- PSPREG601B - Manage regulatory compliance
Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners
PSPREG601B Mapping and Delivery Guide
Manage regulatory compliance
Version 1.0
Issue Date: April 2024
| Qualification | - |
Unit of Competency | PSPREG601B - Manage regulatory compliance |
|---|---|---|---|
| Description | This unit covers management of regulatory compliance - a management role with responsibility for regulatory officers who enforce and promote compliance with legislation. It includes interpreting and advising on enabling and related legislation; developing and implementing strategies to promote long-term voluntary compliance and develop a culture of compliance in the community; and providing strategic advice on compliance matters.In practice, managing regulatory compliance may overlap with other public sector work activities such as managing ethical behaviour; managing diversity, risk, resources; persuading and influencing opinion, etc.This unit replaces and is equivalent to PSPREG601A Manage regulatory compliance. | ||
| Employability Skills | This unit contains employability skills. | ||
| Learning Outcomes and Application | Not applicable. | ||
| Duration and Setting | X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting. |
||
| Prerequisites/co-requisites | Not applicable. | ||
| 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: Interpret and advise on enabling and related legislation |
| |||||||
| Element: Develop and implement compliance strategies |
| |||||||
| Element: Provide strategic advice on compliance matters |
| |||||||
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 PSPPOL603A Manage policy implementation PSPREG602B Evaluate 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) management of regulatory compliance in a range of (3 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 enabling legislation relevant aspects of common law case studies and workplace scenarios to capture the range of situations likely to be encountered when managing 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 managing regulatory compliance, including coping with difficulties, irregularities and breakdowns in routine management of regulatory compliance 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 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, 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.
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 planning and information analysis engaging in mentoring and coaching interpreting complex written materials preparing written reports requiring formal structure and language providing oral advice to a range of audiences requiring adaptation of style and language using active listening and questioning to confirm understanding responding to diversity, including gender and disability applying occupational health and safety and environment legislation in the context of regulatory compliance management |
Knowledge requirements Look for evidence that confirms knowledge and understanding of: enabling legislation aspects of common law strategic management of regulatory compliance equal employment opportunity, equity and diversity principles organisational reporting procedures public sector policy and legislation including occupational health and safety and environment relating to the management 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. | |
Complex matters may include | conflicting legislation unclear or ambiguous guidelines use of legal precedents regional or national issues issues not previously encountered 'red herring' issues |
Legislation 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 |
Strategies may include | public education campaigns culture change programs redesign of organisational documents incentive programs web site help desk staff training policy changes awareness-raising consultations with client groups |
Measures may include | evaluation criteria against strategic goals/targets/required policy outcomes quantitative, such as: reported injuries/deaths, workers compensation claims and premiums (workplace safety) illegal imports (customs) exotic diseases (quarantine) amount of land affected by salinity (land management) qualitative, such as: client satisfaction (relevant to all regulatory areas) |
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 |
|---|---|---|---|
| Non-routine or complex matters related to enabling and related legislation are resolved or referred in accordance with organisational procedures | |||
| Advice is provided to clients and staff that is timely, consistent and constructive, and within level of authority | |||
| Feedback is obtained on client level of understanding, and additional information or explanation is provided to clarify issues | |||
| Staff understanding of legislation and procedures is monitored and action to address professional development needs is timely and in accordance with organisational procedures | |||
| Strategies and measures to influence long-term voluntary compliance are identified and implemented to suit the audience and the context | |||
| Information that is current and promotes the benefits of compliance is provided to clients | |||
| Strategies are developed in accordance with government and organisational policy and practice | |||
| Information and strategies are adjusted in response to feedback gathered from a range of stakeholders | |||
| Client/government information requirements are confirmed | |||
| Advice is provided based on current information and meets the specific needs of clients in its range, depth and form of presentation | |||
| Presentation standards are maintained in accordance with organisational guidelines | |||
| Feedback is obtained on how well the advice/information suits its purpose and audience, and is used to recommend further action |
Forms
Assessment Cover Sheet
PSPREG601B - Manage regulatory 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
PSPREG601B - Manage regulatory 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: