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Evidence Guide: PSPREG005 - Assess compliance

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!

From the Wiki University

 

PSPREG005 - Assess compliance

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

Monitor areas under jurisdiction

  1. Conduct risk assessment analysis to identify and prioritise areas for monitoring and to identify methodology
  2. Conduct inspections and/or compliance audits.
  3. Utilise specialist equipment when required.
  4. Protect the safety of self and others.
  5. Facilitate cooperation with other organisations and jurisdictions.
Conduct risk assessment analysis to identify and prioritise areas for monitoring and to identify methodology

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Conduct inspections and/or compliance audits.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Utilise specialist equipment when required.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Protect the safety of self and others.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Facilitate cooperation with other organisations and jurisdictions.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Receive or identify allegation of non-compliance

  1. Record referrals relating to non-compliance.
  2. Respond to possible and potential breaches promptly.
  3. Assess preliminary information to establish the offence and validate to confirm the need for action.
  4. Handle complainants including referral to more senior personnel as required.
Record referrals relating to non-compliance.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Respond to possible and potential breaches promptly.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Handle complainants including referral to more senior personnel as required.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Determine levels of compliance

  1. Seek assistance promptly as necessary to obtain advice on methodology to adopt and prevent gaps occurring in evidence collection.
  2. Select evidence collection methodology according to the purpose, situation and operational guidelines.
  3. Collect, analyse and secure information and/or samples.
  4. Ensure information and/or samples are relevant and sufficient for the purpose identified.
  5. Assess against the requirements of the legislation and identify and document the level of compliance.
  6. Determine further action consistent with the level of compliance and is record or report.
Seek assistance promptly as necessary to obtain advice on methodology to adopt and prevent gaps occurring in evidence collection.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Collect, analyse and secure information and/or samples.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Monitor areas under jurisdiction

  1. Conduct risk assessment analysis to identify and prioritise areas for monitoring and to identify methodology
  2. Conduct inspections and/or compliance audits.
  3. Utilise specialist equipment when required.
  4. Protect the safety of self and others.
  5. Facilitate cooperation with other organisations and jurisdictions.
Conduct risk assessment analysis to identify and prioritise areas for monitoring and to identify methodology

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Conduct inspections and/or compliance audits.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Utilise specialist equipment when required.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Protect the safety of self and others.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Facilitate cooperation with other organisations and jurisdictions.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Receive or identify allegation of non-compliance

  1. Record referrals relating to non-compliance.
  2. Respond to possible and potential breaches promptly.
  3. Assess preliminary information to establish the offence and validate to confirm the need for action.
  4. Handle complainants including referral to more senior personnel as required.
Record referrals relating to non-compliance.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Respond to possible and potential breaches promptly.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Handle complainants including referral to more senior personnel as required.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Determine levels of compliance

  1. Seek assistance promptly as necessary to obtain advice on methodology to adopt and prevent gaps occurring in evidence collection.
  2. Select evidence collection methodology according to the purpose, situation and operational guidelines.
  3. Collect, analyse and secure information and/or samples.
  4. Ensure information and/or samples are relevant and sufficient for the purpose identified.
  5. Assess against the requirements of the legislation and identify and document the level of compliance.
  6. Determine further action consistent with the level of compliance and is record or report.
Seek assistance promptly as necessary to obtain advice on methodology to adopt and prevent gaps occurring in evidence collection.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Collect, analyse and secure information and/or samples.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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.

Required Skills and Knowledge

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