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Evidence Guide: PMAOMIR449 - Monitor legal compliance obligations during incidents

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

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PMAOMIR449 - Monitor legal compliance obligations during incidents

What evidence can you provide to prove your understanding of each of the following citeria?

Conduct routine review of incident response plans

  1. Identify legislation, regulation and licencing relevant to possible incident scenarios
  2. Determine possible compliance issues with planned responses
  3. Negotiate alternative response plans which do not raise compliance issues
  4. Ensure plans, equipment and training are modified to reflect changed response plans
Identify legislation, regulation and licencing relevant to possible incident scenarios

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine possible compliance issues with planned responses

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Negotiate alternative response plans which do not raise compliance issues

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Oversee the operations of the incident management team during the incident

  1. Ensure that the incident team is aware of legislation that needs to be complied with during the incident
  2. Obtain information concerning legal ramifications as required in accordance with organisation's policies
  3. Ensure accurate recording of all relevant details of all agreed actions
  4. Assess actions taken and proposed against relevant legislation to determine compliance and possible impacts on the company
Ensure that the incident team is aware of legislation that needs to be complied with during the incident

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure accurate recording of all relevant details of all agreed actions

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Advise appropriate action to facilitate compliance during the incident

  1. Undertake consultations with regulatory authorities to facilitate minimal impact resolutions
  2. Advise management of options that are available to remain compliant
  3. Provide advice on actions to achieve compliance
Undertake consultations with regulatory authorities to facilitate minimal impact resolutions

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Advise management of options that are available to remain compliant

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide advice on actions to achieve compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor actions taken to achieve compliance during the incident

  1. Monitor company actions to resolve incidents and achieve compliance or remain compliant
  2. Document actions taken by the organisation to remain compliant
  3. Prepare reports for management regarding outcomes from the incident and any material breaches of legislation that have occurred
  4. Prepare for possible legal proceedings within required timeframe
Monitor company actions to resolve incidents and achieve compliance or remain compliant

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document actions taken by the organisation to remain compliant

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare for possible legal proceedings within required timeframe

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Seek improvements to incident responses post incident

  1. Identify possible areas for improvement
  2. Develop improved responses in liaison with relevant people
  3. Ensure plans, equipment and training are modified to reflect improved response plans
Identify possible areas for improvement

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop improved responses in liaison with relevant people

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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

Required Skills and Knowledge

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.

Range Statement

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