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

PSPREG005 Mapping and Delivery Guide
Assess compliance

Version 1.0
Issue Date: April 2024


Qualification -
Unit of Competency PSPREG005 - Assess compliance
Description
Employability Skills
Learning Outcomes and Application This unit describes the skills required to assess risk, monitor situations, environments and behaviours, and analyse 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.This unit applies to those working in regulatory roles involving compliance assessment.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, performing routine tasks in a range of familiar and unfamiliar contexts.No licensing, legislative or certification requirements apply to unit at the time of publication.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.

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.
Prerequisites/co-requisites
Competency Field Regulatory
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: Monitor areas under jurisdiction
  • Conduct risk assessment analysis to identify and prioritise areas for monitoring and to identify methodology
  • Conduct inspections and/or compliance audits.
  • Utilise specialist equipment when required.
  • Protect the safety of self and others.
  • Facilitate cooperation with other organisations and jurisdictions.
       
Element: Receive or identify allegation of non-compliance
  • Record referrals relating to non-compliance.
  • Respond to possible and potential breaches promptly.
  • Assess preliminary information to establish the offence and validate to confirm the need for action.
  • Handle complainants including referral to more senior personnel as required.
       
Element: Determine levels of compliance
  • Seek assistance promptly as necessary to obtain advice on methodology to adopt and prevent gaps occurring in evidence collection.
  • Select evidence collection methodology according to the purpose, situation and operational guidelines.
  • Collect, analyse and secure information and/or samples.
  • Ensure information and/or samples are relevant and sufficient for the purpose identified.
  • Assess against the requirements of the legislation and identify and document the level of compliance.
  • Determine further action consistent with the level of compliance and is record or report.
       
Element: Monitor areas under jurisdiction
  • Conduct risk assessment analysis to identify and prioritise areas for monitoring and to identify methodology
  • Conduct inspections and/or compliance audits.
  • Utilise specialist equipment when required.
  • Protect the safety of self and others.
  • Facilitate cooperation with other organisations and jurisdictions.
       
Element: Receive or identify allegation of non-compliance
  • Record referrals relating to non-compliance.
  • Respond to possible and potential breaches promptly.
  • Assess preliminary information to establish the offence and validate to confirm the need for action.
  • Handle complainants including referral to more senior personnel as required.
       
Element: Determine levels of compliance
  • Seek assistance promptly as necessary to obtain advice on methodology to adopt and prevent gaps occurring in evidence collection.
  • Select evidence collection methodology according to the purpose, situation and operational guidelines.
  • Collect, analyse and secure information and/or samples.
  • Ensure information and/or samples are relevant and sufficient for the purpose identified.
  • Assess against the requirements of the legislation and identify and document the level of compliance.
  • Determine further action consistent with the level of compliance and is record or report.
       


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. Monitor areas under jurisdiction

1.1 Conduct risk assessment analysis to identify and prioritise areas for monitoring and to identify methodology

1.2 Conduct inspections and/or compliance audits.

1.3 Utilise specialist equipment when required.

1.4 Protect the safety of self and others.

1.5 Facilitate cooperation with other organisations and jurisdictions.

2. Receive or identify allegation of non-compliance

2.1 Record referrals relating to non-compliance.

2.2 Respond to possible and potential breaches promptly.

2.3 Assess preliminary information to establish the offence and validate to confirm the need for action.

2.4 Handle complainants including referral to more senior personnel as required.

3. Determine levels of compliance

3.1 Seek assistance promptly as necessary to obtain advice on methodology to adopt and prevent gaps occurring in evidence collection.

3.2 Select evidence collection methodology according to the purpose, situation and operational guidelines.

3.3 Collect, analyse and secure information and/or samples.

3.4 Ensure information and/or samples are relevant and sufficient for the purpose identified.

3.5 Assess against the requirements of the legislation and identify and document the level of compliance.

3.6 Determine further action consistent with the level of compliance and is record or report.

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, 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

reading and applying complex information from legislation

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.

public sector legislation

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 and/or information

procedures for recording allegations and/or complaints

specialist equipment

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

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. Monitor areas under jurisdiction

1.1 Conduct risk assessment analysis to identify and prioritise areas for monitoring and to identify methodology

1.2 Conduct inspections and/or compliance audits.

1.3 Utilise specialist equipment when required.

1.4 Protect the safety of self and others.

1.5 Facilitate cooperation with other organisations and jurisdictions.

2. Receive or identify allegation of non-compliance

2.1 Record referrals relating to non-compliance.

2.2 Respond to possible and potential breaches promptly.

2.3 Assess preliminary information to establish the offence and validate to confirm the need for action.

2.4 Handle complainants including referral to more senior personnel as required.

3. Determine levels of compliance

3.1 Seek assistance promptly as necessary to obtain advice on methodology to adopt and prevent gaps occurring in evidence collection.

3.2 Select evidence collection methodology according to the purpose, situation and operational guidelines.

3.3 Collect, analyse and secure information and/or samples.

3.4 Ensure information and/or samples are relevant and sufficient for the purpose identified.

3.5 Assess against the requirements of the legislation and identify and document the level of compliance.

3.6 Determine further action consistent with the level of compliance and is record or report.

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
Conduct risk assessment analysis to identify and prioritise areas for monitoring and to identify methodology 
Conduct inspections and/or compliance audits. 
Utilise specialist equipment when required. 
Protect the safety of self and others. 
Facilitate cooperation with other organisations and jurisdictions. 
Record referrals relating to non-compliance. 
Respond to possible and potential breaches promptly. 
Assess preliminary information to establish the offence and validate to confirm the need for action. 
Handle complainants including referral to more senior personnel as required. 
Seek assistance promptly as necessary to obtain advice on methodology to adopt and prevent gaps occurring in evidence collection. 
Select evidence collection methodology according to the purpose, situation and operational guidelines. 
Collect, analyse and secure information and/or samples. 
Ensure information and/or samples are relevant and sufficient for the purpose identified. 
Assess against the requirements of the legislation and identify and document the level of compliance. 
Determine further action consistent with the level of compliance and is record or report. 
Conduct risk assessment analysis to identify and prioritise areas for monitoring and to identify methodology 
Conduct inspections and/or compliance audits. 
Utilise specialist equipment when required. 
Protect the safety of self and others. 
Facilitate cooperation with other organisations and jurisdictions. 
Record referrals relating to non-compliance. 
Respond to possible and potential breaches promptly. 
Assess preliminary information to establish the offence and validate to confirm the need for action. 
Handle complainants including referral to more senior personnel as required. 
Seek assistance promptly as necessary to obtain advice on methodology to adopt and prevent gaps occurring in evidence collection. 
Select evidence collection methodology according to the purpose, situation and operational guidelines. 
Collect, analyse and secure information and/or samples. 
Ensure information and/or samples are relevant and sufficient for the purpose identified. 
Assess against the requirements of the legislation and identify and document the level of compliance. 
Determine further action consistent with the level of compliance and is record or report. 

Forms

Assessment Cover Sheet

PSPREG005 - 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

PSPREG005 - 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: