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Evidence Guide: PSPREG401C - Exercise regulatory powers

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

 

PSPREG401C - Exercise regulatory powers

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

Establish regulatory powers

  1. Current information relating to enabling legislation and regulations is accessed and used to maintain up-to-date knowledge of requirements.
  2. Powers provided under the legislation and the boundaries of those powers are confirmed.
  3. Compliance requirements of the legislation, related regulations, standards, codes of practice and policy are identified and confirmed.
  4. Acts and omissions that comprise non-compliance/offences under the legislation are identified and confirmed.
Current information relating to enabling legislation and regulations is accessed and used to maintain up-to-date knowledge of requirements.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Powers provided under the legislation and the boundaries of those powers are confirmed.

Completed
Date:

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Evidence:

 

 

 

 

 

 

 

Compliance requirements of the legislation, related regulations, standards, codes of practice and policy are identified and confirmed.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Acts and omissions that comprise non-compliance/offences under the legislation are identified and confirmed.

Completed
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Evidence:

 

 

 

 

 

 

 

Apply enabling legislation

  1. Circumstances where regulatory powers will be exercised are identified and analysed to determine response/s or measures to apply, in accordance with the legislation and organisational policy and procedures.
  2. Circumstances requiring the exercise of regulatory powers that are outside own limits are identified and referral to others is made in accordance with organisational policy and procedures.
  3. Risks associated with the exercise of regulatory powers are identified and strategies to manage risks are identified in accordance with the organisation's risk management strategy.
  4. Enabling legislation is applied consistent with the boundaries and powers contained therein and organisational policy and procedures.
Circumstances where regulatory powers will be exercised are identified and analysed to determine response/s or measures to apply, in accordance with the legislation and organisational policy and procedures.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Circumstances requiring the exercise of regulatory powers that are outside own limits are identified and referral to others is made in accordance with organisational policy and procedures.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Risks associated with the exercise of regulatory powers are identified and strategies to manage risks are identified in accordance with the organisation's risk management strategy.

Completed
Date:

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Evidence:

 

 

 

 

 

 

 

Enabling legislation is applied consistent with the boundaries and powers contained therein and organisational policy and procedures.

Completed
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Utilise other legislation and standards

  1. Other legislation and standards which impact on powers are identified and their requirements confirmed.
  2. Apparently conflicting legislative directions are resolved or referred in accordance with organisational policy and procedures.
Other legislation and standards which impact on powers are identified and their requirements confirmed.

Completed
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Apparently conflicting legislative directions are resolved or referred in accordance with organisational policy and procedures.

Completed
Date:

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Evidence:

 

 

 

 

 

 

 

Work with other organisations

  1. Organisations that have jurisdictions which may overlap are identified and relationships are established and maintained in accordance with organisational policy and procedures.
  2. Organisations available to provide assistance and advice or take referrals are identified and relationships are established for mutual benefit.
  3. Organisational protocols and procedures are followed when working with other organisations.
  4. Compliance matters are referred to other organisations for action when required in accordance with organisational policy and procedures.
  5. Lead agency protocols/lines of authority are followed during operations involving more than one organisation.
Organisations that have jurisdictions which may overlap are identified and relationships are established and maintained in accordance with organisational policy and procedures.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Organisations available to provide assistance and advice or take referrals are identified and relationships are established for mutual benefit.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Organisational protocols and procedures are followed when working with other organisations.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Compliance matters are referred to other organisations for action when required in accordance with organisational policy and procedures.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Lead agency protocols/lines of authority are followed during operations involving more than one organisation.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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 units that must be achieved prior to this unit:Nil

Co-requisite units that 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:

PSPCRT401B Carry out court orderly functions

PSPCRT402B Manage witnesses

PSPCRT403B Handle exhibits and documents tendered

PSPCRT404B Serve process

PSPCRT405B Handle monies received in satisfaction of warrants or orders

PSPCRT406B Compile and use official notes

PSPETHC401A Uphold and support the values and principles of public service

PSPGOV422A Apply government processes

PSPLEGN401A Encourage compliance with legislation in the public sector

PSPREG402C Promote client compliance

PSPREG403B Assess compliance

PSPREG404C Investigate non-compliance

PSPREG405B Act on non-compliance

PSPREG406C Make arrests

PSPREG407B Produce formal record of interview

PSPREG408C Conduct search and seizure

PSPREG409B Prepare a brief of evidence

PSPREG411A Gather information through interviews

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)

the exercise of regulatory powers in a range of (3 or more) contexts (or occasions, over time)

Resources required to carry out assessment

These resources include:

legislation, regulations, policy, guidelines and standards

public sector values and codes of conduct

case studies and workplace scenarios to capture the range of regulatory situations likely to be encountered

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 exercising regulatory powers, including coping with difficulties, irregularities and breakdowns in routine

the exercise of regulatory powers 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 target 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, 2 or more of:

case studies

demonstration

observation

portfolios

projects

questioning

scenarios

simulation or role plays

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

Required Skills and Knowledge

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 research and analysis

using information technology to access relevant legislation and procedures

reading complex written materials such as legislation, regulations, codes of practice and legal precedents and applying them to work practices

using scanning techniques to locate main ideas in legislation, guidelines and policy documents

engaging in discussion involving exchanges of often complex oral information

communicating with a range of people from diverse backgrounds

responding to diversity, including gender and disability

choosing regulatory responses/measures to fit the circumstances and justifying those responses against legislation, guidelines, policy and regulations

networking, building relationships and working with others

applying occupational health and safety and environment procedures relating to the exercise of regulatory powers

Knowledge requirements

Look for evidence that confirms knowledge and understanding of:

full range of regulatory powers and the limits to those powers

enabling legislation

offences under the legislation

aspects of criminal law, administrative law, industrial law, contract law

statutory time limits

applicable standards

terminology used in legislation and procedures

organisational policies, guidelines and regulations

equity and diversity principles

public sector legislation such as occupational health and safety and environment relating to the exercise of regulatory powers

Range Statement

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 bold italics in the Performance Criteria is explained here.

Legislation may include:

State/Territory and Commonwealth legislation related to:

public sector management, financial management

auditor general

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

planning, construction, transport, energy, mining, resource management, communications

education and children's services, employment, vocational education and training, equal employment opportunity and anti-discrimination

Regulatory responses or measures may include:

audit

caution

clearance

community protection

control

encouragement to comply

entry

impoundment

initiation of proceedings that may lead to prosecution

inspection

investigation

issue of notices

on-the-spot fines

possession

referral to another agency/jurisdiction

search

seizure

surveillance

warning

Risks associated with the exercise of regulatory powers may result from:

workplace hazards

environmental hazards

equipment failure

people engaged in illegal activities

movement into and out of Australia of:

aircraft

cargo

people

postal articles

vessels

client cultural background

client literacy levels

Other legislation may include:

aspects of common law

aspects of Crimes Act 1914 and Criminal Code Act 1995

contract law

administrative law

industrial relations law

financial management Acts

public service Acts

Standards may include:

public sector standards

government security standards

fraud control standards

Relationships may include:

informal

formal

memoranda of understanding (MOUs)

Other organisations may include:

administrative appeals tribunals

Coroner's office

emergency services

federal police

fire and rescue

industrial inspectors

Local Government law enforcement officers

legal advisers

military police

security services

State/Territory police and special units

other State/Territory/Commonwealth departments/agencies

State/Territory/Commonwealth prosecution agencies