Unit of competency Outline

Date retreived
22/07/2026 11:43 AM AWST

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Evaluate regulatory compliance

Evaluate regulatory compliance

Unit of competency
National Code
PSPREG602B
State Code
C8295
TGA Status
Replaced
DTWD Status
Replaced
Current Release Number
3.00
Current Release Date
01/11/2012
View on TGA
State Implementation and Classification
Approved Date
08/07/2014
Field of Education
090999 - Law, N.e.c.
Original Release Date
08/07/2014
Nominal Hours
60
Description
This unit covers evaluation of compliance outcomes, and review of regulatory policies, procedures and legislation to improve compliance outcomes. This is typically performed by a manager with responsibility for regulatory officers who enforce and promote compliance with the organisation's enabling legislation (such as customs, quarantine, workplace safety, equal employment opportunity, agriculture, environmental protection, etc). It includes developing compliance measures/targets, evaluating the extent of compliance, reviewing procedures and guidelines to improve compliance, and contributing to new legislation or the review of existing legislation.In practice, evaluation of regulatory compliance may overlap with other public sector work activities such as managing ethical behaviour and compliance with public sector legislation, managing diversity, risk, resources.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Notes
Elements and Performance Criteria
1. Develop compliance measures/targets
  • 1.1 Compliance measures are developed that are valid, reliable, sufficient and both time and cost effective.
  • 1.2 Realistic measures/targets are developed underpinned by current information.
2. Evaluate extent of compliance
  • 2.1 Analysis of compliance data is valid and conclusions are unbiased and supported by evidence.
  • 2.2 Interpretation of comparative data over time is valid and reliable and outcomes are recorded in accordance with legislative and policy requirements.
  • 2.3 Compliance outcomes are reported in accordance with organisational and legislative requirements.
3. Review procedures and guidelines to improve compliance
  • 3.1 A variety of sources of information representing the breadth of possible stakeholders is drawn on to ensure review is comprehensive.
  • 3.2 Possible reasons for not meeting targets/performance indicators are identified and recommendations are made to improve long-term voluntary compliance.
  • 3.3 Adjustments of strategies and plans are made to address review recommendations in accordance with government policy requirements and resource constraints.
4. Contribute to new legislation or review of existing legislation
  • 4.1 Input is provided that supports government policy directions and relies on current information with supporting reasons and data analysis.
  • 4.2 Resource implications of legislative recommendations are made within government policy requirements.
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.
Measures may include:
evaluation against strategic goals/targets/major outcomes
level of prosecutions, cautions or warnings
number of people accessing organisational publications about compliance requirements
outcomes, such as:
reported injuries/deaths, workers compensation claims and premiums (relevant to workplace safety)
illegal imports (relevant to customs)
exotic diseases (relevant to quarantine)
amount of land affected by salinity (relevant to land management)
qualitative, such as:
client satisfaction (relevant to all regulatory areas)
Legislation and policy 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
government policy
Stakeholders may include:
government
Minister
public
staff
victims
offenders/alleged offenders
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:
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
PSPMNGT611A Manage evaluations
PSPPOL603A Manage policy implementation
PSPREG601B Manage 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)
evaluation of regulatory compliance in a range of (2 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
relevant aspects of common law
case studies and workplace scenarios to capture the range of situations likely to be encountered when evaluating 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 evaluating regulatory compliance, including coping with difficulties, irregularities and breakdowns in routine
evaluation of regulatory compliance in a range of (2 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
Replaces
State Code National Code Title Type
C3482 PSPREG602A Evaluate regulatory compliance Unit of competency
Replaced By
State Code National Code Title Type
AWT69 PSPREG028 Evaluate regulatory compliance Unit of competency