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Evidence Guide: PSPREG601B - Manage regulatory 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

 

PSPREG601B - Manage regulatory compliance

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

Interpret and advise on enabling and related legislation

  1. Non-routine or complex matters related to enabling and related legislation are resolved or referred in accordance with organisational procedures
  2. Advice is provided to clients and staff that is timely, consistent and constructive, and within level of authority
  3. Feedback is obtained on client level of understanding, and additional information or explanation is provided to clarify issues
  4. Staff understanding of legislation and procedures is monitored and action to address professional development needs is timely and in accordance with organisational procedures
Non-routine or complex matters related to enabling and related legislation are resolved or referred in accordance with organisational procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Advice is provided to clients and staff that is timely, consistent and constructive, and within level of authority

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Feedback is obtained on client level of understanding, and additional information or explanation is provided to clarify issues

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Staff understanding of legislation and procedures is monitored and action to address professional development needs is timely and in accordance with organisational procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop and implement compliance strategies

  1. Strategies and measures to influence long-term voluntary compliance are identified and implemented to suit the audience and the context
  2. Information that is current and promotes the benefits of compliance is provided to clients
  3. Strategies are developed in accordance with government and organisational policy and practice
  4. Information and strategies are adjusted in response to feedback gathered from a range of stakeholders
Strategies and measures to influence long-term voluntary compliance are identified and implemented to suit the audience and the context

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Information that is current and promotes the benefits of compliance is provided to clients

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Strategies are developed in accordance with government and organisational policy and practice

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Information and strategies are adjusted in response to feedback gathered from a range of stakeholders

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide strategic advice on compliance matters

  1. Client/government information requirements are confirmed
  2. Advice is provided based on current information and meets the specific needs of clients in its range, depth and form of presentation
  3. Presentation standards are maintained in accordance with organisational guidelines
  4. Feedback is obtained on how well the advice/information suits its purpose and audience, and is used to recommend further action
Client/government information requirements are confirmed

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Advice is provided based on current information and meets the specific needs of clients in its range, depth and form of presentation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Presentation standards are maintained in accordance with organisational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Feedback is obtained on how well the advice/information suits its purpose and audience, and is used to recommend further action

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 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

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 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

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 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)