Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

PMAOMIR449 Mapping and Delivery Guide
Monitor legal compliance obligations during incidents

Version 1.0
Issue Date: May 2024


Qualification -
Unit of Competency PMAOMIR449 - Monitor legal compliance obligations during incidents
Description
Employability Skills
Learning Outcomes and Application This unit of competency covers the skills and knowledge required to oversee the operations of an incident management or crisis management team to ensure compliance with legislation and/or regulations.An incident is an event which causes, or could have caused, injury or illness; damage to plant, material or the environment; disruption to production or public alarm.An incident is an unintended event, or an unintended consequence of an intended event, such as: fire and explosionloss of containmentexcursions above/below acceptable limits for emissions or plant conditionsexcursions above occupational hygiene or biological exposure limitsnon-compliance with regulatory requirementssecurity breachesfailure to follow procedurescomplaintsvehicle incidentson/off-site incidents.This unit of competency applies to enterprise legal officers, environmental officers, safety officers or those in similar roles who are required to advise the management team on potential and actual breaches of legislation in the development of incident response plans, implement and evaluate incident response activities, submit organisational reports and prepare for legal proceedings on compliance issues. This unit of competency applies to an individual working alone or as part of an incident management team and working in liaison with other members of the incident management team and the incident manager, as appropriate.No licensing, legislative or certification requirements apply to this unit at the time of publication.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.

The unit should be assessed holistically and the judgement of competence based on a holistic assessment of the evidence.

Element 1 is best assessed using a report and/or folio of evidence drawn from a single project which provides sufficient evidence of the requirements of all the performance criteria.

The balance of the unit needs to be assessed off the job, and will occur as part of the response to a simulated incident.

The collection of performance evidence:

should provide evidence of the ability to perform over the range of situations which might be expected to be encountered, including typical disruptions to normal, smooth work conditions

will typically include the use of appropriate tools, equipment and safety gear requiring demonstration of preparation, operation, completion and responding to problems.

Off-the-job assessment must sufficiently reflect realistic operational workplace conditions that cover all aspects of workplace performance, including environment, task skills, task management skills, contingency management skills and job role environment skills.

Assessment in a simulated environment should use evidence collected from one or more of:

demonstration of skills

industry-based case studies/scenarios

‘what ifs’.

A third-party report, or similar, may be needed to testify to the work done by the individual, particularly when the project has been done as part of a project team.

Knowledge evidence may be collected concurrently with performance evidence interviews (provided a record is kept) or through an independent process such as workbooks, written assessments or interviews (provided a record is kept).

Assessment processes and techniques must be appropriate to the language, literacy and numeracy requirements of the work being performed and the needs of the candidate.

Conditions for assessment must include access to all tools, equipment, materials and documentation required, including relevant workplace procedures, product and manufacturing specifications associated with this unit.

Foundation skills are integral to competent performance of the unit and should not be assessed separately.

Assessors must satisfy the assessor competency requirements that are in place at the time of the assessment as set by the VET regulator.

In addition, the assessor or anyone acting in subject matter expert role in assessment must demonstrate both technical competency and currency. If the assessor cannot demonstrate technical competency and currency they must assess with a subject matter expert who does meet these requirements.

Technical competence can be demonstrated through one or more of:

relevant VET or other qualification/Statement of Attainment

appropriate workplace experience undertaking the type of work being assessed under routine and non-routine conditions

appropriate workplace experience supervising/evaluating the type of work being assessed under routine and non-routine conditions

Currency can be demonstrated through one or more of:

being currently employed undertaking the type of work being assessed

being employed by the organisation undertaking the type of work being assessed and having maintained currency in accordance with that organisation’s policies and procedures

having consulted/had contact with an organisation undertaking the type of work being assessed within the last twelve months, the consultation/contact being related to assessment

conducting on-the-job training/assessments of the type of work being assessed

being an active member of a relevant professional body and participating in activities relevant to the assessment of this type of work
Prerequisites/co-requisites
Competency Field Incident readiness and response
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities 		Slides
PPT 		Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Conduct routine review of incident response plans
  • Identify legislation, regulation and licencing relevant to possible incident scenarios
  • Determine possible compliance issues with planned responses
  • Negotiate alternative response plans which do not raise compliance issues
  • Ensure plans, equipment and training are modified to reflect changed response plans
       
Element: Oversee the operations of the incident management team during the incident
  • Ensure that the incident team is aware of legislation that needs to be complied with during the incident
  • Obtain information concerning legal ramifications as required in accordance with organisation's policies
  • Ensure accurate recording of all relevant details of all agreed actions
  • Assess actions taken and proposed against relevant legislation to determine compliance and possible impacts on the company
       
Element: Advise appropriate action to facilitate compliance during the incident
  • Undertake consultations with regulatory authorities to facilitate minimal impact resolutions
  • Advise management of options that are available to remain compliant
  • Provide advice on actions to achieve compliance
       
Element: Monitor actions taken to achieve compliance during the incident
  • Monitor company actions to resolve incidents and achieve compliance or remain compliant
  • Document actions taken by the organisation to remain compliant
  • Prepare reports for management regarding outcomes from the incident and any material breaches of legislation that have occurred
  • Prepare for possible legal proceedings within required timeframe
       
Element: Seek improvements to incident responses post incident
  • Identify possible areas for improvement
  • Develop improved responses in liaison with relevant people
  • Ensure plans, equipment and training are modified to reflect improved response plans
       


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 describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1

Conduct routine review of incident response plans

1.1

Identify legislation, regulation and licencing relevant to possible incident scenarios

1.2

Determine possible compliance issues with planned responses

1.3

Negotiate alternative response plans which do not raise compliance issues

1.4

Ensure plans, equipment and training are modified to reflect changed response plans

2

Oversee the operations of the incident management team during the incident

2.1

Ensure that the incident team is aware of legislation that needs to be complied with during the incident

2.2

Obtain information concerning legal ramifications as required in accordance with organisation's policies

2.3

Ensure accurate recording of all relevant details of all agreed actions

2.4

Assess actions taken and proposed against relevant legislation to determine compliance and possible impacts on the company

3

Advise appropriate action to facilitate compliance during the incident

3.1

Undertake consultations with regulatory authorities to facilitate minimal impact resolutions

3.2

Advise management of options that are available to remain compliant

3.3

Provide advice on actions to achieve compliance

4

Monitor actions taken to achieve compliance during the incident

4.1

Monitor company actions to resolve incidents and achieve compliance or remain compliant

4.2

Document actions taken by the organisation to remain compliant

4.3

Prepare reports for management regarding outcomes from the incident and any material breaches of legislation that have occurred

4.4

Prepare for possible legal proceedings within required timeframe

5

Seek improvements to incident responses post incident

5.1

Identify possible areas for improvement

5.2

Develop improved responses in liaison with relevant people

5.3

Ensure plans, equipment and training are modified to reflect improved response plans

Evidence required to demonstrate competence in this unit must be relevant to and satisfy the requirements of the elements and performance criteria, and include the ability to:

identify potential compliance issues in incident response plans and compliance breaches in activities

communicate effectively with team members, management and other stakeholders about compliance requirements, issues and solutions

identify and provide advice on options for resolution of compliance issues and breaches

document solutions and improvements to be implemented in training and procedures

complete workplace documentation, write reports and prepare documentation for legal proceedings.

Evidence must be provided that demonstrates knowledge of:

regulatory framework and specific compliance requirements that apply to the organisation

allowable defences for apparent compliance breaches

types of incidents that can arise in the work environment, typical responses and potential compliance issues

organisational procedures, including those covering:

safety, hazards and hazard control

incident, fire and accident

environmental protection

risk assessment/risk management

relevant facility fire management and safety systems

communication systems

emergency response plans

release of information to external bodies

constraints to negotiations that arise from organisation policies, procedures and corporate structures.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, 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 describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1

Conduct routine review of incident response plans

1.1

Identify legislation, regulation and licencing relevant to possible incident scenarios

1.2

Determine possible compliance issues with planned responses

1.3

Negotiate alternative response plans which do not raise compliance issues

1.4

Ensure plans, equipment and training are modified to reflect changed response plans

2

Oversee the operations of the incident management team during the incident

2.1

Ensure that the incident team is aware of legislation that needs to be complied with during the incident

2.2

Obtain information concerning legal ramifications as required in accordance with organisation's policies

2.3

Ensure accurate recording of all relevant details of all agreed actions

2.4

Assess actions taken and proposed against relevant legislation to determine compliance and possible impacts on the company

3

Advise appropriate action to facilitate compliance during the incident

3.1

Undertake consultations with regulatory authorities to facilitate minimal impact resolutions

3.2

Advise management of options that are available to remain compliant

3.3

Provide advice on actions to achieve compliance

4

Monitor actions taken to achieve compliance during the incident

4.1

Monitor company actions to resolve incidents and achieve compliance or remain compliant

4.2

Document actions taken by the organisation to remain compliant

4.3

Prepare reports for management regarding outcomes from the incident and any material breaches of legislation that have occurred

4.4

Prepare for possible legal proceedings within required timeframe

5

Seek improvements to incident responses post incident

5.1

Identify possible areas for improvement

5.2

Develop improved responses in liaison with relevant people

5.3

Ensure plans, equipment and training are modified to reflect improved response plans

This field allows for different work environments and conditions that may affect performance. Essential operating conditions that may be present (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) are included.

Regulatory framework

The latest version of all legislation, regulations, industry codes of practice and Australian/international standards, or the version specified by the local regulatory authority, must be used, and include one or more of the following:

legislative requirements, including work health and safety (WHS)

industry codes of practice and guidelines

environmental regulations and guidelines

Australian and other standards

licence and certification requirements

All operations to which this unit applies are subject to stringent health, safety and environment (HSE) requirements, which may be imposed through state/territory or federal legislation, and these must not be compromised at any time. Where there is an apparent conflict between performance criteria and HSE requirements, the HSE requirements take precedence.

Duty of care responsibilities under general work health and safety (WHS) Acts and regulations, and state/territory and national standards applying to hazardous substances, dangerous goods and major hazards must be met.

Procedures

All operations must be performed in accordance with relevant procedures.

Procedures are written, verbal, visual, computer-based or in some other form, and include one or more of the following:

emergency procedures

work instructions

standard operating procedures (SOPs)

safe work method statements (SWMS)

formulas/recipes

batch sheets

temporary instructions

any similar instructions provided for the smooth running of the plant

Incident response

Incident response includes one or more of the following:

deployment of site incident response personnel

containing/controlling the incident at source and or its spread

search and rescue operations

engagement of external emergency services (such as fire, ambulance, rescue and military)

liaison with other agencies (such as environmental, clean-up and specialised troubleshooters)

evacuation

hazard control

Incident response actions must:

be in accordance with and relevant organisation procedures

use appropriate response equipment, where required

prioritise the safety and/or successful recovery of personnel and others affected by the incident response

not inhibit effectiveness of the incident response or further contribute to the incident.

Legal compliance

Legal compliance during an incident involves monitoring all of:

liquid leaving site (e.g. fire water, product and materials)

smoke and vapour leaving site (e.g. from loss of containment (LOC) and fire)

gas leaving site (e.g. from LOC)

noise leaving site (e.g. from incident or incident response and alarms)

Identifying areas for improvement

Identifying areas for improvement includes addressing one or more of the following:

difficulties tracking and identifying relevant legislation or amendments

managing evidence for later investigations or enquiries

interpersonal conflicts

conflicts of interest

failed compliance measures

failure to comply with timeframes dictated by legislation or regulation

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
Identify legislation, regulation and licencing relevant to possible incident scenarios 
Determine possible compliance issues with planned responses 
Negotiate alternative response plans which do not raise compliance issues 
Ensure plans, equipment and training are modified to reflect changed response plans 
Ensure that the incident team is aware of legislation that needs to be complied with during the incident 
Obtain information concerning legal ramifications as required in accordance with organisation's policies 
Ensure accurate recording of all relevant details of all agreed actions 
Assess actions taken and proposed against relevant legislation to determine compliance and possible impacts on the company 
Undertake consultations with regulatory authorities to facilitate minimal impact resolutions 
Advise management of options that are available to remain compliant 
Provide advice on actions to achieve compliance 
Monitor company actions to resolve incidents and achieve compliance or remain compliant 
Document actions taken by the organisation to remain compliant 
Prepare reports for management regarding outcomes from the incident and any material breaches of legislation that have occurred 
Prepare for possible legal proceedings within required timeframe 
Identify possible areas for improvement 
Develop improved responses in liaison with relevant people 
Ensure plans, equipment and training are modified to reflect improved response plans 

Forms

Assessment Cover Sheet

PMAOMIR449 - Monitor legal compliance obligations during incidents
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

PMAOMIR449 - Monitor legal compliance obligations during incidents

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: