Unit of competency Outline
Date retreived
22/07/2026 8:36 AM AWST
22/07/2026 8:36 AM AWST
Whilst all efforts are made to provide accurate and timely information from the relevant source/documentation, please be aware that the information supplied may not be the most current version. The accuracy of the detail has not been confirmed by the Department and therefore should not be relied upon without first confirming the contents.
Exercise regulatory powers
Exercise regulatory powers
Unit of competency
National Code
PSPREG401C
PSPREG401C
State Code
C8269
C8269
TGA Status
Replaced
Replaced
DTWD Status
Replaced
Replaced
State Implementation and Classification
Approved Date
09/10/2014
Field of Education
090999 - Law, N.e.c.
Original Release Date
09/10/2014
Nominal Hours
30
Description
This unit covers the exercise of powers under the organisation's enabling legislation, and other relevant legislation for regulation, monitoring, inspection and investigation. It includes establishing regulatory powers, applying enabling legislation, utilising other legislation and standards, and working with other organisations. In practice, exercising regulatory powers occurs in the context of other specialist and generalist public sector work activities such as acting ethically, promoting client compliance, assessing compliance, conducting investigations, making arrests, conducting search and seizure, interviewing, gathering evidence, etc. No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Notes
Elements and Performance Criteria
1. Establish regulatory powers
- 1.1 Current information relating to enabling legislation and regulations is accessed and used to maintain up-to-date knowledge of requirements.
- 1.2 Powers provided under the legislation and the boundaries of those powers are confirmed.
- 1.3 Compliance requirements of the legislation, related regulations, standards, codes of practice and policy are identified and confirmed.
- 1.4 Acts and omissions that comprise non-compliance/offences under the legislation are identified and confirmed.
2. Apply enabling legislation
- 2.1 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.
- 2.2 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.
- 2.3 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.
- 2.4 Enabling legislation is applied consistent with the boundaries and powers contained therein and organisational policy and procedures.
3. Utilise other legislation and standards
- 3.1 Other legislation and standards which impact on powers are identified and their requirements confirmed.
- 3.2 Apparently conflicting legislative directions are resolved or referred in accordance with organisational policy and procedures.
4. Work with other organisations
- 4.1 Organisations that have jurisdictions which may overlap are identified and relationships are established and maintained in accordance with organisational policy and procedures.
- 4.2 Organisations available to provide assistance and advice or take referrals are identified and relationships are established for mutual benefit.
- 4.3 Organisational protocols and procedures are followed when working with other organisations.
- 4.4 Compliance matters are referred to other organisations for action when required in accordance with organisational policy and procedures.
- 4.5 Lead agency protocols/lines of authority are followed during operations involving more than one organisation.
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
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
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
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
Replaces
| State Code | National Code | Title | Type |
|---|---|---|---|
| C5780 | PSPREG401B | Exercise regulatory powers | Unit of competency |
Replaced By
| State Code | National Code | Title | Type |
|---|---|---|---|
| AWT87 | PSPREG003 | Apply regulatory powers | Unit of competency |