Unit of competency Outline

Date retreived
22/07/2026 5:24 AM AWST

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Assess compliance

Assess compliance

Unit of competency
National Code
PSPREG403B
State Code
C8271
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
07/07/2014
Field of Education
090901 - Business And Commercial Law
Original Release Date
07/07/2014
Nominal Hours
20
Description
This unit covers risk assessment, monitoring of situations/environments/behaviours, and analysis of information to assess compliance with legislation and/or standards. It includes monitoring areas under own jurisdiction, receiving or identifying allegations of non-compliance, and conducting research to determine levels of compliance.In practice, assessing compliance may overlap with other generalist or specialist public sector work activities such as acting ethically, exercising regulatory powers, promoting compliance, acting on non-compliance. No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Notes
Elements and Performance Criteria
1. Monitor areas under jurisdiction
  • 1.1 Risk assessment analysis is conducted to identify and prioritise areas for monitoring and to identify methodology.
  • 1.2 Monitoring is conducted in accordance with legislation, policy and procedures.
  • 1.3 Inspections and/or compliance audits are conducted in accordance with organisational policy and procedures.
  • 1.4 Specialist equipment is utilised when required, in accordance with legislation, policy and procedures.
  • 1.5 Safety of self and others is protected in accordance with legislation, policy and procedures.
  • 1.6 Cooperation with other organisations and jurisdictions is facilitated in accordance with organisational policy and procedures.
2. Receive or identify allegation of non-compliance
  • 2.1 Referrals relating to non-compliance are recorded in accordance with legislation, policy and procedures.
  • 2.2 Possible and potential breaches are responded to in a timely manner in accordance with legislation, policy and procedures.
  • 2.3 Preliminary information is assessed to establish the offence and is validated to confirm the need for action in accordance with organisational policy and procedures.
  • 2.4 Complainants are handled in accordance with organisational guidelines which may indicate referral to more senior personnel.
3. Determine levels of compliance
  • 3.1 Timely consultation is undertaken as necessary to obtain advice on methodology to adopt and prevent gaps occurring in evidence collection.
  • 3.2 Evidence collection methodology is selected according to the purpose, situation and operational guidelines.
  • 3.3 Information/samples are collected, analysed and secured in accordance with legislation, policy and procedures.
  • 3.4 Information/samples are relevant and sufficient for the purpose identified.
  • 3.5 Assessment is made against the requirements of the legislation and the level of compliance is identified and documented according to legal and organisational requirements.
  • 3.6 Further action is determined consistent with the level of compliance and is recorded/reported in accordance with legislation, policy and procedures.
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.
Risk assessment may include:
formal risk management cycle
informal risk assessment
Monitoring may include:
surveillance
spot checks
comparison of data over time
audit
quality assurance reviews
Legislation, policy and procedures may include:
enabling legislation
occupational health and safety legislation
workers compensation legislation
equal employment opportunity and anti-discrimination law
environment legislation and sustainability procedures
listening devices legislation
privacy legislation/instructions
organisational procedures and protocols
standard operating procedures
Australian standards
Specialist equipment may include:
computer data analysis systems
computer aided auditing techniques
electronic equipment
listening devices
cameras
chemical analysis kits
security cupboards
oil sampling kits
personal protective equipment
Other organisations/ jurisdictions may include:
State/Territory police and special units
federal police
military police
Commonwealth regulatory agencies
Local Government law enforcement officers
fire and rescue
emergency services
Referrals may include:
suspicions
complaints
allegations of non-compliance
Evidence collection methodology may include:
sampling
audit
interviews
data analysis
document analysis
Recording/reporting of further action may include:
decision to proceed/not proceed
justification for decision
informing other areas or organisations of information received/gathered and the action to be taken, if any, subject to confidentiality and privacy legislation
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:
PSPETHC401A Uphold and support the values and principles of public service
PSPGOV408A Value diversity
PSPGOV422A Apply government processes
PSPLEGN401A Encourage compliance with legislation in the public sector
PSPREG401C Exercise regulatory powers
PSPREG402C Promote client compliance
PSPREG405B Act on non-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)
assessment of compliance 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
evidence gathering methodology
case studies and workplace scenarios to capture the range of situations likely to be encountered when assessing 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 assessing compliance, including coping with difficulties, irregularities and breakdowns in routine
assessment of 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
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
Replaces
State Code National Code Title Type
C3472 PSPREG403A Assess compliance with legislation Unit of competency
Replaced By
State Code National Code Title Type
AWT91 PSPREG005 Assess compliance Unit of competency