity and anti-discrimination law government policy |
Stakeholders may include | government Minister public staff victims offenders/alleged offenders |
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 |
|---|---|---|---|
| Compliance measures are developed that are valid, reliable, sufficient and both time and cost effective | |||
| Realistic measures/targets are developed underpinned by current information | |||
| Analysis of compliance data is valid and conclusions are unbiased and supported by evidence | |||
| Interpretation of comparative data over time is valid and reliable and outcomes are recorded in accordance with legislative and policy requirements | |||
| Compliance outcomes are reported in accordance with organisational and legislative requirements | |||
| A variety of sources of information representing the breadth of possible stakeholders is drawn on to ensure review is comprehensive | |||
| Possible reasons for not meeting targets/performance indicators are identified and recommendations are made to improve long-term voluntary compliance | |||
| Adjustments of strategies and plans are made to address review recommendations in accordance with government policy requirements and resource constraints | |||
| Input is provided that supports government policy directions and relies on current information with supporting reasons and data analysis | |||
| Resource implications of legislative recommendations are made within government policy requirements |
Forms
Assessment Cover Sheet
PSPREG602B - Evaluate regulatory compliance
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Assessment Record Sheet
PSPREG602B - Evaluate regulatory compliance
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