National Public Services Training Package · Certificate III in Government PSP 3 01 99 Diploma of Government (Court Compliance) PSP 5 09 02 Advanced Diploma of Government (Contract

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National Public Services Training Package

National Code: PSP99

Certificate II in Government PSP 2 01 99 Certificate III in Government PSP 3 01 99 Certificate IV in Government PSP 4 01 99 Diploma of Government PSP 5 01 99 Advanced Diploma of Government PSP 6 01 99 Certificate IV in Government (Statutory Investigation & Enforcement) PSP 4 02 99 Certificate IV in Government (Procurement & Contracting) PSP 4 03 99 Certificate IV in Government (Fraud Control Investigation) PSP 4 04 99 Certificate IV in Government (Fraud Control Prevention/Detection) PSP 4 05 99 Certificate IV in Government (Project Management) PSP 4 06 99 Certificate IV in Government (Court Compliance) PSP 4 07 02 Diploma of Government (Policy Development) PSP 5 02 99 Diploma of Government (Management) PSP 5 03 99 Diploma of Government (Fraud Control Investigation) PSP 5 04 99 Diploma of Government (Fraud Control Prevention/Detection) PSP 5 05 99 Diploma of Government (Project Management) PSP 5 06 99 Diploma of Government (Financial Management) PSP 5 07 99 Diploma of Government (Workplace Inspection) PSP 5 08 02 Diploma of Government (Court Compliance) PSP 5 09 02 Advanced Diploma of Government (Compliance Management) PSP 6 02 99 Advanced Diploma of Government (Contract Management) PSP 6 03 99 Advanced Diploma of Government (Human Resources) PSP 6 04 99 Advanced Diploma of Government (Management) PSP 6 05 99 Advanced Diploma of Government (Fraud Control Management) PSP 6 06 99 Advanced Diploma of Government (Workplace Inspection) PSP 6 07 02

Volume 1 Section 2 Standards

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Contents – Volume 1 Section 2

ETHICS AND ACCOUNTABILITY COMPETENCY STANDARDS.............................................1PSPETHC301A Uphold the Values and Principles of Public Service ................................................................. 1 PSPETHC501A Promote the Values and Ethos of Public Service...................................................................... 1 PSPETHC601A Maintain and Enhance Confidence in Public Service................................................................ 1

LEGISLATION AND COMPLIANCE COMPETENCY STANDARDS..........................................1PSPLEGN301A Comply with Legislation in the Public Sector ............................................................................ 1 PSPLEGN501A Promote Compliance with Legislation in the Public Sector ....................................................... 1 PSPLEGN601A Manage Compliance with Legislation in the Public Sector........................................................ 1

POLICY IMPLEMENTATION COMPETENCY STANDARDS.....................................................1PSPPOLI401A Support Policy Implementation ................................................................................................. 1 PSPPOLI601A Manage Policy Implementation ................................................................................................. 1

WORKING IN GOVERNMENT COMPETENCY STANDARDS...................................................1PSPGOV201A Work in a Public Sector Environment........................................................................................ 1 PSPGOV202A Communicate in the Workplace ................................................................................................ 1 PSPGOV203A Deliver a Service to Clients ....................................................................................................... 1 PSPGOV204A Access and Use Resources...................................................................................................... 1 PSPGOV205A Participate in Workplace Change.............................................................................................. 1 PSPGOV206A Handle Workplace Information.................................................................................................. 1 PSPGOV207A Use Technology in the Workplace ............................................................................................ 1 PSPGOV301A Work Effectively in the Organisation ......................................................................................... 1 PSPGOV302A Contribute to the Workgroup Activities...................................................................................... 1 PSPGOV303A Build and Maintain Internal Networks........................................................................................ 1 PSPGOV304A Appraise Capability and Provide Feedback in the Workplace .................................................. 1 PSPGOV305A Access and Use Resources and Financial Systems................................................................. 1 PSPGOV306A Change Own Work Practices as Required................................................................................ 1 PSPGOV307A Organise Workplace Information............................................................................................... 1 PSPGOV308A Work Effectively with Diversity .................................................................................................. 1 PSPGOV401A Apply Knowledge of Government Processes............................................................................ 1 PSPGOV402A Deliver and Monitor Service to Clients ...................................................................................... 1 PSPGOV403A Use Resources to Achieve Work Unit Goals............................................................................. 1 PSPGOV404A Develop and Implement Work Unit Plans ................................................................................. 1 PSPGOV405A Provide Input to Change Process ............................................................................................. 1 PSPGOV406A Gather and Analyse Information ............................................................................................... 1 PSPGOV407A Prepare a Quotation.................................................................................................................. 1 PSPGOV501A Co-ordinate a Workgroup.......................................................................................................... 1 PSPGOV502A Develop, Provide, Promote and Evaluate Client Services ........................................................ 1 PSPGOV503A Co-ordinate Resource Allocation and Usage ............................................................................ 1 PSPGOV504A Co-ordinate Research and Analysis.......................................................................................... 1 PSPGOV601A Apply Knowledge of Government Systems............................................................................... 1 PSPGOV602A Establish and Maintain External Networks................................................................................ 1 PSPGOV603A Develop a Tender Submission .................................................................................................. 1

POLICY DEVELOPMENT COMPETENCY STANDARDS..........................................................1PSPPOLD401A Contribute to the Development of Policy................................................................................... 1 PSPPOLD501A Develop Organisation Policy ..................................................................................................... 1 PSPPOLD502A Manage the Policy Development Process ................................................................................ 1 PSPPOLD601A Develop Public Policy................................................................................................................ 1

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REGULATORY COMPETENCY STANDARDS ..........................................................................1PSPREG401B Exercise Regulatory Powers .....................................................................................................1 PSPREG402B Promote Client Compliance with Legislation .............................................................................1 PSPREG403A Assess Compliance with Legislation .........................................................................................1 PSPREG404B Investigate Non-Compliance with Legislation............................................................................1 PSPREG405A Act on Non-Compliance.............................................................................................................1 PSPREG406B Make Arrests .............................................................................................................................1 PSPREG407A Conduct and Record Interviews ................................................................................................1 PSPREG408B Conduct a Search and Possible Seizure ...................................................................................1 PSPREG409A Prepare Evidence ......................................................................................................................1 PSPREG410A Give Evidence ...........................................................................................................................1 PSPREG501A Conduct Prosecutions ...............................................................................................................1 PSPREG601A Manage Regulatory Compliance ...............................................................................................1 PSPREG602A Evaluate Regulatory Compliance ..............................................................................................1

PROCUREMENT AND CONTRACT MANAGEMENT COMPETENCY STANDARDS ...............1PSPPROC301A Procure Goods or Services .......................................................................................................1 PSPPROC401A Plan Procurement......................................................................................................................1 PSPPROC402A Request and Receive Offers .....................................................................................................1 PSPPROC403A Award Contracts ........................................................................................................................1 PSPPROC404A Manage Contracts .....................................................................................................................1 PSPPROC405A Dispose of Assets......................................................................................................................1 PSPPROC601A Influence and Plan for Procurement Outcomes.........................................................................1 PSPPROC602A Direct the Management of Contracts.........................................................................................1 PSPPROC603A Divest Strategic Assets..............................................................................................................1 PSPPROC701A Define Strategic Procurement Directions ..................................................................................1 PSPPROC702A Establish the Procurement Context ...........................................................................................1 PSPPROC703A Evaluate and Improve Procurement Performance ....................................................................1

HUMAN RESOURCE MANAGEMENT COMPETENCY STANDARDS ......................................1PSPHR401A Provide a Human Resources Consultancy Service ........................................................................1 PSPHR501A Co-ordinate Career Development Strategies and Plans.................................................................1 PSPHR502A Co-ordinate Employee Support Systems........................................................................................1 PSPHR601A Manage Recruitment and Selection Processes..............................................................................1 PSPHR602A Manage Separation ........................................................................................................................1 PSPHR603A Provide Advisory and Mediation Services ......................................................................................1 PSPHR604A Manage Employee Relations Strategies and Plans........................................................................1 PSPHR605A Manage Human Resource Development........................................................................................1 PSPHR606A Manage Performance Management Processes .............................................................................1 PSPHR607A Establish Redeployment Processes ...............................................................................................1 PSPHR608A Manage a System for Human Resources Information....................................................................1 PSPHR609A Design Remuneration Strategies and Plans...................................................................................1 PSPHR610A Design and Implement an Organisational Development Strategy ..................................................1 PSPHR611A Manage Organisational Design ......................................................................................................1 PSPHR701A Provide Strategic Leadership in Human Resources Management .................................................1 PSPHR702A Formulate a Strategic Human Resource Plan ................................................................................1

MANAGEMENT COMPETENCY STANDARDS .........................................................................1PSPMNGT601A Facilitate Workforce Effectiveness ............................................................................................1 PSPMNGT602A Manage Resources ...................................................................................................................1

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PSPMNGT603A Facilitate People Management.................................................................................................. 1 PSPMNGT604A Manage Change........................................................................................................................ 1 PSPMNGT605A Manage Diversity ...................................................................................................................... 1 PSPMNGT606A Manage the Delivery of Quality Client Service.......................................................................... 1 PSPMNGT607A Develop a Business Case ......................................................................................................... 1 PSPMNGT608A Manage Risk ............................................................................................................................. 1 PSPMNGT609A Formulate Business Strategies ................................................................................................. 1 PSPMNGT701A Provide Strategic Direction........................................................................................................ 1

FRAUD PREVENTION, DETECTION AND INVESTIGATION COMPETENCY STANDARDS...1PSPFRAU401A Interrogate Data ........................................................................................................................ 1 PSPFRAU402A Receive and Validate Information ............................................................................................. 1 PSPFRAU403A Gather, Manage and Present Evidence .................................................................................... 1 PSPFRAU404A Conduct Formal Interviews and Take Witness Statements ...................................................... 1 PSPFRAU405A Evaluate Progress of Investigation............................................................................................ 1 PSPFRAU406A Analyse Data............................................................................................................................. 1 PSPFRAU407A Deliver Training in Fraud Control Awareness ........................................................................... 1 PSPFRAU501A Communicate Fraud Control Awareness .................................................................................. 1 PSPFRAU502A Anticipate and Detect Possible Fraud Activity........................................................................... 1 PSPFRAU503A Coordinate Investigations.......................................................................................................... 1 PSPFRAU504A Conduct Fraud Risk Assessment.............................................................................................. 1 PSPFRAU505A Develop Fraud Control Plan...................................................................................................... 1 PSPFRAU506A Implement Fraud Control Activities ........................................................................................... 1 PSPFRAU507A Coordinate Development and Implementation of Fraud Information Systems.......................... 1 PSPFRAU601A Develop Fraud Control Strategy................................................................................................ 1 PSPFRAU602A Manage Fraud Risk Assessment and Action Plan .................................................................... 1 PSPFRAU603A Manage Fraud Control Awareness ........................................................................................... 1 PSPFRAU604A Manage Fraud Investigations Program..................................................................................... 1 PSPFRAU605A Review Fraud Control Activities ................................................................................................ 1

PROJECT MANAGEMENT COMPETENCY STANDARDS........................................................1PSPPM401A Develop a Project ........................................................................................................................... 1 PSPPM402A Implement Projects......................................................................................................................... 1 PSPPM403A Close Projects ................................................................................................................................ 1 PSPPM501A Initiate Projects............................................................................................................................... 1 PSPPM502A Manage Projects ............................................................................................................................ 1 PSPPM503A Finalise Projects ............................................................................................................................. 1 PSPPM601A Direct Project Activities................................................................................................................... 1

OCCUPATIONAL HEALTH & SAFETY COMPETENCY STANDARDS.....................................1PSPOHS201A Follow Defined Occupational Health and Safety Policy and Procedures.................................. 1 PSPOHS401A Implement and Monitor the Organisation’s Occupational Health and Safety Policies, Procedures and Programs......................................................................................................................................... 1 PSPOHS601A Establish, Maintain and Evaluate the Organisation’s Occupational Health and Safety System .............. 1

WORKPLACE INSPECTION COMPETENCY STANDARDS .....................................................1PSPWPI501A Evaluate Workplace Legislative Compliance ............................................................................ 1 PSPWPI502A Facilitate Improvement in Workplace Legislative Performance ................................................ 1 PSPWPI503A Investigate Possible Breaches of Workplace Legislation.......................................................... 1 PSPWPI601A Improve Compliance through Industry Partnerships ................................................................. 1 PSPWPI602A Investigate Complex Issues ...................................................................................................... 1

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PSPWPI603A Manage Emerging Issues..........................................................................................................1 PSPWPI604A Represent and Promote the Organisation .................................................................................1 PSPWPI605A Audit Management Systems......................................................................................................1 PSPWPI606A Contribute to the Development and Revision of Legislation and Related Documents ..............1

COURTS COMPETENCY STANDARDS ................................................................................545PSPCRT401A Carry Out Court Orderly Functions........................................................................................545 PSPCRT402A Manage Witnesses ................................................................................................................551 PSPCRT403A Handle Exhibits and Documents Tendered ...........................................................................555 PSPCRT404A Serve Process .......................................................................................................................559 PSPCRT405A Handle Monies Received in Satisfaction of Warrants or Orders ...........................................564 PSPCRT406A Compile and Use Official Notes.............................................................................................568 PSPCRT501A Perform Court Duties.............................................................................................................573 PSPCRT502A Manage Jurors.......................................................................................................................580 PSPCRT503A Execute Process....................................................................................................................586 PSPCRT504A Carry Out Possessions/Evictions ..........................................................................................591

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A number of separate documents make up the Public Services Training Package and these can be accessed in any order depending on the knowledge, experience and purpose of the reader.

This document contains full details of the Competency Standards preceded by a Matrix which shows all the competency standards available in the Training Package, including those which have been accessed from other industries.

The Competency Standards are arranged into Key Areas.

Endorsed Components Start here to find out

background, context, and definitions.

Start here to see the full range of competency standards sorted into Key Areas and notional levels

Introduction Matrix

of Competency Standards

⋅

Start here to read in detail each of the competency standards arranged by Key Area

Competency Standards

Start here for advice about using the Training Package for New Apprenticeships

New

Apprenticeships Pathways

⋅

Assessment Guidelines

Start here for detailed advice relating to assessment of the competency standards

Qualifications

Framework

Start here to see how competency standards are packaged into qualifications

Non-Endorsed Components

Learning Strategies Assessment Materials Professional Development Materials

Navigating through the Public Services Training Package

Mat

rix

Of

Com

pete

ncy

Sta

ndar

ds

MATRIX OF COMPETENCY STANDARDS

© Australian National Training Authority, PSP99, to be reviewed by 28 February, 2004. Version: 2.01 Vol 1sec 2 Page 3


GENERALIST UNITS INDICATIVE AQF LEVELS (Indicative of the qualification level at which the unit first becomes a Required Unit, OR its recommended qualification use if it is always an

Elective) Please note that this matrix does not depict qualifications

KEY AREA AQF 2 AQF 3 AQF 4 AQF 5 AQF 6 AQF 7 Ethics & Accountability PSPGOV201A is the ethics

unit at this certificate level PSPETHC301A Uphold the Values and Principles of Public Service

PSPETHC501A Promote the Values and Ethos of Public Service

PSPETHC601A Maintain and Enhance Confidence in Public Service

Legislation & Compliance PSPGOV201A is the compliance unit at this certificate level

PSPLEGN301A Comply with Legislation in the Public Sector

PSPLEGN501A Promote Compliance with Legislation in the Public Sector

PSPLEGN601A Manage Compliance with Legislation in the Public Sector

Policy Implementation PSPPOLI401A Support Policy Implementation

PSPPOLI601A Manage Policy Implementation

Working in Government PSPGOV201A Work in a Public Sector Environment

PSPGOV301A Work Effectively in the Organisation

PSPGOV401A Apply Knowledge of Government Processes

PSPGOV501A Co-ordinate a Workgroup

PSPGOV601A Apply Knowledge of Government Systems

PSPGOV202A Communicate in the Workplace

PSPGOV302A Contribute to the Workgroup Activities

PSPGOV402A Deliver and Monitor Service to Clients

PSPGOV502A Develop, Provide, Promote and Evaluate Client Services

PSPGOV602A Establish and Maintain External Networks

PSPGOV203A Deliver a Service to Clients

PSPGOV303A Build and Maintain Internal Networks

PSPGOV403A Use Resources to Achieve Work Unit Goals

PSPGOV503A Coordinate Resource Allocation and Usage

PSPGOV603A Develop a Tender Submission

PSPGOV204A Access and Use Resources

PSPGOV304A Appraise Capability and Provide Feedback in the Workplace

PSPGOV404A Develop and Implement Work Unit Plans

PSPGOV504A Coordinate Research and Analysis

PSPGOV205A Participate in Workplace Change

PSPGOV305A Access and Use Resources and Financial Systems

PSPGOV405A Provide Input to Change Processes

PSPGOV206A Handle Workplace Information

PSPGOV306A Change Own Work Practices as Required

PSPGOV406A Gather and Analyse Information

PSPGOV207A Use Technology in the Workplace

PSPGOV307A Organise Workplace Information

PSPGOV407A Prepare a Quotation

PSPGOV308A Work Effectively with Diversity

Occupational Health and Safety

PSPOHS201A Follow Defined Occupational Health and Safety Policies and Procedures

PSPOHS401A Implement and Monitor the Organisation’s Occupational Health and Safety Policies, Procedures and Programs

PSPOHS601A Establish, Maintain and Evaluate the Organisation’s Occupational Health and Safety System

SPECIALISATIONS INDICATIVE AQF LEVELS (Indicative of the qualification level at which the unit first becomes a Required Unit, OR its recommended qualification use if it is always an


KEY AREA AQF 2 AQF 3 AQF 4 AQF 5 AQF 6 AQF 7 Policy Development PSPPOLD401A

Contribute to the Development of Policy

PSPPOLD501A Develop Organisation Policy

PSPPOLD601A Develop Public Policy

PSPPOLD502A Manage the Policy Development Process

Regulatory PSPREG401B Exercise Regulatory Powers

PSPREG402B Promote Client Compliance with Legislation

PSPREG403A Assess Compliance with Legislation

PSPREG404B Investigate Non-Compliance with Legislation

PSPREG405A Act on Non-Compliance

PSPREG501A Conduct Prosecutions

PSPREG601A Manage Regulatory Compliance

PSPREG406B Make Arrests

PSPREG602A Evaluate Regulatory Compliance

PSPREG407A Conduct and Record Interviews

PSPREG408B Conduct a Search and Possible Seizure

PSPREG409A Prepare Evidence

PSPREG410A Give Evidence

PUAOPE002A Operate Communications Systems and Equipment


© Australian National Training Authority, PSP99, to be reviewed by 28 February, 2004. Version: 2.01

Vol 1sec 2 Page 4

SPECIALISATIONS INDICATIVE AQF LEVELS

(Indicative of the qualification level at which the unit first becomes a Required Unit, OR its recommended qualification use if it is always an Elective)

Please note that this matrix does not depict qualifications KEY AREA AQF 2 AQF 3 AQF 4 AQF 5 AQF 6 AQF 7

Procurement & Contract Management

PSPPROC301A Procure Goods or Services

PSPPROC401A Plan Procurement

PSPPROC601A Influence and Plan for Procurement Outcomes

PSPPROC701A Define Strategic Procurement Directions

PSPPROC402A Request and Receive Offers

PSPPROC702A Establish the Procurement Context

PSPPROC403A Award Contracts

PSPPROC602A Direct the Management of Contracts

PSPPROC703A Evaluate and Improve Procurement Performance

PSPPROC404A Manage Contracts

PSPPROC405A Dispose of Assets

PSPPROC603A Divest Strategic Assets

Human Resource Management

PSPHR401A Provide a Human Resources Consultancy Service

PSPHR501A Coordinate Career Development Strategies and Plans PSPHR502A Coordinate Employee Support Systems

PSPHR601A Manage Recruitment and Selection Processes PSPHR602A Manage Separation PSPHR603A Provide Advisory and Mediation Services PSPHR604A Establish Employee Relations Strategies and Plans PSPHR605A Manage Human Resource Development PSPHR606A Manage Performance Management Processes PSPHR607A Establish Redeployment Processes PSPHR608A Manage a System for Human Resources Information PSPHR609A Design Remuneration Strategies and Plans PSPHR610A Design and Implement an Organisational Development Strategy PSPHR611A Manage Organisational Design

PSPHR701A Provide Strategic Leadership in Human Resources Management PSPHR702A Formulate a Strategic Human Resource Plan

Management PSPMNGT601A Facilitate Workforce Effectiveness PSPMNGT602A Manage Resources PUAMAN007A Manage Financial Resources PSPMNGT603A Facilitate People Management PSPMNGT604A Manage Change PSPMNGT605A Manage Diversity PSPMNGT606A Manage the Delivery of Quality Client Service PSPMNGT607A Develop a Business Case PSPMNGT608A Manage Risk PSPMNGT609A Formulate Business Strategies

PSPMNGT701A Provide Strategic Direction



SPECIALISATION INDICATIVE AQF LEVELS (Indicative of the qualification level at which the unit first becomes a Required Unit, OR its recommended qualification use if it is always an


KEY AREA AQF 2 AQF 3 AQF 4 AQF 5 AQF 6 AQF 7 Fraud Prevention, Detection and Investigation

PSPFRAU401A Interrogate Data PSPFRAU402A Receive and Validate Information PSPFRAU403A Gather, Manage and Present Evidence PSPFRAU404A Conduct Formal Interviews and Take Witness Statements PSPFRAU405A Evaluate Progress of Investigation PSPFRAU406A Analyse Data PSPFRAU407A Deliver Training in Fraud Control Awareness

PSPFRAU501A Communicate Fraud Control Awareness PSPFRAU502A Anticipate and Detect Possible Fraud Activity PSPFRAU503A Coordinate Investigations PSPFRAU504A Conduct Fraud Risk Assessment PSPFRAU505A Develop Fraud Control Plan PSPFRAU506A Implement Fraud Control Activities PSPFRAU507A Coordinate Development and Implementation of Fraud Information Systems

PSPFRAU601A Develop Fraud Control Strategy PSPFRAU602A Manage Fraud Risk Assessment and Action Plan PSPFRAU603A Manage Fraud Control Awareness PSPFRAU604A Manage Fraud Investigations Program PSPFRAU605A Review Fraud Control Activities

Project Management (Public Sector)

PSPPM401A Develop a Project PSPPM402A Implement Projects PSPPM403A Close Projects

PSPPM501A Initiate Projects PSPPM502A Manage Projects PSPPM503A Finalise Projects

PSPPM601A Direct Project Activities

Workplace Inspection PSPWPI501A Evaluate Workplace Legislative Compliance PSPWPI502A Facilitate Improvement in Workplace Legislative Performance PSPWPI503A Investigate Possible Breaches of Workplace Legislation

PSPWPI601A Improve Compliance through Industry Partnerships PSPWPI602A Investigate Complex Issues PSPWPI603A Manage Emerging Issues PSPWPI604A Represent and Promote the Organisation PSPWPI605A Audit Management Systems PSPWPI606A Contribute to the Development and Revision of Legislation and Related Documents

Courts PSPCRT401A Carry out Court Orderly Functions PSPCRT402A Manage Witnesses PSPCRT403A Handle Exhibits and Documents Tendered PSPCRT404A Serve Process PSPCRT405A Handle Monies Received in Satisfaction of Warrants of Orders PSPCRT406A Compile and Use Official Notes

PSPCRT501A Perform Court Duties PSPCRT502A Manage Jurors PSPCRT503A Execute Process PSPCRT504A Carry Out Possession/Evictions



Vol 1sec 2 Page 6

COMPETENCY STANDARDS FROM OTHER TRAINING PACKAGES



KEY AREA AQF 2 AQF 3 AQF 4 AQF 5 AQF 6 AQF 7 Public Safety

PUAOPE002A Operate Communications Systems and Equipment

PUAPOL001A Maintain Operational Safety PUAPOL007A Manage Persons in Care or Custody or in Need of Assistance PUAPOL031A Confiscate Assets PUAPOL033A Manage Intelligence Information Processes PUAOPE003A Navigate in urban and Rural Environments PUAOPE004A Conduct Briefings/Debriefings PUAVEH001A Drive Vehicles Under Operational Conditions

PUAMAN007A Manage Financial Resources



KEY AREA AQF 2 AQF 3 AQF 4 AQF 5 Frontline Management BSXFMI501A

Manage Personal Work Priorities and Professional Development

BSXFMI502A Provide Leadership in the Workplace

BSXFMI503A Establish and Manage Effective Workplace Relationships

BSXFMI504A Participate in, Lead and Facilitate Work Teams

BSXFMI505A Manage Operations to Achieve Planned Outcomes

BSXFMI506A Manage Workplace Information

BSXFMI507A Manage Quality Customer Service

BSXFMI508A Develop and Maintain a Safe Workplace Environment

BSXFMI509A Implement and Monitor Continuous Improvement Systems and Processes

BSXFMI510A Facilitate and Capitalise on Change and Innovation

BSXFMI511A Contribute to the Development of a Workplace Learning Environment

BSBFLM505A(*) Manage Operational Plan

BSBFLM511A(*) Develop a Workplace Learning Environment

NOTE: (*) These are reviewed Frontline Management units that may align to existing Frontline Management units listed above. They have been included here as they have been cited as a core and elective unit as part of a qualification from this training package. The original FMI units have been included because they form part of previously endorsed PSP99 qualifications.

SPECIALISATION INDICATIVE AQF LEVELS


Please note that this matrix does not depict qualifications KEY AREA AQF 4 AQF 5

Project Management (Private Sector)

BSX154L402A Apply Skills in Scope Management

BSX154L403A Apply Skills in Time Management

BSX154L501A Guide Application of Project Integrative Process

BSX154L502A Guide Application of Scope Management

BSX154L503A Guide Application of Time Management

BSX154L404A Apply Skills in Cost Management

BSX154L405A Apply Skills in Quality Management

BSX154L406A Apply Skills in Human Resources Management

BSX154L504A Guide Application of Cost Management

BSX154L505A Guide Application of Quality Management

BSX154L506A Guide Application of Human Resources Management

NB Units at each level must be selected as a group

BSX154L407A Apply Skills in Communications Management

BSX154L408A Apply Skills in Risk Management

BSX154L409A Apply Skills in Procurement Management

BSX154L507A Guide Application of Communications Management

BSX154L508A Guide Application of Risk Management

BSX154L509A Guide Application of Procurement Management



Please note that this matrix does not depict qualifications KEY AREA AQF 2 AQF 3 AQF 4 AQF 5 AQF 6

Training and Development BSZ401A

Plan Assessment BSZ402A Conduct Assessment BSZ403A

BSZ501A Analyse Competency Requirements BSZ502A Design and Establish the





KEY AREA AQF 2 AQF 3 AQF 4 AQF 5 AQF 6

Review Assessment BSZ404A Train Small Groups BSZ405A Plan and Promote a Training Program BSZ406A Plan a Series of Training Sessions BSZ407A Deliver Training Sessions BSZ408A Review Training

Training System BSZ503A Design and Establish the Assessment System BSZ504A Manage the Training and Assessment System BSZ505A Evaluate the Training & Assessment System BSZ506A Develop Assessment Procedures BSZ507A Develop Assessment Tools BSZ508A Design Training Courses



Please note that this matrix does not depict qualifications KEY AREA AQF 2 AQF 3 AQF 4 AQF 5 AQF 6

Finance / Accounting Units in the Diploma and Advanced Diploma in Financial Services will be added once they become available from the National Finance ITAB

FNBACC01A Provide Financial Information FNBACC02A Prepare Statutory Returns FNBACC03A Prepare Budgets and Forecasts FNBACC04A Produce Financial Reports FNBACC05A Establish and Maintain Financial Systems and Records FNBACC06A Implement Financial Policy Statements and Operating Procedures

FNBACC07A Prepare and Evaluate the Audit Function FNBACC08A ** Evaluate Organisational Processes FNBACC09A Audit and Report on Financial Systems and Records FNBACC10A Implement Tax Plans FNBACC11A ** Monitor Compliance Activities FNBACC12A Implement Organisational Improvement Programs

FNBACC13A Evaluate Information Management Systems FNBACC14A ** Evaluate Business Performance FNBACC15A ** Evaluate Organisation’s Financial Performance FNBACC16A Evaluate Financial Risk FNBACC17A Implement Financial Plans FNBACC18A Implement Insolvency program FNBACC19A Implement Reconstruction Plan

All 6 units are core (required) units in the Diploma in Accounting

** These 4 units are core (required) units in the Advanced Diploma in Accounting


KEY AREA AQF 1 Clerical Administration BSAINF101A

Handle Mail to Facilitate Information Flow BSAINF102A Handle Information to Maintain Access to and Security of Records

BSACOM101A Receive and Pass on Messages to Facilitate Communication Flow

BSAENT101A Apply Knowledge of Enterprise to Complete Routine Administrative Tasks

BSATEC101A Operate a Range of Office Equipment to Complete Routine Tasks BSATEC102A Access and Retrieve Computer Data

BSAORG101A Follow Established Work Schedules to Achieve Designated Team / Section Goals

BSATEM101A Participate in a Team to Achieve Designated Tasks

BSAFIN101A Prepare Routine Financial Documents



Vol 1sec 2 Page 8


KEY AREA AQF 3 AQF 4 AQF 5 Community Development CHCCD 7A

Support Community Resources

CHCCD 1A Support Community Participation CHCCD 14A Implement a Community Development Strategy

CHCCD 5A Develop Community Resources

CHCCD 8A Support Community Action

CHCCD 9A Support Community Leadership

CHCCD 13A Work within Specific Communities




Correctional Services

CSCSAS001A Maintain Safety and Security CSCSAS006A Contain Incidents which Jeopardise Safety and Security CSCSAS012A Conduct Searches CSCSAS013A Monitor Control Room Operations CSCSAS019A Manage Threatening Behaviour CSCTRA004A Plan and Monitor Escorts

CSCSAS017A Determine Response to Security Risk CSCSAS018A Manage Conflict through Negotiation




Property Development and Management, Asset Security

PRSSG01A Maintain the Security of Premises and Property PRSSG10A Screen Baggage and People to Minimise Security Risk PRSSG13A Control Crowds PRSSG14A Maintain Prisoner Security During Escort PRSSG16A Employ Batons and Handcuffs PRDSSA23A Conduct Auction Sale

Eth

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ETHICS AND ACCOUNTABILITY PSPETHC301A Uphold the Values and Principles of Public Service


Vol 1Sec 2 Page 11

ETHICS AND ACCOUNTABILITY COMPETENCY STANDARDS

Unit PSPETHC301A Uphold the Values and Principles of Public Service

Unit Descriptor This unit covers the ethical conduct required of those in public service.

Key Area Ethics and Accountability

Element Performance Criteria

1 Apply ethical standards

1 Personal work practices comply with public sector ethics standards, policy and/or guidelines

2 Verbal and written advice and reports contain information which is impartial, substantiated, accurate and complete

3 Public resources are used in accordance with public sector ethics standards, policy and/or guidelines

4 Conflicts of interest are identified, addressed and documented in accordance with policy and procedures

5 Relationships with the public and business contacts comply with ethics standards, policy and guidelines

6 Suppliers and the public who deal with the organisation are provided with information on the ethical values and standards of the public sector

2 Deal with ethical problems

1 Situations which pose ethical problems are resolved or referred in accordance with organisational guidelines

2 Decision-making processes used to resolve ethical problems are recorded in accordance with organisational policy and procedures

3 Organisational policies / codes on the prevention and reporting of unethical conduct are accessed and applied

PSPETHC301A Uphold the Values and Principles of Public Service ETHICS AND ACCOUNTABILITY


Range of Variables The Range of Variables provides information about the context in which the unit of competency is carried out. It allows for differences between States and Territories and the Commonwealth, and between organisations and workplaces. It allows for different work requirements, work practices, and knowledge. The Range of Variables also provides a focus for assessment and relates to the unit as a whole.

Legislation and guidelines may include

• legislation for public sector management; freedom of information • equal employment opportunity and anti-discrimination law • public sector standards • Ministerial directions • State/Territory or Commonwealth codes of ethics • organisational codes of conduct • sets of values • organisational mission and values statements • organisational policy, procedures/guidelines • government policy • professional codes of ethics and conduct • equity guidelines, workplace diversity guidelines

Work practices may include • relationships with work colleagues, external individuals and organisations (in addition to actual work practices)

Processes for resolving ethical problems may include

• accessing relevant standards and other information • withdrawing from a situation • using models of ethical decision-making • reflection, discussion, seeking clarification from others

Ethical values and principles may include

• respect for the law • natural justice • integrity • objectivity • accountability • honesty • openness • responsibility • impartiality • diligence • trustworthiness • confidentiality • respect for persons • responsible care • probity • economy and efficiency • procedural fairness

• ie the right to be heard/put your case • the right to be informed of a complaint or case against you • the right to know reasons for decisions affecting you • the right to privacy • the right to representation; the right to silence; the decision

maker should not be a judge in his/her own cause



Vol 1Sec 2 Page 13

Referrals of ethical problems may include

to • line management • chief executive officer • public service commissioner • public sector standards body • organisational ethics committee • internal grievance mechanisms • confidant programs (ie whistleblower protection programs • organisational professional reporting procedures) • unions and professional bodies • ombudsman

Conflicts of interest may include

• both potential and actual conflicts • bribery • improper use of official information • gifts • entertainment • outside employment • favours for friends • relatives • memberships of organisations • political activity • pecuniary and non-pecuniary conflicts

Unethical conduct may include • fraud, corruption, maladministration and waste • unauthorised access to and use of information, money/finances,

vehicles, equipment, resources • improper public comment on matters relating to the government

and/or the organisation • falsifying records • giving false testimonials; • dishonesty • improper use of telephones, credit cards, frequent flier points,

e-mail and Internet • extravagant or wasteful practices • personal favours • preferential treatment • compromising behaviour including sexual harassment • directing others to act unethically • oppressive / coercive management decisions • resorting to illegality to obtain evidence

Ethical problems which may need to be referred rather than

resolved at this level may include

• conflict between public sector standards and personal values • conflict between public sector standards and other standards eg

professional standards • conflict between public sector standards and directions of a senior

officer or Minister • tension between two “rights” eg right to privacy versus right to

freedom of information • conflict regarding issues of personal and organisational intellectual

property

PSPETHC301A Uphold the Values and Principles of Public Service ETHICS AND ACCOUNTABILITY


Evidence Guide This Evidence Guide must be read in conjunction with the Assessment Guidelines for the National Public Services Training Package.

Critical aspects of evidence • integrated demonstration of all elements and their related performance criteria; and

• knowledge of State/Territory/ Commonwealth/ organisational values, and code/s of ethics/conduct; and

• knowledge of fundamental ethical principles and how these relate to the public sector; and

• evidence of ethical conduct in a range of (2 or more) generalist or specialist work activities eg delivering client services, using financial resources, procuring goods or services, etc

Interdependent assessment of units Pre-requisite units: Nil

Co-requisite units: Nil

Co-assessed units: This unit of competency should be assessed with a range of (2 or more) generalist or specialist units of competency in the Certificate III in Government. Choice from the following units is recommended: PSPGOV305A Access and Use Resources and Financial Systems, PSPGOV307A Organise Workplace Information, and other specialist units such as PSPPROC301A Procure Goods or Services, etc

Underpinning knowledge • the nature of ethics and ethical values • fundamental ethical principles such as justice, respect for

persons and responsible care • values of public sector office • natural justice / procedural fairness • equal employment opportunity, equity and diversity principles • where to access ethical decision-making models • other ethics standards eg professional standards • procedures for declaring conflicts of interest • protocols for reporting fraud, corruption and

maladministration

Underpinning skills • objectivity / impartiality • conceptual and analytical • evaluation of conflicting requirements • decision-making • information technology skills for preparing written advice and

reports requiring precision of expression • using an Internet web browser to access legislation and codes

of ethics • reading complex and formal documents such as legislation and

codes of ethics and applying them to work practices • adjusting communication to suit different audiences • cross-cultural competency, including gender and disability

Resource implications simulated workplace for off-the-job assessment using scenarios, case studies or role plays; access to workplace for those not employed

Consistency of performance assessment to be conducted over time across a range of workplace scenarios to assess consistency of performance

Context/s of assessment this competency may be assessed on or off-the-job



Vol 1Sec 2 Page 15

KEY COMPETENCY LEVELS NB These levels do not relate to the Australian Qualifications Framework

Collect, analyse and organise information

Communicate ideas and information

Plan and organise activities

Work with others and in teams

Use mathematical ideas and techniques

Solve problems Use technology

Level 2 Level 2 Level 1 Level 2 Level 1 Level 2 Level 1

1 = use routine approaches; 2 = select from routine approaches; 3 = establish new approaches

Please refer to the Assessment Guidelines for advice on how to use the Key Competencies

PSPETHC501A Promote the Values and Ethos of Public Service ETHICS AND ACCOUNTABILITY


Unit PSPETHC501A Promote the Values and Ethos of Public Service

Unit Descriptor This unit covers the responsibility of those in public service to model and encourage in others the highest standards of ethical conduct.



1 Promote ethical standards

1 The ethical obligations of public service and the consequences of unethical conduct are explained to others in a manner suited to their levels of understanding, experience and specific needs

2 Conduct of self and others is assessed against ethics standards and guidelines and feedback or assistance is timely, constructive, and consistent

3 Impartial and politically neutral advice is provided in accordance with organisational procedures

4 Resolution and/or referral of ethical problems identified in dealings with staff and the public are used as learning opportunities within the workgroup without compromising privacy and confidentiality considerations

2 Assist staff to avoid conflicts of interest

1 Conflict of interest requirements are explained to staff using language and supporting material suitable to their needs and the situations they are likely to experience

2 Matters involving competing interests or conflicting views on appropriate action are discussed with staff, and resolved or referred in accordance with policy and guidelines

ETHICS AND ACCOUNTABILITY PSPETHC501A Promote the Values and Ethos of Public Service


Vol 1Sec 2 Page 17

Element Performance Criteria Ass

3 Model and foster integrity of conduct

1 Personal work practices provide a consistent example of desired ethical conduct

2 Directions to staff are ethical, lawful and reasonable and staff are protected from reprisals for refusing directions to act unethically

3 The principles of procedural fairness are modelled and explained to others using strategies and language suited to their levels of understanding, experience and specific needs

4 Decision-making which upholds ethical standards is used, promoted and explained to others

5 The risk of unethical conduct is assessed in accordance with organisational guidelines, and changes to policies or practices are recommended to improve outcomes

6 The reporting of suspected unethical conduct is encouraged, dealt with in a confidential manner and acted on promptly, and in accordance with policy and procedures

Range of Variables

The Range of Variables provides information about the context in which the unit of competency is carried out. It allows for differences between States and Territories and the Commonwealth, and between organisations and workplaces. It allows for different work requirements, work practices, and knowledge. The Range of Variables also provides a focus for assessment and relates to the unit as a whole.

Ethical standards may include • public sector standards • standards referred to in State/Territory or Commonwealth

legislation • codes of ethics • organisational codes of conduct • organisational mission and values statements • organisational procedures/guidelines • government policy • professional standards

Consequences of unethical behaviour may include

• disciplinary action • transfer • demotion • dismissal • legal liability • etc as outlined in legislation • policy and/or guidelines




• legislation for public sector management • freedom of information legislation • equal employment opportunity and anti-discrimination law • public sector standards • equity guidelines, workplace diversity guidelines • Ministerial directions • State/Territory or Commonwealth codes of ethics • organisational codes of conduct • organisational mission and values statements • organisational policy, procedures/guidelines • government policy • legal precedents


• both potential and actual conflicts • bribery, improper use of official information, gifts, entertainment,

outside employment, intellectual property, favours for friends, relatives, memberships of organisations, political activity

• pecuniary and non-pecuniary conflicts

Principles of procedural fairness may include

• the right to be heard/put your case • the right to be informed of a complaint or case against you • the right to know reasons for decisions affecting you • the right to privacy • the right to representation; the right to remain silent; the decision

maker should not be a judge in his/her own cause • in accordance with the law

Safeguarding the use of public resources includes

• ensuring use is honest, justified, not wasteful / extravagant and in accordance with technical/safety specifications



and/or the organisation • falsifying records; giving false testimonials; dishonesty • improper use of telephones, credit cards, frequent flier points,

e-mail and Internet • extravagant or wasteful practices • personal favours; preferential treatment • compromising behaviour including sexual harassment • directing others to act unethically • oppressive / coercive management decisions • resorting to illegality to obtain evidence

Ethical problems which may need to be referred rather than

resolved at this level may include




freedom of information • conflict regarding issues of personal and organisational intellectual

property

ETHICS AND ACCOUNTABILITY PSPETHC501A Promote the Values and Ethos of Public Service


Vol 1Sec 2 Page 19

Actions relating to the reporting of unethical conduct

may include

• protection and support of those reporting unethical conduct • informal, low key investigation and evidence gathering to confirm

allegations • referral to authority identified in guidelines • use of confidant programs (ie whistleblower protection programs,

organisational professional reporting procedures)



• evidence of ethical conduct in a range of (2 or more) generalist or specialist work activities eg developing client services, coordinating financial resources, providing HR services, conducting investigations; letting contracts etc



Co-assessed units: This unit of competency should be assessed with a range of (2 or more) generalist units in the Diploma in Government or specialist units of competency in Certificate IV qualifications or higher. Choice from the following units is recommended: PSPGOV502A Develop, Provide and Evaluate Client Services, PSPGOV503A Coordinate Resource Allocation and Usage, and other specialist units such as PSPHR601A Manage Recruitment and Selection Processes, PSPPROC403A Award Contracts, PSPPM502A Manage Projects etc

Underpinning knowledge • knowledge implicit in PSPETHC301A Uphold the Values and Principles of Public Service

• public sector ethics • relevant code of ethics • relevant code of conduct • relevant legislation eg related to privacy, freedom of

information, equal employment opportunity, human rights, whistleblower protection

• procedural fairness • equal employment opportunity, equity and diversity principles • procedures for declaring conflicts of interest • procedures or protocols for reporting unethical conduct



Underpinning skills • skills implicit in PSPETHC301A Uphold the Values and Principles of Public Service

• ethical decision-making • cross-cultural competency, including gender and disability • interpreting and explaining complex, formal documents and

assisting others to apply them in the workplace • use of a variety of words and language structures to explain

complex ideas to different audiences • strategies to clarify understanding • written advice and reports requiring precision of expression • analytical skills • risk assessment • information technology skills • using an Internet web browser














ETHICS AND ACCOUNTABILITY PSPETHC601A Maintain and Enhance Confidence in Public Service


Vol 1Sec 2 Page 21

Unit PSPETHC601A Maintain and Enhance Confidence in Public Service

Unit Descriptor This unit covers the provision of effective leadership by those in public service to encourage in others the highest standards of ethical conduct.



1 Provide ethical leadership

1 Ethical conduct is displayed, and reinforced in others

2 The professionalism required of public servants is communicated and encouraged in ways suited to the diversity of the workforce

3 Staff are provided with frameworks for ethical decision-making and policy setting, and coaching in their application

4 Staff are provided with opportunities to develop skills in identifying and resolving situations requiring ethical judgment

5 Clarification of the ethical aspects of decisions / actions and advice on more complex ethical problems is provided promptly and documented in accordance with organisational policy and procedures

6 The reporting of suspected unethical conduct is encouraged, dealt with in a confidential manner and acted on promptly, and in accordance with policy and procedures

7 The work environment is monitored and policies / organisational procedures are evaluated for consistency with public sector standards

PSPETHC601A Maintain and Enhance Confidence in Public Service ETHICS AND ACCOUNTABILITY



2 Balance competing public interests

1 Consideration of relevant facts is comprehensive, and weightings given to competing interests are unbiased and defensible

2 Decision making processes are transparent and accountable and reasoning / grounds for decisions are documented in accordance with policy and procedures

3 Advice to government regarding policy decisions relating to the public interest, is objective and impartial

4 Where staff indicate conflicts of interest, action is taken to resolve the situation in accordance with policy and procedures

3 Establish and monitor processes and practices that encourage integrity

1 Organisational processes and practices are developed or reviewed to ensure they meet the requirements of procedural fairness and accountability

2 Processes contain mechanisms to ensure that public resources are used in accordance with public sector ethics standards, policy and/or guidelines

3 Processes include risk management strategies and meet client, staff and organisational needs for transparency and accountability

4 Processes and practices are monitored to ensure they encourage, support and protect those reporting unethical conduct from reprisals

5 Action is taken to ensure that the ethical standard of conduct of contractors is consistent with the requirements of the contracting organisation



Vol 1Sec 2 Page 23



• legislation for public sector management • freedom of information legislation • equal employment opportunity and anti-discrimination law • public sector standards • Ministerial directions • government policy • legal precedents • State/Territory or Commonwealth codes of ethics • equity guidelines, workplace diversity guidelines • organisational codes of conduct • organisational mission and values statements • organisational procedures/guidelines • organisational performance management policy

Professionalism may include • ethical conduct • commitment • diligence • courtesy • respect for others • able to withstand external scrutiny

Complex ethical problems may include




freedom of information

Ethical values and principles may include

• respect for the law • integrity • objectivity • accountability • honesty • openness • responsibility • impartiality • reliability • diligence • trustworthiness • respect for persons • responsible care




• both potential and actual conflicts • bribery • improper use of official information • gifts • entertainment • outside employment • favours for friends, relatives • memberships of organisations • political activity • pecuniary and non-pecuniary conflicts

Organisational processes may include

• strategic planning • policy development • recruitment • selection • induction • performance management • promotion • disciplinary and grievance procedures • establishment of an ethics committee within the organisation • investigations • procurement and contracting

Procedural fairness may include

• the right to be heard/put your case • the right to be informed of a complaint or case against you • the right to know reasons for decisions affecting you • the right to privacy • the right to representation; the right to remain silent; the decision

maker should not be a judge in his/her own cause • in accordance with the law



and/or the organisation • falsifying records; giving false testimonials; dishonesty • improper use of telephones, credit cards, frequent flier points,

e-mail and Internet • extravagant or wasteful practices • personal favours; preferential treatment • compromising behaviour including sexual harassment • directing others to act unethically • oppressive / coercive management decisions • resorting to illegality to obtain evidence

Actions relating to the reporting of unethical conduct

may include

• protection and support of those reporting unethical conduct • informal, low key investigation and evidence gathering to confirm

allegations • referral to authority identified in guidelines • use of confidant programs (ie whistleblower protection programs,

organisational professional reporting procedures)



Vol 1Sec 2 Page 25



• evidence of ethical conduct in a range of (2 or more) generalist or specialist work activities eg managing client services, managing financial resources, providing strategic HR services, managing regulatory compliance; management of contracts etc



Co-assessed units: This unit of competency should be assessed with a range of (2 or more) generalist units in the Advanced Diploma in Government or specialist units of competency in Diploma qualifications or higher. Choice from the following units is recommended: PSPGOV601A Establish and Maintain External Networks, PSPGOV603A Develop a Tender Submission, and other specialist units such as PSPHR702A Formulate a Strategic Human Resource Plan, PSPPROC602A Direct the Management of Contracts, PSPPM601A Direct Project Activities etc

Underpinning knowledge • knowledge implicit in PSPETHC501A Promote the Values and Ethos of Public Service

• public sector ethics • relevant code of ethics • relevant code of conduct • relevant legislation eg related to privacy, freedom of

information, equal employment opportunity, human rights, whistleblower protection

• procedural fairness • equal employment opportunity, equity and diversity principles • procedures for declaring conflicts of interest • procedures or protocols for reporting unethical conduct

Underpinning skills • skills implicit in PSPETHC501A Promote the Values and Ethos of Public Service

• ethical decision-making • cross-cultural competency, including gender and disability • use of a variety of words and language structures to explain

complex ideas to different audiences • strategies to clarify understanding • analytical skills • interpreting and explaining complex, formal documents and

assisting others to apply them in the workplace • risk assessment • written advice and reports requiring reasoning and precision of

expression
















27Legi

slat

ion

and

Com

plia

nce

LEGISLATION AND COMPLIANCE



Vol 1Sec 2 Page 29

LEGISLATION AND COMPLIANCE COMPETENCY STANDARDS

Unit PSPLEGN301A Comply with Legislation in the Public Sector

Unit Descriptor This unit covers the competency to access, seek interpretation of, and comply with legislation and related public sector policy guidelines and procedures.

Key Area Legislation and Compliance

Elements Performance Criteria

1 Identify legislative requirements

1 Information is accessed that covers the range of legislation relating to the workplace and is current and comprehensive

2 Key requirements of each piece of legislation are identified and confirmed

3 Requirements are clarified to confirm understanding and ensure consistency of interpretation and application

4 Clarification is obtained of the way various pieces of legislation are integrated to provide a legislative framework for public sector work

5 Advice is obtained when apparently conflicting legislative directions are found

2 Comply with legislative requirements

1 Work practices meet the requirements of legislation relating to the work environment

2 Own conduct is reviewed and feedback from others is used to confirm continuing compliance with legislative requirements

3 Report incidents of non-compliance

1 Possible breaches of legislation are raised promptly with an authorised person / body in accordance with organisational procedures

2 Inadequacies in workplace procedures which may contribute to non-compliance are raised in accordance with organisational procedures

PSPLEGN301A Comply with Legislation in the Public Sector LEGISLATION AND COMPLIANCE


Vol 1Sec 2 Page 30



• public sector employment • occupational safety and health • duty of care • anti-discrimination • workplace harassment • equal employment opportunity • privacy, freedom of information • whistleblowers’ protection • professional reporting, accountability • affirmative action • workplace diversity • fair trading • trades practices • competition • employee relations • the organisation’s enabling legislation • aspects of common law, criminal law, contract law, employment law

and administrative law • security • storage • handling • classification • documents • exhibits • regulations • notices • chief executive officer instructions • treasurer’s instructions • contractual obligations • code of ethics/conduct • guarantee of service • legislated standards • State/Territory/Commonwealth / organisational standards • technical / industrial standards • professional standards • industry competency standards

Conflicting legislative directions may include

• apparent contradiction between statutes • apparent conflict between statutes and policy requirements




Vol 1Sec 2 Page 31



• evidence of compliance with legislation in a range of (2 or more) generalist or specialist work activities eg delivering client services, using financial resources, procuring goods or services, etc; and

• knowledge of a range of legislation, its application in the public sector workplace, and reporting procedures for possible breaches of legislation



Co-assessed units: This unit of competency should be assessed with a range of (2 or more) generalist or specialist units of competency in the Certificate III in Government. Choice from the following units is recommended: PSPGOV305A Access and Use Resources and Financial Systems, PSPGOV307A Organise Workplace Information, and other specialist units such as PSPPROC301A Procure Goods or Services, etc.

Underpinning knowledge • type of legislation relating to the public sector • public sector codes of ethics/conduct • equal employment opportunity, equity and diversity principles

Underpinning skills • research and analytical skills; self assessment • using technology; using an Internet web browser • reading complex and formal documents such as legislation and

related materials to apply them to work practices and to identify inappropriate conduct

• advice and discussion involving exchanges of complex oral and written information

• cross-cultural competency, including gender and disability

















Vol 1Sec 2 Page 32

Unit PSPLEGN501A Promote Compliance with Legislation in the Public Sector

Unit Descriptor This unit covers the competency to encourage and assist others to comply with legislation and related public sector policy guidelines and procedures.



1 Model and encourage compliance with legislative requirements

1 Personal work practices provide a consistent model of compliance with legislative requirements

2 Responses to staff enquiries about the legislative requirements of the workplace are timely, consistent and constructive

3 The consequences of non-compliance relating to a range of legislation are explained to staff using language and materials suited to their levels of experience, learning styles and individual needs

2 Monitor compliance with legislative requirements

1 Compliance with legislative requirements is monitored in accordance with organisational procedures

2 Compliance issues are resolved or referred in accordance with organisational policy and procedures




Vol 1Sec 2 Page 33



• public sector employment • occupational safety and health • duty of care • anti-discrimination • workplace harassment • equal employment opportunity • privacy, freedom of information • whistleblowers’ protection • accountability • affirmative action • workplace diversity • fair trading • trades practices • competition • employee relations • the organisation’s enabling legislation • aspects of common law, criminal law, contract law, employment

law and administrative law • employment entitlement contract • regulations • notices • chief executive officer instructions • treasurer’s instructions • contractual obligations • code of ethics/conduct • guarantee of service • legislated standards • State/Territory/Commonwealth / organisational standards • technical / industrial standards • professional standards • industry competency standards

Consequences of non-compliance may include

• disciplinary action • transfer • demotion • dismissal • legal liability

Inadequacies in procedures may include

• insufficient financial controls • insecure Internet/fax access • unauditable records processes • ambiguous guidelines




Vol 1Sec 2 Page 34



• evidence of compliance with legislation in a range of (2 or more) generalist or specialist work activities eg developing client services, coordinating financial resources, providing HR services, conducting investigations; letting contracts etc; and

• knowledge of requirements of legislation and related government policy and directions; and

• adjustment of communication to suit different audiences

Interdependent assessment of units Pre-requisite units: Nil Co-requisite units: Nil

Co-assessed units: This unit of competency should be assessed with a range of (2 or more) generalist units in the Diploma in Government or specialist units of competency in Certificate IV qualifications or higher. Choice from the following units is recommended: PSPGOV502A Develop, Provide, Promote and Evaluate Client Services, PSPGOV503A Coordinate Resource Allocation and Usage, and other specialist units such as PSPHR601A Manage Recruitment and Selection Processes, PSPPROC403A Award Contracts, PSPPM502A Manage Projects

Underpinning knowledge • knowledge implicit in PSPLEGN301A Comply with Legislation in the Public Sector

• legislation relating to the public sector • regulations, guidelines, policy, practices • public sector codes of ethics/conduct • public policy processes • government processes • governance practices • equal employment opportunity, equity and diversity principles

Underpinning skills • skills implicit in PSPLEGN301A Comply with Legislation in the Public Sector

• analytical and research skills • people skills - conflict resolution, coaching, problem solving;

information technology skills, using an Internet web browser • reading and explaining complex and formal documents such

as legislation and codes of ethics and applying them to work practices









Vol 1Sec 2 Page 35











PSPLEGN601A Manage Compliance with Legislation in the Public Sector LEGISLATION AND COMPLIANCE


Vol 1Sec 2 Page 36

Unit PSPLEGN601A Manage Compliance with Legislation in the Public Sector

Unit Descriptor This unit covers explanation of legislative requirements and the management and evaluation of compliance with public sector legislation and related policy, guidelines and procedures.



1 Assure legislative compliance

1 Personal conduct demonstrates a commitment to compliance with legislation

2 Staff are encouraged to discuss, clarify and meet legislative requirements

3 Staff understanding of legislative requirements is confirmed and action to address professional development needs is timely

4 Workplace occurrences of compliance and non-compliance are used as learning situations for staff, without compromising privacy and confidentiality considerations

2 Interpret legislation relating to public sector work

1 Knowledge of legislation and related legal opinions is current

2 Interpretation of legislative requirements is timely, substantiated, and falls within the limits of authority, or is referred for advice

3 Evaluate compliance outcomes

1 Analysis of compliance outcomes is complete and conclusions are valid and supported by evidence

2 Analysis provides reasons for any failure to achieve compliance and identifies methods of improving outcomes in accordance with government policy and resource constraints

3 Inadequacies in procedures which allow breaches of legislation to occur are confirmed and rectified promptly in accordance with organisational procedures




Vol 1Sec 2 Page 37



• public sector employment • occupational safety and health • duty of care • anti-discrimination • workplace harassment • equal employment opportunity • privacy, freedom of information • whistleblowers’ protection • accountability • affirmative action • workplace diversity • fair trading • trades practices • competition • employee relations • the organisation’s enabling legislation • aspects of common law, criminal law, contract law, employment law

and administrative law • security provisions re document classification and storage • regulations • notices • chief executive officer instructions • treasurer’s instructions • contractual obligations • code of ethics/conduct • guarantee of service • legislated standards • State/Territory/Commonwealth / organisational standards • technical / industrial standards • professional standards. • industry competency standards

Inadequacies in procedures may include

• insufficient financial controls • insecure Internet/fax access • unauditable records processes • ambiguous guidelines

PSPLEGN601A Manage Compliance with Legislation in the Public Sector LEGISLATION AND COMPLIANCE


Vol 1Sec 2 Page 38



• evidence of compliance with legislation in a range of (2 or more) generalist or specialist work activities eg managing client services, managing financial resources, providing strategic HR services, managing regulatory compliance; management of contracts etc; and

• consistent interpretation of information to suit level of understanding of audience; use of mathematical techniques to interpret data and draw conclusions; written advice and reports requiring precision of expression


Co-assessed units: This unit of competency should be assessed with a range of (2 or more) generalist units in the Advanced Diploma in Government or specialist units of competency in Diploma qualifications or higher. Choice from the following units is recommended: PSPGOV602A Establish and Maintain External Networks, PSPGOV603A Develop a Tender Submission; and other specialist units such as PSPHR702A Formulate a Strategic Human Resource Plan, PSPPROC602A Direct the Management of Contracts, PSPPM601A Direct Project Activities etc

Underpinning knowledge • knowledge implicit in PSPLEGN501A Promote Compliance with Legislation in the Public Sector

• legislation relating to the public sector • regulations, guidelines, policy, practices • public sector codes of ethics/conduct • equal employment opportunity, equity and diversity principles • public policy processes • government processes • governance practices

Underpinning skills • skills implicit in PSPLEGN501A Promote Compliance with Legislation in the Public Sector

• analytical and conceptual skills • people skills - conflict resolution, coaching • cross-cultural competency, including gender and disability • problem solving • information technology skills • reading and explaining complex and formal documents such

as legislation and codes of ethics and applying them to work practices








Vol 1Sec 2 Page 39











POLICY IMPLEMENTATION PSPPOLI401A Support Policy Implementation


Vol 1Sec 2 Page 41

POLICY IMPLEMENTATION COMPETENCY STANDARDS

Unit PSPPOLI401A Support Policy Implementation

Unit Descriptor This unit covers the identification and application of appropriate policy.

Key Area Policy Implementation


1 Identify relevant policy

1 Work situations that are shaped by government or organisation policy are identified

2 Policy appropriate to particular work requirements is identified and located

2 Implement policy

1 Policy to be implemented is interpreted under direction to identify and plan for change in work practices

2 Work practices are changed or adopted to reflect policy requirements

3 Those affected by policy changes are supported to accommodate those changes

3 Monitor and report policy implementation

1 Information that will assist with the evaluation of the validity of policy implementation is gathered, recorded and reported under direction

2 Information that will assist with the evaluation of the impact of policy implementation on organisational outcomes is gathered, recorded and reported under direction


Policy may include • government policy • organisation policy

Information for evaluation may include

• statistical data • stakeholder opinions

PSPPOLI401A Support Policy Implementation POLICY IMPLEMENTATION


Vol 1Sec 2 Page 42


Critical aspects of evidence • integrated demonstration of all elements of competency and their performance criteria; and

• policy is implemented to achieve the outcomes for which it was intended in specific work areas

Interdependent assessment of units Pre-requisite units: Nil Co-requisite units: Nil Co-assessed units: This unit of competency may be assessed with any of the generalist public sector specific units at Certificate III or above

Underpinning knowledge • range and type of legislation relating to the public sector • public sector code/s of ethics and code/s of conduct • organisation and government procedures • EEO, equity and diversity principles

Underpinning skills • communication • numeracy and analytical • work as a member of a team • cross-cultural competence, including gender and disability

Resource implications simulations or case studies for off-the-job assessment

Consistency of performance knowledge and performance to be assessed over time to assess consistency in performance












POLICY IMPLEMENTATION PSPPOLI601A Manage Policy Implementation


Vol 1Sec 2 Page 43

Unit PSPPOLI601A Manage Policy Implementation

Unit Descriptor This unit covers the interpretation of policy and the management of the policy implementation process.

Key Area Policy Implementation


1 Interpret and explain policy

1 The expected outcomes of policy implementation are clearly stated and communicated to staff

2 Policy is interpreted relative to workplace responsibilities and accountabilities

3 The impact on work activities of policy implementation is clearly stated and communicated to staff

4 Staff are assisted with the interpretation of policy and its application to their work

5 Policy and its implications are explained to other stakeholders

2 Apply policy

1 Work plans are prepared in consultation with staff to ensure that policy will be correctly implemented

2 Staff performance is monitored to ensure that it complies with policy

3 Staff are assisted in adjusting to changes

3 Evaluate policy

implementation

1 Information relating to the policy implementation is gathered, analysed and reported to the policy developer

2 Recommendations for the improvement of the policy implementation process are prepared for the policy developer

3 Information relating to the expected outcomes of the policy is gathered, analysed and reported to the policy developer

4 Recommendations for the improvement of the policy are prepared for the policy developer

5 Potential or impending policy changes are identified and strategies prepared to accommodate those changes

PSPPOLI601A Manage Policy Implementation POLICY IMPLEMENTATION


Vol 1Sec 2 Page 44


Policy may include • government policy • organisation policy

Information for evaluation may include

• statistical data • best practice data • stakeholder opinions • information gathered before, during and after policy

implementation



• the implementation of policy is managed to achieve the outcomes for which it was intended

Interdependent assessment of units Pre-requisite units: Nil Co-requisite units: Nil Co-assessed units: this unit of competency may be assessed with any of the generalist public sector specific units at Diploma level or above

Underpinning knowledge • range and type of legislation relating to the public sector • public sector code/s of ethics and code/s of conduct • EEO, equity and diversity principles

Underpinning skills • written and oral communication • numerical and analytical • evaluation • project management • report writing • negotiation & liaison • team leadership • identify relevant policy • implement policy • marketing • cross-cultural competence, including gender and disability

Resource implications this unit of competency should be assessed in the workplace, but in the event that there is no access to a workplace a simulated workplace can be used but such simulation must replicate workplace conditions in terms of: performing the task; managing a number of different tasks; coping with irregularities and breakdowns in routine; dealing with the responsibilities and expectations of the workplace, including working with others; and transferring competency to new workplace situations

Consistency of performance knowledge and performance to be assessed over time to assess consistency in performance

Context/s of assessment this competency should be assessed on-the-job where possible

POLICY IMPLEMENTATION PSPPOLI601A Manage Policy Implementation


Vol 1Sec 2 Page 45











Wor

king

in G

over

nmen

t

WORKING IN GOVERNMENT PSPGOV201A Work in a Public Sector Environment


Vol 1Sec 2 Page 49

WORKING IN GOVERNMENT COMPETENCY STANDARDS

Unit PSPGOV201A Work in a Public Sector Environment

Unit Descriptor This unit covers compliance with the principles of public sector legislation and guidelines, and the use of organisational procedures when dealing with others at work

Key Area Working in Government


1 Access and use legislation and guidelines

1 The range of legislation and guidelines common to employment in a public sector organisation is accessed

2 The key principles contained in the legislation and guidelines are identified

3 Information is clarified in order to confirm own understanding

4 Work is consistent with the principles contained in legislation and guidelines

2 Access and use organisational information

1. The staffing and organisational structure is identified

2. Procedures for dealing with staff at all levels of the organisation are clearly identified

3. Procedures for dealing with clients are clearly identified

4. Sources of assistance are identified, and types of assistance available from each source is identified

5. Work is carried out within organisational procedures

3 Demonstrate respect

for individual differences

1 Behaviour demonstrates sensitivity to the differences between colleagues

2 Conduct complies with the requirements of anti-discrimination legislation and multi-cultural awareness

3 Communication styles are modified to reflect diversity

PSPGOV201A Work in a Public Sector Environment WORKING IN GOVERNMENT


Vol 1Sec 2 Page 50


Legislation may include • public sector management • employment • occupational health and safety • duty of care • anti-discrimination • workplace harassment • equal employment opportunity • workplace diversity • employee relations • privacy • freedom of information • whistleblowers protection

Guidelines may include • public sector standards • relevant public sector code of ethics • organisational code of conduct • organisational mission and values statements • organisational procedures/guidelines • government policy • Ministerial directions • directives from head of organisation • standard operational procedures

Key principles may include • honesty and integrity • confidentiality and non-disclosure of official information • due care and diligence • avoiding conflicts of interest • obeying lawful and reasonable direction • compliance with the law

Sources of organisational procedures may include

• mission and values statements • organisational charts • annual reports • strategic plans • business unit and work area plans • customer service charters • induction materials • standard operating procedures • relevant workplace agreements • disciplinary processes • grievance procedures • advertising materials • Internet and/or intranet web pages

Clients may include • the public • private enterprise • other public sector organisations • internal clients • the Minister

WORKING IN GOVERNMENT PSPGOV201A Work in a Public Sector Environment


Vol 1Sec 2 Page 51

Sources of assistance may include

• immediate supervisor • line management • human resources personnel • workplace representatives • union personnel

Individual differences may include

• experience • working styles • expertise • thinking styles / learning styles / intellectual differences • interpersonal approach • interests • age • culture • religion • race • language • gender • sexual preference • physical differences • politics

Colleagues may include • peers • junior staff • internal stakeholders • external stakeholders / clients / customers • supervisors and senior management



• knowledge of the key principles underpinning public sector work and how this translates in the workplace; applying the procedures for working in a bureaucracy


Co-requisite units: Nil Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate II or above, particularly PSPGOV202A Communicate in the Workplace

Underpinning knowledge • anti-discrimination legislation • other relevant legislation • organisation guidelines and procedures • principles of cultural awareness • codes of conduct • EEO, equity and diversity principles

PSPGOV201A Work in a Public Sector Environment WORKING IN GOVERNMENT


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Underpinning skills • research skills • scanning techniques to locate main ideas • negotiating strategies to clarify understanding reading written

materials such as manuals and codes of practice • information technology skills • using the web • cross cultural communication • interpersonal communication • cross cultural competence, including gender and disability


Consistency of performance assessment to be conducted over time across a range of scenarios to assess consistency of application












WORKING IN GOVERNMENT PSPGOV202A Communicate in the Workplace


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Unit PSPGOV202A Communicate in the Workplace

Unit Descriptor This unit covers interacting with internal and external clients through communication, and following instructions.



1 Use effective communication in the workplace

1 Spoken and nonverbal communication reflects an understanding of individual differences and meets the expected standards of the workplace

2 Effective listening and speaking skills are employed in workplace communication including confirming understanding

3 Enquiries are acknowledged and responsive action initiated promptly

4 Issues and ideas which affect work within the group are raised with the appropriate person

5 Established communication channels are used appropriately

6 Unresolved conflicts which affect work in the group are referred through the appropriate channel

2 Follow routine instructions

1 Oral instructions are acted upon within the time frame and to the standard required by the workgroup / team leader

2 Written instructions including technical instructions are read and complied with to ensure effective and efficient operation in the workplace

3 Difficulties in understanding instructions are referred to the appropriate person for clarification

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3 Prepare routine written correspondence, notes and records

1 Written information and ideas are presented in clear language appropriate to the audience

2 Material is checked and edited to ensure correct grammar and to correct spelling inconsistencies and inaccuracies in content

3 Presentation of written information meets organisational standards of style, format and accuracy

4 Written information is prepared within identified time frames


Communication may include • oral / spoken • heard (aural, auditory) • non-verbal (body language) • written / read • visual / iconic (diagrams, tables, graphs, pictures, flow charts, video

images) • use of computer technology and other media • adjustment of communication to meet cultural, racial, etiquette,

religious or language differences, disabilities and preferred communication channels (including written or spoken English)

Instructions may include • manufacturers / operating instructions / technical instructions • work unit / organisation guidelines and procedures • supervisor’s /team leader’s instructions • OS&H procedures • style manuals



• one to one and group communication with peers, clients and supervisors



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate II or above, particularly PSPGOV207A Use Technology in the Workplace and PSPGOV201A Work in a Public Sector Environment

WORKING IN GOVERNMENT PSPGOV202A Communicate in the Workplace


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Underpinning knowledge • principles of effective communication • EEO, equity and diversity principles • conflict resolution • knowledge of organisation processes • people with disabilities • organisational etiquette • differences between written and spoken English

Underpinning skills • reading, writing, speaking and listening • spelling • observation • cross cultural competence, including gender and disability

Resource implications role play or simulation for off-the-job assessment

Consistency of performance knowledge and performance to be assessed over time to assess consistency












PSPGOV203A Deliver a Service to Clients WORKING IN GOVERNMENT


Vol 1Sec 2 Page 56

Unit PSPGOV203A Deliver a Service to Clients

Unit Descriptor This unit covers providing a service to clients within a prescribed framework.



1 Match service to client needs

1 Information on the client base is gathered

2 Information on the client base and its needs is used to match services to clients

3 Particular needs of clients are identified to enable targeted service delivery

4 Requests from client are matched to the appropriate service from defined range of options

5 Problems in matching service delivery to clients are reported to supervisor

2 Deliver client service

1 Client service is provided which is timely and meets client needs within the limitations of resources

2 Client enquiries are responded to promptly and in accordance with accepted practice and standards of the organisation

3 Service is adjusted as required to meet special needs of clients

4 Complaints from clients and difficult situations are dealt with in accordance with organisational procedures

5 Client confidentiality is maintained as part of service delivery where required

6 Data is collected to assist in evaluating whether clients needs have been met

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Client services may include • specific to the organisation, within the capabilities and resources of the organisation

Internal and external clients may include

those relevant to the work of the organisation and may include: • individual members of the public • other agencies and community groups • other work areas of the organisation • individual members of the organisation • senior management

Client special needs may include

• disabilities • language • gender • culture • age • remote location

Evidence Guide

This Evidence Guide must be read in conjunction with the Assessment Guidelines for the National Public Services Training Package.


• rapport is established with a range of clients and specific needs are met

Special note: the provision of client services is always constrained by the availability of resources and it is likely that client needs have to be prioritised or rationed.



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate II or above, particularly PSPGOV201A Work in a Public Sector Environment PSPGOV202A Communicate in the Workplace and PSPGOV204A Access and Use Resources

Underpinning knowledge • related public sector policies, procedures and guidelines • current practice in client service delivery and the public sector • EEO, equity and diversity principles • limitations of resources for service delivery

Underpinning skills • interpersonal communication • negotiation • problem solving • cross cultural competence, including gender and disability

Resource implications simulation or case studies for off-the-job assessment

Consistency of performance knowledge and performance to be assessed over time to confirm consistency in performance


PSPGOV203A Deliver a Service to Clients WORKING IN GOVERNMENT


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WORKING IN GOVERNMENT PSPGOV204A Access and Use Resources


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Unit PSPGOV204A Access and Use Resources

Unit Descriptor This unit covers using the resources required to achieve work objectives.


Element Performance Criteria 1 Access and use

resources

1 Resources which are required to achieve outcomes of the work unit are identified and accessed according to defined procedures and relevant legislation

2 All resources are used efficiently and effectively and in accordance with organisational and OS&H procedures

2 Administer resource

usage

1 All supplies and materials required to support the operation of the workgroup are accessed and maintained

2 Records on own resource usage are maintained as required by the organisation / work unit

3 Orders are processed in a timely manner and in accordance with defined organisational procedures

4 Resources are stored in accordance with organisational procedures and to reduce theft and fraudulent activity


Resources may include • finances • facilities • equipment • stock and supplies

Records may include • computerised and manual • financial statements • mail • file maintenance • stock list control • order forms • petty cash forms

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• effective resource usage



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate II or above, particularly PSPGOV207A Use Technology in the Workplace, PSPGOV201A Work in a Public Sector Environment and PSPGOV202A Communicate in the Workplace

Underpinning knowledge • relevant legislation and operational procedures • principles of financial and stock handling management • relevant OS&H requirements • EEO, equity and diversity principles

Underpinning skills • record keeping • cross cultural competence, including gender and disability














WORKING IN GOVERNMENT PSPGOV205A Participate in Workplace Change


Vol 1Sec 2 Page 61

Unit PSPGOV205A Participate in Workplace Change

Unit Descriptor This unit covers changing own work practice within a workgroup.



1 Suggest options for change

1 Possible changes to aspects of operational work which could improve efficiency and effectiveness are suggested and discussed with the workgroup

2 Contribute to the implementation of change

1 Specific changes in own routine operations and procedures are implemented as required

2 Changes are made to own work practices to achieve service standards and identified outcomes

3 Available resources and supports are accessed to assist in changing own work practices

4 The effects of change are discussed with the workgroup

5 Flexibility and willingness to adapt to change is demonstrated in the workplace


Change in the workplace may include

• implementation of new / revised work practices • technology change in the workplace • work location • client base • staffing changes • job role changes • work priorities

PSPGOV205A Participate in Workplace Change WORKING IN GOVERNMENT


Vol 1Sec 2 Page 62

Evidence Guide



• change is implemented under supervision



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate II or above, particularly PSPGOV201A Work in a Public Sector Environment and PSPGOV202A Communicate in the Workplace

Underpinning knowledge • impact of change as it effects individuals and groups • workgroup practices and service standards • EEO, equity and diversity principles

Underpinning skills • team membership • interpersonal communication • cross cultural competence, including gender and disability














WORKING IN GOVERNMENT PSPGOV206A Handle Workplace Information


Vol 1Sec 2 Page 63

Unit PSPGOV206A Handle Workplace Information

Unit Descriptor This unit covers processing incoming and outgoing workplace information.



1 Collect and analyse workplace information

1 Specific information is collected and recorded under direction

2 Routine information is checked and recorded in predetermined format

3 Maintenance of data systems and records is accurate and up to date

4 Internal data storage systems are updated, accessed and searched as required

5 Workplace procedures related to security and confidentiality are applied to information handling

2 Process workplace information

1 Routine processing of information is completed within established guidelines, timelines and procedures

2 Incoming information is sorted and distributed within defined timeframes

3 Problems in processing routine information are identified and communicated to relevant staff

4 Appropriate information storage and filing systems are established and maintained in accordance with organisational procedures


Information may include • basic numerical and statistical data • legislative, organisation and policy requirements • client data • registries and file records • library materials • financial records • mail

PSPGOV206A Handle Workplace Information WORKING IN GOVERNMENT


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Storage of information may include

• manual and computer files • systems which are internal and external to the immediate

organisation • printed material • photographic material • microfiche

Evidence Guide



• information is appropriately managed



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate II or above, particularly PSPGOV207A Use Technology in the workplace, PSPGOV201A Work in a Public Sector Environment, PSPGOV202A Communicate in the Workplace and PSPGOV204A Access and Use Resources

Underpinning knowledge • organisational procedures • data bases and data storage systems • EEO, equity and diversity principles

Underpinning skills • basic statistical and numerical manipulation • application of computer technology to data storage, retrieval

and presentation • problem solving • cross cultural competence, including gender and disability

Resource implications simulation for off-the-job assessment













WORKING IN GOVERNMENT PSPGOV207A Use Technology in the Workplace


Vol 1Sec 2 Page 65

Unit PSPGOV207A Use Technology in the Workplace

Unit Descriptor This unit covers understanding the application of and using technology to achieve work outcomes.



1 Apply office technology

1 Relevant office technology is used to achieve work outcomes in a cost effective manner

2 Work space, furniture and equipment are adjusted to suit the ergonomic requirements of the user

3 Computers are used as required to enter data, work with data and extract data

2 Maintain office technology

1 Use of technology in the workplace complies with manufacturers and operating guidelines, and with Occupational Safety and Health procedures

2 Equipment is maintained or dealt with in accordance with individual area of responsibility

3 Equipment and data is secured as required by the organisation


Office technology covers all equipment used in the

workplace and may include

• computers, printers, scanners and a range of associated software • facsimile machines • photocopiers • computer facsimiles • telephones • audio-visual equipment • typewriters

Application of office technology may include

• information searches, storage, retrieval and analysis • numerical calculations • presentation of information • communication • Internet • e-mail

Guidelines may include • work unit and organisation standards • Occupational Safety and Health policies and procedures • manufacturer’s operating instructions

PSPGOV207A Use Technology in the Workplace WORKING IN GOVERNMENT


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Evidence Guide


Critical aspects of evidence • integrated demonstration of all elements of competency and their performance criteria

• correct use of equipment; and • application of appropriate software Special note: This unit relates to the application of technology as a transferable competency. It is not necessary to assess (or teach) an exhaustive range of equipment, rather attention should be given to the different kinds of technology that can be used.



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate II or above, particularly PSPGOV201A Work in a Public Sector Environment, PSPGOV202A Communicate in the Workplace and PSPGOV204A Access and Use Resources

Underpinning knowledge • Occupational Health and Safety procedures and regulations • range of technology applications • EEO, equity and diversity principles

Underpinning skills • planning • following manufacturer’s instructions • motor skills (hand skills) • problem solving • cross cultural competence, including gender and disability

Resource implications a range of office technology and software applications


Context/s of assessment this competency may be assessed on and off-the-job











WORKING IN GOVERNMENT PSPGOV301A Work Effectively in the Organisation


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Unit PSPGOV301A Work Effectively in the Organisation

Unit Descriptor This unit covers evaluating and developing your own expertise, working within the organisational structure and culture, and managing your work.



1 Evaluate and develop own expertise

1 Self-assessment of work-related competencies is made by reflecting on own training and from monitoring feedback on performance in the workplace

2 Relevant people are made aware of work-related competencies and experience by reports of achievements, curriculum vitae, or actively seeking work opportunities

3 Areas requiring competency development are identified by comparing current competencies with the competency requirements of current or anticipated duties

4 Potential competency recognition or development opportunities are identified access is sought

2 Work within the organisational structure and culture

1 A comprehensive knowledge of the organisation’s structure and functioning is acquired and demonstrated

2 An understanding of the organisation’s culture is acquired and demonstrated

3 Work is undertaken in a manner which has regard for the organisation’s structure, functioning and culture

4 Professional working relationships are maintained with colleagues

3 Manage own work

1 Personal work goals are identified and prioritised in accordance with organisation’s requirements

2 Appropriate work strategies are selected considering a range of relevant work parameters

3 Progress with work is monitored relative to set goals, strategies and outcomes

4 Work goals are achieved and work plans revised to attend to on-going or new responsibilities

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Range of Variables


Work related competencies may include

• competencies as defined in the Public Services Training Package • competencies as specified in other relevant Training Packages • enterprise competency standards • qualifications relevant to work responsibilities

Relevant people may include • colleagues / team members • supervisors or managers • clients

Competency recognition or development opportunities may

include

• Recognition of Prior Learning / Recognition of Current Competencies

• formal campus-based training • workplace based training • work experience • conference and seminar attendance • peer support • mentoring • coaching

Organisational structure and functioning may include

• organisational hierarchy • teaming • policies • products • services • clients / customers

Organisational culture may include

• goals • objectives • mission • values • ethos • politics • social ethic

Work parameters may include • productivity • flexibility • quality • opportunities • risks • time frames • organisational structure

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Evidence Guide



• knowledge of how culture impacts on the organisation, the structure of the organisation and inter-relationships with co-workers; and

• effectiveness of work performance within an organisation


Co-requisite units: Nil Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate III or above, particularly PSPGOV302A Contribute to Workgroup Activities, PSPGOV303A Build and Maintain Internal Networks, PSPGOV305A Access and Use Resources and Financial Systems, PSPGOV306A Change Own Work Practices as Required, PSPGOV307A Organise Workplace Information and PSPGOV308A Work Effectively with Diversity

Underpinning knowledge • competency requirements of current duties • alternative work strategies

Underpinning skills • communication skills (interpersonal, conflict resolution, negotiation and listening)

• time management • EEO, equity and diversity principles • cross cultural competence, including gender and disability • self-reflection • planning skills


Consistency of performance performance to be assessed over time to assess consistency in achievement












PSPGOV302A Contribute to the Workgroup Activities WORKING IN GOVERNMENT


Vol 1Sec 2 Page 70

Unit PSPGOV302A Contribute to the Workgroup Activities

Unit Descriptor This unit covers participating as a workgroup member and, where necessary or required, providing guidance and development to others in achieving workgroup goals.



1 Participate in the workgroup

1 Job role and responsibilities are identified and understood

2 Constructive contributions to workgroup goals are made

3 Tasks are completed and results achieved with minimum supervision

4 Co-operation is demonstrated with others in the workgroup

5 Information is shared with the group in order to complete tasks

6 Problems are addressed and resolved if possible through discussion in the workgroup

7 Individual differences within the workgroup are valued

2 Assist in training and

development in the group

1 Assistance is provided to other staff in identifying training needs

2 Encouragement and support is given to other group members to identify and attend training courses and to take up other development opportunities

3 On-the-job training is provided as required

3 Provide assistance in

supervising and guiding workgroup members

1 Support is provided to workgroup members to achieve goals

2 Assistance is provided on routine tasks as required

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Workgroup may include • formal and informal work units • directed or self-directed teams

Development opportunities may include

• formal internal and external courses • on-the-job training • work experiences and assignments, placement at level and higher

duties • self-paced multimedia learning • assisted formal study • conference and seminar attendance • induction and orientation

Evidence Guide



• knowledge of workgroup goals; and • effective collaborative work with colleagues


Co-requisite units: Nil Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate III or above, particularly PSPGOV301A Work Effectively in the Organisation, PSPGOV303A Build and Maintain Internal Networks, PSPGOV306A Change Own Work Practices as Required and PSPGOV308A Work Effectively with Diversity

Underpinning knowledge • standards which are set by the workgroup • relevant policies and procedures within the organisation

Underpinning skills • communication • people skills - conflict resolution, coaching, negotiation,

self-assessment • EEO, equity and diversity principles • cross cultural competence, including gender and disability


Consistency of performance knowledge and performance to be assessed over time to confirm consistency


PSPGOV302A Contribute to the Workgroup Activities WORKING IN GOVERNMENT


Vol 1Sec 2 Page 72








Level 1 Level 3 Level 2 Level 3 N/A Level 2 Level 1



WORKING IN GOVERNMENT PSPGOV303A Build and Maintain Internal Networks


Vol 1Sec 2 Page 73

Unit PSPGOV303A Build and Maintain Internal Networks

Unit Descriptor This unit covers building, expanding and utilising internal networks.



1 Identify key internal stakeholders

1 Key internal stakeholders and their needs, expectations and roles are identified

2 Identify or establish network links with key internal stakeholders

1 Existing network links between key internal stakeholders are identified and maintained and strategies to expand identified and initiated

2 New network links to self and between key internal stakeholders are established and maintained and used effectively

3 Participate in internal networks

1 Information is provided to internal stakeholders to ensure an understanding of own role and to exchange information to increase workgroup effectiveness

2 Internal stakeholder input and feedback is sought, assessed and acted upon if necessary

3 Misunderstandings and conflict situations are identified and constructively addressed in accordance with principles of conflict resolution


Key internal stakeholders may include

• colleagues, junior officers, supervisors, advisers, senior managers within the organisation

Networks may include • formal or informal networks • circulation lists • e-mail address books • subject matter experts

PSPGOV303A Build and Maintain Internal Networks WORKING IN GOVERNMENT


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Evidence Guide



• productive / effective relationships with stakeholders; and • observance of organisational protocols


Co-requisite units: Nil Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate III or above, particularly PSPGOV301A Work Effectively in the Organisation PSPGOV302A Contribute to Workgroup Activities, PSPGOV306A Change Own Work Practices as Required, PSPGOV307A Organise Workplace Information and PSPGOV308A Work Effectively with Diversity

Underpinning knowledge • principles of communication • principles of conflict resolution • principles of mediation • EEO, equity and diversity principles

Underpinning skills • interpersonal, group and organisational communication • conflict resolution • cross cultural competence, including gender and disability














WORKING IN GOVERNMENT PSPGOV304A Appraise Capability and Provide Feedback in the Workplace


Vol 1Sec 2 Page 75

Unit PSPGOV304A Appraise Capability and Provide Feedback in the Workplace

Unit Descriptor This unit covers the skills required for an individual to appraise the work performance of another person and provide feedback.



1 Plan for appraisal and feedback

1 Standards identified for the appraisal are provided to stakeholders for agreement

2 Agreed standards are provided to the parties directly involved in the appraisal process

3 Appraisal processes and guidelines are identified or developed and provided to the parties directly involved in the appraisal

2 Conduct and document appraisal

1 Relevant evidence is gathered from relevant sources

2 Capability is assessed by comparing evidence gathered with agreed standards

3 Appraisal decisions are documented

3 Provide feedback and

make decisions

1 Feedback on the outcome of appraisal is provided to the assessee and other personnel as agreed in the relevant guidelines

2 Agreement is negotiated with the assessee on action/ follow up

4 Review the appraisal and feedback

1 Information reflecting on the appraisal process is gathered from all stakeholders

2 The appraisal process is reviewed and amended if necessary to enhance its validity, reliability, efficiency and fairness

PSPGOV304A Appraise Capability and Provide Feedback in the Workplace WORKING IN GOVERNMENT


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Contexts of appraisal may include

• reward and recognition • client readiness and performance • performance appraisal • return to work / case management / counselling • on-going feedback • training and development • recruitment and selection • separation • evidence gathering under the supervision of a qualified assessor

Contexts of appraisal must NOT include

• assessment requiring formal assessor training, especially BSZ401A Plan Assessment, BSZ402A Conduct Assessment and BSZ403A Review Assessment

Stakeholders, assessors and assessees may include

• self • peers • managers / supervisors / team leaders • employees • teams and team members • clients / customers • job applicants

Appraisal processes and sources of evidence may

include

• assessee (self assessment) • assessors • 360° feedback • performance data • qualifications • written applications • interviews • referees reports • client / customer feedback

Standards may include • selection criteria • best practice standards • organisational practice standards • competencies • service level standards • codes of ethics / conduct • legislation / regulations

Guidelines may include • appraisal methods / sources • feedback methods /decisions • appraisal conditions • assessors • timelines • who gets feedback

WORKING IN GOVERNMENT PSPGOV304A Appraise Capability and Provide Feedback in the Workplace


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Evidence Guide



• feedback and advice provided is based on relevant evidence


Co-requisite units: Nil Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate III or above, particularly from the PSPETHC301A Uphold the Values and principles of Public Service, PSPGOV301A Work Effectively in the Organisation, PSPGOV302A Contribute to Workgroup Activities, PSPGOV303A Build and Maintain Internal Networks, PSPGOV307A Organise Workplace Information and PSPGOV308A Work Effectively with Diversity

Underpinning knowledge • organisation policies, practices and procedures • subject matter expertise • EEO, equity and diversity principles

Underpinning skills • planning • interpersonal communication • negotiation • evaluation • cross cultural competence, including gender and disability

Resource implications simulation or case study for off-the-job assessment










Level 2 Level 2 Level 2 Level 2 Level 1 level 2 Level 1



PSPGOV305A Access and Use Resources and Financial Systems WORKING IN GOVERNMENT


Vol 1Sec 2 Page 78

Unit PSPGOV305A Access and Use Resources and Financial Systems

Unit Descriptor This unit covers using the required resources to achieve work objectives.



1 Access and use resources

1 Resources which are required to achieve outcomes in the work unit are identified through consultation with team members and accessed according to defined procedures and relevant legislation

2 All resources are used efficiently and effectively and in accordance with organisational and OS&H procedures

2 Administer resource usage

1 All supplies and materials required to support the operation of the workgroup are accessed and maintained

2 Records on own resource usage are maintained as required by the organisation/ work unit

3 Orders are processed promptly and accurately and in accordance with defined organisational procedures to meet client needs

4 Resources are replaced within budget limitations and are stored in accordance with organisational procedures and to reduce theft and fraudulent activity

5 Asset / resource registers are maintained in accordance with organisational procedures

3 Operate financial systems relevant to job role

1 Relevant financial / accounting procedures are applied and reporting requirements are met

2 Audit and legislative requirements are met

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4 Identify and deal with discrepancies

1 Discrepancies or reduced resource levels are identified and appropriate action is taken

2 Faults, signs of wear and tear or missing resources are identified and reported in accordance with organisational procedures

3 Discrepancies in financial systems are reported to the supervisor


Resources are specific to the organisation and may include

• finances • facilities • equipment • stock and supplies

Records may include • financial statements • mail • file maintenance • stock list control • order forms • petty cash forms • electronic or hard copy



• effective and efficient resource usage, storage and distribution


Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate III or above, particularly PSPETHC301A Uphold the Values and Principles of Public Service, PSPGOV301A Work Effectively in the Organisation, PSPGOV307A Organise Workplace Information and PSPGOV308A Work Effectively with Diversity

Underpinning knowledge • workplace resource policies, procedures and requirements, including OS&H requirements

• relevant legislation • EEO, equity and diversity principles • principles of financial management and stock handling

PSPGOV305A Access and Use Resources and Financial Systems WORKING IN GOVERNMENT


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Underpinning skills • numeracy and literacy • record keeping • problem solving • communication • computer literacy • cross cultural competence, including gender and disability














WORKING IN GOVERNMENT PSPGOV306A Change Own Work Practices as Required


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Unit PSPGOV306A Change Own Work Practices as Required

Unit Descriptor This unit covers changing own work practices as required and participate in refining work procedures.



1 Prepare for change

1 The need for change in work practices is identified within the work unit and suggestions made or options devised

2 Planning for change in the workgroup is contributed to

3 Suggested workplace changes are discussed with supervisor and colleagues and acted upon as required

2 Implement and monitor change

1 Own work practices are changed according to agreed arrangements

2 Advice and support are given to assist others to adjust to changes in work practice

3 The benefits of change are promoted in the workplace as opportunity arises

4 Opportunities for continuous improvement in the workplace are identified and acted on

5 A flexible approach is applied when carrying out instructions for changes to work practices

6 Change is monitored with others to determine the effectiveness of revised procedures, and findings are advised to senior staff

PSPGOV306A Change Own Work Practices as Required WORKING IN GOVERNMENT


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Change may include • imposed or self-initiated

Change may include • technology • work practices and procedures • staffing • work priorities and objectives • budget • organisational structure • work location



• change is implemented under supervision; and • the needs of specific groups are identified in the change

process



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate III or above, particularly PSPGOV301A Work Effectively in the Organisation, PSPGOV302A Contribute to Workgroup Activities, PSPGOV303A Build and Maintain Internal Networks, PSPGOV307A Organise Workplace Information and PSPGOV308A Work Effectively with Diversity

Underpinning knowledge • principles of adapting to change • workgroup practices • EEO, equity and diversity principles

Underpinning skills • interpersonal communication • negotiation • evaluation • observation • consulting • evaluating • cross cultural competence, including gender and disability

Resource implications simulation or role play for off-the-job assessment



WORKING IN GOVERNMENT PSPGOV306A Change Own Work Practices as Required


Vol 1Sec 2 Page 83











PSPGOV307A Organise Workplace Information WORKING IN GOVERNMENT


Vol 1Sec 2 Page 84

Unit PSPGOV307A Organise Workplace Information

Unit Descriptor This unit covers collecting and disseminating information in the workplace.



1 Collect and assess information

1 Information is gathered and accurately recorded within specified time frames and according to organisational procedures

2 Information gathered is checked for accuracy and to ensure it meets relevant work requirements

3 Confidentiality and privacy procedures are followed

2 Organise and provide

information

1 Information and materials are organised and stored within established procedures

2 Information is organised for easy access by relevant staff

3 Record maintenance is accurate, up to date and in a format acceptable to the organisation

4 Security procedures are followed for information storage and retrieval

5 Incoming information and materials within the area of responsibility are sorted and distributed to relevant staff in accordance with procedures

6 Information is communicated to relevant staff clearly and within appropriate time frames

7 Information is used to develop options for consideration and action as required

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Information is specified by the work of the organisation and

may include

• basic numerical and statistical data • legislative, organisation, and policy requirements • client data • registries and file records • library materials • financial records • mail

Storage of information may include

• manual and computer files • systems which are internal and external to the organisation



• compliance with workplace information handling procedures including those related to security and confidentiality



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate III or above, particularly PSPGOV301A Work Effectively in the Organisation, PSPGOV305A Access and Use Resources and Financial Systems and PSPGOV308A Work Effectively with Diversity

Underpinning knowledge • accepted organisational information handling and storage procedures

• organisational requirements for privacy and security of workplace information

• EEO, equity and diversity principles

Underpinning skills • basic statistical and numerical manipulation • application of computer technology to data storage, retrieval

and presentation • establishing and maintaining filing systems • cross cultural competence, including gender and disability




PSPGOV307A Organise Workplace Information WORKING IN GOVERNMENT


Vol 1Sec 2 Page 86











WORKING IN GOVERNMENT PSPGOV308A Work Effectively with Diversity


Vol 1Sec 2 Page 87

Unit PSPGOV308A Work Effectively with Diversity

Unit Descriptor This unit covers recognising and valuing individual differences in the workplace.



1 Demonstrate respect for individual differences

1 Differences between colleagues are recognised in accordance with workplace diversity guidelines

2 Behaviour demonstrates sensitivity to the differences between colleagues

3 Conduct complies with the requirements of anti-discrimination legislation and awareness of workplace diversity

4 Communication styles are modified to reflect diversity

2 Work effectively with

diversity

1 Workplace diversity is recognised as an asset for the organisation

2 Opportunities are provided for colleagues to capitalise on their special qualities or backgrounds


Individual differences may include

• culture • religion • race • language • gender • sexual preference • physical differences • politics • expertise • experience / working styles • age • thinking styles / learning styles / intellectual differences • interpersonal approach • interests

PSPGOV308A Work Effectively with Diversity WORKING IN GOVERNMENT


Vol 1Sec 2 Page 88

Colleagues may include • peers • junior staff • internal stakeholders • external stakeholders / clients / customers • supervisors and senior management



• knowledge of anti-discrimination legislation and codes of conduct

• establishing rapport with all colleagues


Co-requisite units: Nil Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate III or above, particularly PSPETHC301A Uphold the Values and Principles of Public Service, PSPGOV401A Apply Knowledge of Government Processes, PSPGOV402A Deliver and Monitor Service to Clients, PSPGOV403A Use Resources to Achieve Work Unit Goals, PSPGOV404A Develop and Implement Work Unit Plans and PSPGOV405A Provide Input to the Change Process

Underpinning knowledge • anti-discrimination legislation • principles of cultural awareness • EEO, equity and diversity principles • codes of conduct

Underpinning skills • cross cultural communication • interpersonal communication • cross cultural competence, including gender and disability




WORKING IN GOVERNMENT PSPGOV308A Work Effectively with Diversity


Vol 1Sec 2 Page 89








N/A Level 2 N/A Level 2 N/A Level 1 N/A



PSPGOV401A Apply Knowledge of Government Processes WORKING IN GOVERNMENT


Vol 1Sec 2 Page 90

Unit PSPGOV401A Apply Knowledge of Government Processes

Unit Descriptor This unit covers the application of a knowledge of the machinery of government, legislation and regulations, organisational functions and protocols.



1 Access information relating to the machinery of government

1 Up-to-date information relating to the machinery of government relevant to work responsibilities is identified, accessed and applied

2 Apply a knowledge of

organisational functions

1 Up-to-date information relating to the structure and functions of the organisation is accessed and applied

2 Correct levels of authority are utilised and the appropriate persons are identified to deal with responsibilities within the organisation

3 Apply a knowledge of protocols

1 Up-to-date information relating to government protocols is identified, accessed and applied

2 Correct protocols are observed in dealings with persons from within and outside the organisation

4 Apply a knowledge of legislation and regulations

1 Up-to-date information relating to legislation and regulations relevant to the organisation is identified and accessed

2 Work activities are consistent with relevant legislation and regulations

WORKING IN GOVERNMENT PSPGOV401A Apply Knowledge of Government Processes


Vol 1Sec 2 Page 91


Machinery of government may include

• cycles of government (budget etc) • separation of powers (Executive, Judiciary, Legislative) • levels of government (Federal, State/Territory, Local) • legislative process • government structures (Unicameral, bicameral) • cabinet; ministers • departments; quasi-government organisations

Information may include • documents • data bases • web sites

Organisational structures may include

• bureaucratic structure and hierarchy • key personnel and their roles • key organisational functions and accountabilities

Protocols may include • forms of address • restrictions relating to contact with:

• Minister’s office • media • members of the public / specific interest groups • members of parliament • other government departments • senior management / Board members • government and opposition parties

Legislation and regulations may include

• those specific to the responsibilities of the organisation • those relating to government organisations in general • those relating to workplaces and organisations in general (including

OS&H, etc)



• information applied is current and reflects the range of government processes relevant to work responsibilities; and

• application of the knowledge in different workplace situations is in accordance with organisational requirements


Co-requisite units: Nil Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate IV or above, particularly PSPGOV402A Deliver and Monitor Service to Clients, PSPGOV403A Use Resources to Achieve Work Unit Goals, PSPGOV404A Develop and Implement Work Unit Plans, PSPGOV405A Provide Input to the Change Process, PSPGOV406A Gather and Analyse Information and PSPGOV407A Prepare a Quotation

PSPGOV401A Apply Knowledge of Government Processes WORKING IN GOVERNMENT


Vol 1Sec 2 Page 92

Underpinning knowledge • range and type of legislation relating to the public sector • public sector code/s of ethics, code/s of conduct and

statements of values • EEO, equity and diversity principles

Underpinning skills • acquire information (learn) • retain information (remember) • recall information • discard redundant information • cross cultural competence, including gender and disability











Level 2 Level 1 N/A Level 1 N/A Level 1 Level 1



WORKING IN GOVERNMENT PSPGOV402A Deliver and Monitor Service to Clients


Vol 1Sec 2 Page 93

Unit PSPGOV402A Deliver and Monitor Service to Clients

Unit Descriptor This unit covers understanding of service requirements which influence the needs of existing and new clients.



1 Identify and define client needs

1 Client information is used to identify services required

2 Special needs of clients are recognised and addressed in targeting client services

3 Potential areas of difficulty in client services are identified and remedial actions taken or recommended

2 Deliver client service

1 Response to client enquiries is in accordance with organisational standards of practice and codes of conduct

2 Service delivery is appropriate, timely and accurately targeted

3 Accountability mechanisms are identified and used, including organisation client service charter and/or external review

3 Review client service

1 Client feedback about service is sought and responded to

2 Procedural aspects of service delivery are monitored and records maintained as appropriate

3 Modifications to client service are carried out within area of responsibility and limits imposed by government

4 Proposals for change are based on feedback on service development and delivery


Client services may include • any services (or products) provided by the organisation to internal or external clients

PSPGOV402A Deliver and Monitor Service to Clients WORKING IN GOVERNMENT


Vol 1Sec 2 Page 94

Clients may include • individual members of the public • Government • other agencies • community groups • other work areas in the organisation • individual members of the organisation • senior management

Client special needs may include

• disabilities • language • literacy and numeracy • gender • culture • age • medical conditions • state of mind • remote location

Accepted service delivery occurs within

• protocols • duty of care responsibility • codes of conduct • framework of accountability



• establishing rapport with clients • incorporating the requirements of all groups in client service

work; and • dealing with difficult situations Special note: the provision of client services is always constrained by the availability of resources and it is likely that client needs have to be prioritised or rationed.


Co-requisite units: Nil Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate IV or above, particularly PSPGOV401A Apply Knowledge of Government Processes, PSPGOV403A Use Resources to Achieve Work Unit Goals and PSPGOV406A Gather and Analyse Information

Underpinning knowledge • principles of effective client service delivery • organisation client services provided • organisational goals and processes • Government processes • limitations of resources for service delivery • EEO, equity and diversity principles

WORKING IN GOVERNMENT PSPGOV402A Deliver and Monitor Service to Clients


Vol 1Sec 2 Page 95

Underpinning skills • effective communication • negotiation • record keeping • analysing • cross cultural competence, including gender and disability

Resource implications simulation or role play for off-the-job assessment


Context/s of assessment this competency may be assessed on or-off-the job











PSPGOV403A Use Resources to Achieve Work Unit Goals WORKING IN GOVERNMENT


Vol 1Sec 2 Page 96

Unit PSPGOV403A Use Resources to Achieve Work Unit Goals

Unit Descriptor This unit covers organising available resources to facilitate achieving work area objectives.



1 Acquire and apply available resources

1 Available resources are identified and gaps filled

2 Procedures which promote efficient economical and effective allocation and distribution of resources are applied

3 Acquisition and storage of resources is in accordance with organisational procedures

4 Resource handling is in accordance with established work practices and guidelines including Occupational Health and Safety and security requirements

2 Monitor and report on resource usage

1 Trends on resource usage are monitored and reported in accordance with organisational requirements

2 Records of resource usage are maintained in accordance with relevant legislation and guidance

3 Relevant financial systems are operated

4 Resource shortfalls are identified and recommendations made to address these

3 Maintain resources

1 Resources are maintained in accordance with manufacturers and organisational guidelines and service contracts

2 Resources are maintained to facilitate work practices and outcomes

3 Contingency plans are developed to ensure operational continuity

WORKING IN GOVERNMENT PSPGOV403A Use Resources to Achieve Work Unit Goals


Vol 1Sec 2 Page 97


Resources are those required by the organisation and may

include

• finances • facilities • equipment • stock and supplies

Work unit plans may include • resource plans • project plans • daily plans • budgets • business plans

Relevant information may include

• occupational health and safety • financial and accounting procedures and reporting requirements • audit and legislative requirements

Evidence Guide



• resources are used and maintained to achieve work unit objectives


Co-requisite units: Nil Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate IV or above, particularly PSPGOV401A Apply Knowledge of Government Processes, PSPGOV402A Deliver and Monitor Service to Clients, PSPGOV404A Develop and Implement Work Unit Plans, PSPGOV405A Provide Input to the Change Process and PSPGOV406A Gather and Analyse Information

Underpinning knowledge • relevant operational procedures for accessing, storing, maintaining and using resources

• stock handling procedures • OS&H requirements • EEO, equity and diversity principles

Underpinning skills • interpersonal communication • monitoring outcomes • cross cultural competence, including gender and disability

Resource implications role play and simulation for off-the-job assessment



PSPGOV403A Use Resources to Achieve Work Unit Goals WORKING IN GOVERNMENT


Vol 1Sec 2 Page 98











WORKING IN GOVERNMENT PSPGOV404A Develop and Implement Work Unit Plans


Vol 1Sec 2 Page 99

Unit PSPGOV404A Develop and Implement Work Unit Plans

Unit Descriptor This unit covers achieving results through planning.



1 Participate in planning activities of the work unit

1 Contributions to work plans reflect consideration of corporate goals and their relationship to workgroup and individual needs

2 Contributions to work unit plans reflect consideration of relevant issues including staffing procedures, resourcing allocations and requirements, and identified time frames

3 Planning activities as requested are completed within the defined time frame and meet the organisations standards

4 Individual work plans promote the achievement of work unit objectives

5 Plans reflect personal and organisational accountability to all clients

6 Feedback is sought and acted on in relation to effectiveness of planning activities

2 Set objectives

1 Objectives are consistent with and linked to organisational aims

2 Objectives are stated as measurable targets with clear performance indicators

3 Implement and evaluate work plans

1 Work methods and practices to implement plans are identified in consultation with others

2 Work plans are the basis for completion of work according to time, workplace requirements and specified standards

3 Problems in implementing work plans are monitored and solutions proposed within area of responsibility

4 Work plans are revised according to changes in work priorities and organisational needs

PSPGOV404A Develop and Implement Work Unit Plans WORKING IN GOVERNMENT


Vol 1Sec 2 Page 100


Information may include • relevant legislation affecting organisational administration • organisation, corporate and strategic plans and activity calendars • relevant industrial awards • Department of Finance Circulars (or equivalent) • organisation financial and personnel management guidelines • technology and data associated with work

Plans may include • daily work plans • project plans • specific purpose plans including EEO, industrial democracy and

OS&H • resource plans



• personal results are achieved within the context of the area’s work plan and organisation corporate goals



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate IV or above, particularly PSPGOV401A Apply Knowledge of Government Processes, PSPGOV403A Use Resources to Achieve Work Unit Goals, PSPGOV405A Provide Input to the Change Process, and PSPGOV406A Gather and Analyse Information

Underpinning knowledge • effective planning processes • corporate goals or aims • organisational procedures • EEO, equity and diversity principles

Underpinning skills • planning • problem solving • evaluation • negotiation • cross cultural competence, including gender and disability




WORKING IN GOVERNMENT PSPGOV404A Develop and Implement Work Unit Plans


Vol 1Sec 2 Page 101











PSPGOV405A Provide Input to Change Process WORKING IN GOVERNMENT


Vol 1Sec 2 Page 102

Unit PSPGOV405A Provide Input to Change Process

Unit Descriptor This unit covers understanding the reasons for change and initiate specific changes related to the work unit.



1 Suggest options and opportunities for change

1 The need for change in work practice within the work unit is identified, suggestions sought and options devised

2 The options and opportunities for suggested change aim to improve efficiency and effectiveness of the workgroup

3 The options and opportunities for suggested change aim to improve efficiency and effectiveness of the work environment

2 Encourage commitment to workplace change

1 Positive action is demonstrated in the change process

2 The needs of individuals are identified and considered when implementing change

3 Individuals are involved in the change process as appropriate

4 Support is provided to colleagues on adjusting to change

5 Issues requiring further action are identified and dealt with

3 Provide feedback on the effectiveness of change

1 Effects of change within the workgroup are monitored and discussed with supervisor to ensure smooth implementation

2 Problems related to implementing change are identified, reported on and solutions sought

WORKING IN GOVERNMENT PSPGOV405A Provide Input to Change Process


Vol 1Sec 2 Page 103


Change may include • imposed, self-initiated or through identifying opportunities • implementation of new work practices • legislative change • changes in the machinery of government • technology transfer to the workplace • changing work practices and procedures • staffing changes

Evidence Guide



• change is implemented under supervision • the needs of particular groups are identified in the change

process; and • affected staff are involved in the process as appropriate



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate IV or above, particularly PSPGOV401A Apply Knowledge of Government Processes, PSPGOV403A Use Resources to Achieve Work Unit Goals, PSPGOV404A Develop and Implement Work Unit Plans and PSPGOV406A Gather and Analyse Information

Underpinning knowledge • organisational structure and culture • effects of change in the workplace • EEO, equity and diversity principles

Underpinning skills • interpersonal communication • problem solving • team skills • monitoring and observation • cross cultural competence, including gender and disability




PSPGOV405A Provide Input to Change Process WORKING IN GOVERNMENT


Vol 1Sec 2 Page 104











WORKING IN GOVERNMENT PSPGOV406A Gather and Analyse Information


Vol 1Sec 2 Page 105

Unit PSPGOV406A Gather and Analyse Information

Unit Descriptor This unit covers analysing information to achieve work unit objectives and meet client needs.



1 Identify and collect information

1 Information which is required is identified, collected and collated in a timely manner

2 Internal and external sources are identified and accessed to produce required information

3 Required information is organised in a way which enables easy access and retrieval by staff

4 Information is collected, organised, recorded and reported in accordance with organisational procedures and defined guidelines

2 Analyse and interpret information

1 Information is evaluated for relevance and validity to the requirements

2 Basic analysis of information to identify key issues is undertaken as required

3 More detailed analysis of information is carried out as required using relevant techniques including straightforward mathematical calculations and methods

3 Develop and apply workable solutions

1 Workable solutions to issues are developed on consideration of relevant information and options

2 Proposed solutions are communicated or implemented as required

4 Present information

1 Information is reported in a timely manner in the required format, style and structure

2 Information is presented in an efficient and effective manner using relevant technology to produce high quality reports

PSPGOV406A Gather and Analyse Information WORKING IN GOVERNMENT


Vol 1Sec 2 Page 106


5 Maintain information systems

1 A range of standard and complex information systems and operations are managed to the standards required of the organisation

2 Information and record management systems are maintained in accordance with organisational procedures to ensure data and system integrity

3 Routine data and records are reconciled as required

4 Inadequacies in data gathering systems are identified and corrected or reported to senior staff as required


Information may include • legislation, guidelines and awards • organisation, legal and policy materials • client information • market trends • media reports • registries and file records • library materials • financial records • basic statistical information • personnel records

Information systems may include

• workplace communication procedures • file / records management procedures • personnel systems • specific purpose data bases • library systems • financial procedures

Presentation of information may include

• routine reports and submissions • briefing notes, ministerials • proposals, project plans

• articles and promotional material

Analysis of information may include

• basic statistical analysis • mathematical calculations • critical analysis • problem solving • matching

WORKING IN GOVERNMENT PSPGOV406A Gather and Analyse Information


Vol 1Sec 2 Page 107



• work effectively under pressure; and • comply with procedures relating to security and confidentiality



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate IV or above, particularly PSPGOV401A Apply Knowledge of Government Processes, PSPGOV402A Deliver and Monitor Service to Clients, PSPGOV403A Use Resources to Achieve Work Unit Goals, PSPGOV404A Develop and Implement Work Unit Plans, PSPGOV405A Provide Input to the Change Process, and PSPGOV407A Prepare a Quotation

Underpinning knowledge • data collection and management procedures • accepted organisational procedures covering handling and

storing information

Underpinning skills • basic statistical techniques • manual and computerised techniques for information

management • analysis techniques • establishing and maintaining filing systems • EEO, equity and diversity principles • cross cultural competence, including gender and disability

Resource implications simulation and case studies for off-the-job assessment













PSPGOV407A Prepare a Quotation WORKING IN GOVERNMENT


Vol 1Sec 2 Page 108

Unit PSPGOV407A Prepare a Quotation

Unit Descriptor This unit covers the preparation of a written or oral quotation to provide goods or services to others.



1 Clarify requirements 1 Requirements are confirmed with the funder/purchaser in accordance with organisational policy and procedures

2 Market research is conducted in accordance with public sector standards to confirm the viability of preparing a quotation

2 Establish costs and availability of resources

1 Costs for labour, equipment or materials are obtained in accordance with organisational policy and procedures and included in the quotation in full

2 Availability of equipment, materials or personnel is confirmed for the timeframe required

3 Infrastructure costs to the organisation of providing the goods or services are included

4 Cost or benefit from any asset disposal at the conclusion of the contract is included

3 Prepare estimate 1 Estimate takes account of all requirements and allows for contingencies

2 Estimate provides for cost recovery or returns a profit according to organisational policy and procedures

3 Costs estimated enable provision of goods or services to the standards required by the client

4 Estimate is checked for accuracy and detailed in accordance with organisational procedures and client requirements

WORKING IN GOVERNMENT PSPGOV407A Prepare a Quotation


Vol 1Sec 2 Page 109


4 Prepare and submit quotation

1 Quotation is prepared in accordance with organisational policy and procedures

2 Quotation addresses required details and meets client requirements

3 Quotation is submitted within required timeframe

4 Organisational record keeping requirements for quotations are met

5 Take follow-up action 1 Changes and variations to the quotation are negotiated to meet the needs of the client and the organisation, in accordance with policy, procedure and delegated authority

2 Proposal, outcome and preparation process are evaluated using feedback from a range of stakeholders and the results are used to improve subsequent quotations


Relevant legislation, policies and procedures may include

• Commonwealth or State/Territory legislation • organisational policies and practices • seeking appropriate delegations

Services quoted may include • electronic • computerised • bureau services • procedural systems • training • mechanical

Clients may include • private sector organisations • Commonwealth, State/Territory, Local Government organisations • intra-organisation units

Stakeholders may include • client, manager, peers

PSPGOV407A Prepare a Quotation WORKING IN GOVERNMENT


Vol 1Sec 2 Page 110



• application of relevant legislation and procedures • ethical practices; and • feedback on quality of quotation



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Certificate III or above, particularly PSPLEGN301A Comply with Legislation in the Public Sector, PSPGOV401A Apply Knowledge of Government Processes, PSPGOV403A Use Resources to Achieve Work Unit Goals and PSPGOV404A Develop and Implement Work Unit Plans

Underpinning knowledge • tendering guidelines, policies and practices • financial accountability requirements • legal requirements of selling government services • implications of particular contracting agreements • whole-of-life considerations • disposals considerations • legal aspects of disposals • approval processes • tendering management processes • EEO, equity and diversity principles

Underpinning skills • numeracy skills used in selecting and applying mathematical concepts, estimating, checking reasonableness of results

• using a range of mathematical language to communicate mathematical information

• financial and other resources management skills • literacy skills used in oral clarification of issues; negotiating

variations and changes with clients; using language and style for written quotation; using technical and other vocabulary

• research skills • analytical skills • problem solving using conceptual and reasoning skills • networking skills with clients, suppliers and stakeholders • cross cultural competence, including gender and disability

Resource implications assessment may involve reports from supervisors and/or managers, reports from team members and references from clients

Consistency of performance evidence to be gathered over time across a range of variables

Context/s of assessment this competency may be assessed on-the-job or in a simulated work environment; holistic assessment; assessment by way of documented information and/or examples of personal work

WORKING IN GOVERNMENT PSPGOV407A Prepare a Quotation


Vol 1Sec 2 Page 111











PSPGOV501A Co-ordinate a Workgroup WORKING IN GOVERNMENT


Vol 1Sec 2 Page 112

Unit PSPGOV501A Co-ordinate a Workgroup

Unit Descriptor This unit covers achieving operational results and effective working relationships through managing and developing individuals and teams.



1 Develop and maintain a co-operative workgroup

1 Work contributions or suggestions from staff are sought and encouraged

2 Contributions to workgroup operations are acknowledged and suggestions are considered constructively

3 Staff skills are used and developed according to work requirements

4 Work is allocated on the basis of skills and development needs

5 Staff are consulted about implementing new work practices

6 Conflict between staff members is addressed in accordance with current personnel practices

2 Communicate objectives and required standards

1 Staff are informed of the team and corporate objectives and the standards of performance required

2 Staff adherence to objectives and standards is developed

3 Equal Employment Opportunity, Occupational Health and Safety, diversity management and participative work practices are modelled and promoted to staff

3 Provide feedback on performance

1 Regular constructive feedback on all aspects of work performance is provided to individuals and the team

2 Performance is assessed and addressed in a fair and timely manner in accordance with relevant guidelines, procedures and natural justice

WORKING IN GOVERNMENT PSPGOV501A Co-ordinate a Workgroup


Vol 1Sec 2 Page 113


4 Support and participate in development activities

1 A process to assess training needs of staff is in place

2 An action plan to meet individual and group training and development needs is developed, agreed and implemented

3 Specific training needs of individuals are identified

4 Staff are encouraged and supported to attend relevant training courses and to take up other appropriate development opportunities

5 Training provided on-the-job is to the required standard

6 Staff are encouraged and supported in applying new skills and knowledge in the workplace

5 Provide leadership, direction and guidance to the group

1 The link between the function of the group and the goals of the organisation is identified and communicated

2 Participative decision making is used routinely in developing, implementing and reviewing work of the group and allocating responsibilities, where appropriate

3 Opportunities and encouragement are given to team members to develop new and innovative work practices and strategies

4 Conflict is identified and resolved as far as possible with minimum disruption to workgroup function

5 Staff are provided with the support and supervision necessary to perform work safely

6 Allocated tasks are within the competencies of staff and supported with appropriate training, autonomy and authority

7 Supervision is provided appropriate to changing priorities and situations and takes into account the differing needs and skills of individuals and the requirement of the task and workplace

PSPGOV501A Co-ordinate a Workgroup WORKING IN GOVERNMENT


Vol 1Sec 2 Page 114


Relevant information affecting the workgroup of the

organisation may include

• legislation • plans • industrial awards and agreements • organisation policies, plans, procedures and protocols • performance management systems • quality standards • efficiency indicators

Training and development opportunities may include

• formal course participation • on-the-job training • work experience • staff exchanges • mentoring • external study • conference and seminar attendance • induction • job rotation

Evidence Guide



• working effectively in a team environment; and • individual work outcomes


Co-requisite units: Nil Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Diploma level or above, particularly PSPGOV503A Co-ordinate Resource Allocation and Usage PSPGOV504A Co-ordinate Research and Analysis and PSPGOV601A Apply Knowledge of Government Systems

Underpinning knowledge • principles of effective team operation • principles of human resource management • training delivery in the workplace • EEO, equity and diversity principles

Underpinning skills • interpersonal communication • negotiation • training • supervisory • leadership • decision making • cross cultural competence, including gender and disability

WORKING IN GOVERNMENT PSPGOV501A Co-ordinate a Workgroup


Vol 1Sec 2 Page 115














PSPGOV502A Develop, Provide, Promote and Evaluate Client Services WORKING IN GOVERNMENT


Vol 1Sec 2 Page 116

Unit PSPGOV502A Develop, Provide, Promote and Evaluate Client Services

Unit Descriptor This unit covers identifying service requirements which meet existing client needs.



1 Analyse client needs

1 Information on the client group is gathered

2 Information on the client group is used to target service provision for clients

3 Clients and their needs are identified to enable the service to be provided and expanded in order to respond to changing needs

4 Client feedback is sought and considered in order to respond to changing needs

2 Provide and review client service

1 Client information is recorded, maintained and used to ensure future client dealings and service developments are well informed

2 Client feedback on service delivery is used to refine the service

3 Client service delivery upholds the reputation of the organisation

4 Individual differences of clients are identified and addressed

5 Problems in addressing client needs are identified and referred to the appropriate staff

3 Promote client services

1 Services to existing and / or potential clients are promoted to ensure that the benefits and costs of the service are clearly understood

2 A range of service options for clients is effectively promoted

3 Clients are assisted to identify their needs and select the best available service

WORKING IN GOVERNMENT PSPGOV502A Develop, Provide, Promote and Evaluate Client Services


Vol 1Sec 2 Page 117


4 Develop and enhance client service

1 Changes to client service is within policy and budgetary frameworks

2 Training is undertaken to ensure the implementation of appropriate strategies for meeting changing client needs

3 Information on the product and service is used to match client’s needs with service delivery

4 Specified aspects of the service or service delivery are modified to meet changing client and service requirements

5 Client service is adapted within procedural and legislative requirements to maintain high standards of delivery


Client services may include • any service relevant to the organisation

Clients may include • individual members of the public • other agencies, community groups and individuals • other work areas of the organisation • senior management

Specific client needs may include

• disabilities • language • gender • culture • age • remote location

PSPGOV502A Develop, Provide, Promote and Evaluate Client Services WORKING IN GOVERNMENT


Vol 1Sec 2 Page 118



• a network of clients is established and maintained • rapport is established with clients • the requirements of specific groups are incorporated in all

client service work; and • positive feedback from clients Special note: the provision of client services is always constrained by the availability of resources and it is likely that client needs have to be prioritised or rationed.



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Diploma level or above, particularly PSPGOV501A Co-ordinate a Workgroup, PSPGOV502A Develop, Provide, Promote and Evaluate Client Services, PSPGOV503A Co-ordinate Resource Allocation and Usage, PSPGOV504A Co-ordinate Research and Analysis, A PSPGOV601 Apply Knowledge of Government Systems and PSPGOV602A Establish and Maintain External Networks

Underpinning knowledge • principles of client service delivery in the public sector • organisation specific client services available • organisation client service standards • limitations of resources for service delivery • EEO, equity and diversity principles

Underpinning skills • monitoring and evaluation • record keeping and interpretation • problem solving • negotiation • cross cultural competence, including gender and disability














WORKING IN GOVERNMENT PSPGOV503A Co-ordinate Resource Allocation and Usage


Vol 1Sec 2 Page 119

Unit PSPGOV503A Co-ordinate Resource Allocation and Usage

Unit Descriptor This unit covers usage and monitoring available resources to achieve work unit outcomes.



1 Allocate available resources to achieve results

1 Required resources are identified, obtained and allocated to enable achievement of work unit objectives

2 Resource allocation complies with relevant guidelines and legislation

2 Monitor and evaluate resource usage

1 Systems are implemented to enable timely and accurate monitoring and evaluation of resource usage against targets and organisational standards

2 Records of resource allocation and usage are maintained in accordance with relevant legislation and guidelines

3 Resource usage issues are identified, analysed and addressed

4 Replacements or additional resources are provided as required

3 Report on resource usage

1 Resource usage is accurately reported in an appropriate format and on a regular basis

2 Reports are completed to indicate the level of performance achieved and any follow-up action

3 Appropriate technology is applied to resource management systems

PSPGOV503A Co-ordinate Resource Allocation and Usage WORKING IN GOVERNMENT


Vol 1Sec 2 Page 120


Resources may include • finances • facilities • equipment • stock and supplies • human • technical expertise • consultancy



• allocation of available resources to achieve work unit objectives



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Diploma level or above, particularly PSPGOV501A Co-ordinate a Workgroup, PSPGOV506A Co-ordinate Research and Analysis, PSPGOV601A Apply Knowledge of Government Systems, PSPGOV602A Establish and Maintain External Networks and PSPGOV603A Develop A Tender Submission

Underpinning knowledge • relevant operational procedures for accessing, storing, maintaining and using resources

• stock handling procedures • financial management principles and procedures • budget processes • EEO, equity and diversity principles

Underpinning skills • record keeping • reporting • information systems skills • cross cultural competence, including gender and disability




WORKING IN GOVERNMENT PSPGOV503A Co-ordinate Resource Allocation and Usage


Vol 1Sec 2 Page 121











PSPGOV504A Co-ordinate Research and Analysis WORKING IN GOVERNMENT


Vol 1Sec 2 Page 122

Unit PSPGOV504A Co-ordinate Research and Analysis

Unit Descriptor This unit covers identifying and undertaking research and analysing research findings to develop advice and recommendations.



1 Identify and undertake research

1 Information needs are defined based on work objectives and client and organisation requirements

2 Strategies are developed to acquire required information

3 Information is researched in a timely and thorough way and within resource allocation

4 The methods and aims of research are clearly communicated

2 Analyse information and apply the results of analysis

1 Specialist data is collected, consolidated and analysed to recommend outcomes and advise trends to senior staff

2 Analytical techniques and processes are selected or applied to information in order to achieve defined objectives

3 Information is analysed to identify facts, issues, patterns, interrelationships and trends

4 Agreed project timelines are met and all work meets defined standards of the organisation

3 Manage information systems

1 Information systems are maintained so that data and system integrity is guaranteed

2 A range of standard and complex information systems and applications are maintained in accordance with organisation standards

3 Information systems are reviewed and updated as necessary

WORKING IN GOVERNMENT PSPGOV504A Co-ordinate Research and Analysis


Vol 1Sec 2 Page 123


4 Compile reports from information systems

1 The findings from analysing information are used to provide advice and develop policies and solutions which meet client needs and organisation standards

2 Reporting of results of analysis of information is logically sequenced, concise and clear, and includes predictions, assumptions and constraints


Information is defined by the operations of the organisation

and may include

• organisation materials • client information • market trends • registries and file records • library materials • financial records • statistical information • personal records • legislation • policies

Analysis may include • application of statistical methods • mathematical calculations • critical analysis • problem solving

Relevant information systems may include

• computers • communication channels • records management • data • procedures • protocol • legislation, guidelines and awards • organisation, legal and policy materials • client information • market trends • registries and file records • library • financial records • basic statistical information • personnel records

PSPGOV504A Co-ordinate Research and Analysis WORKING IN GOVERNMENT


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Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Diploma level or above, particularly, PSPGOV501A Co-ordinate a Workgroup, PSPGOV502A Develop, Provide, Promote and Evaluate Client Services, PSPGOV503A Co-ordinate Resource Allocation and Usage, PSPGOV601A Apply Knowledge of Government Systems, PSPGOV602A Establish Maintain External Networks and PSPGOV603A Develop a Tender Submission

Underpinning knowledge • data collection and management procedures • standard reporting procedures • EEO, equity and diversity principles

Underpinning skills • statistical analysis • manual and computerised techniques for information

management • analysis techniques • cross cultural competence, including gender and disability

Resource implications simulation and role play for off-the-job assessment













WORKING IN GOVERNMENT PSPGOV601A Apply Knowledge of Government Systems


Vol 1Sec 2 Page 125

Unit PSPGOV601A Apply Knowledge of Government Systems

Unit Descriptor This unit covers the application of a knowledge of linkages between government organisations and between governments and an understanding of the broader political context.



1 Apply a knowledge of organisational linkages

1 Decisions, advice and actions make effective use of a comprehensive and up to date knowledge of the linkages between government organisations, quasi-government organisations and non-government organisations

2 Apply a knowledge of inter-governmental linkages

1 Decisions, advice and actions taken make effective use of a comprehensive and up-to-date knowledge of the linkages between governments

3 Apply a knowledge of

political context

1 Decisions, advice and actions taken make effective use of a comprehensive and up-to-date knowledge of the current political environment


Inter-governmental linkages may include

linkages between: • National Governments and • Federal Government and • State and Territory Governments and • Local Governments

Political context may include • political parties and policies • political evolution and reform • political powers, processes and activities • community organisations, lobby groups and other interested

parties • world / regional politics, pacts and agreements

Organisational linkages may include

performance partnerships between: • Government and • government organisations and • quasi-government organisations and • non government organisations

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• work performance reveals a sound understanding of the organisation in its political and governmental context



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Diploma level or above, particularly PSPGOV502A Develop, Provide, Promote and Evaluate Client Services, PSPGOV504A Co-ordinate Research and Analysis, PSPGOV602A Establish and Maintain External Networks and PSPGOV603A Develop a Tender Submission

Underpinning knowledge • organisational knowledge • legislation, regulations, guidelines, policy, practices • ethical standards • governance practices • EEO, equity and diversity principles

Underpinning skills • acquire information (learn) • retain information (remember) • recall information • discard redundant information • cross cultural competence, including gender and disability














WORKING IN GOVERNMENT PSPGOV602A Establish and Maintain External Networks


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Unit PSPGOV602A Establish and Maintain External Networks Unit Descriptor This unit covers establishing, expanding and utilising

external networks.



1 Identify the need for an external network and identify key external stakeholders

1 The purpose of the network is described

2 Key external stakeholders and their needs, expectations and roles are identified

2 Identify or establish network links with key external stakeholders

1 Existing network links between key external stakeholders are identified, and strategies to expand identified and initiated

2 New network links to self and between key external stakeholders are established and used effectively

3 Participate in external networks

1 Information is provided to external stakeholders to ensure an understanding of own role

2 Effective communication channels are established to exchange information to increase organisation effectiveness

3 External stakeholder input and feedback is sought and acted upon

4 Misunderstandings and conflict situations are identified and constructively addressed in accordance with principles of conflict resolution


Key external stakeholders may include

• officers from other Government organisations, Ministerial advisers, community members, council members, industry representatives, professional associations

Networks may include • formal or informal networks • circulation lists • e-mail address books • mailing lists

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Critical aspects of evidence • integrated demonstration of all elements of competency and their performance criteria;

• productive / effective relationships with stakeholders; and • observance of organisational protocols



Co-assessed units: This unit may be assessed with any of the generalist public sector specific units at Diploma level or above, particularly PSPGOV502A Develop, Provide, Promote and Evaluate Client Services, PSPGOV503A Co-ordinate Resource Allocation and Usage, PSPGOV506A Co-ordinate Research and Analysis, PSPETHC601A Maintain and Enhance Confidence in Public Service, PSPLEGN601A Manage Compliance with legislation in the Public Sector and PSPGOV601A Apply Knowledge of Government Systems

Underpinning knowledge • principles of communication • principles of conflict resolution • principles of mediation • EEO, equity and diversity principles

Underpinning skills • interpersonal, group and organisational communication • conflict resolution and negotiation • cross cultural competence, including gender and disability














WORKING IN GOVERNMENT PSPGOV603A Develop a Tender Submission


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Unit PSPGOV603A Develop a Tender Submission

Unit Descriptor This unit covers the preparation of a written tender submission to provide goods or services on a cost-recovery or for profit basis.



1 Identify opportunities to provide goods or services

1 The business unit’s or organisation’s place in the market is identified

2 Organisational resources/expertise available for purchase are identified and matched to opportunities

3 Business case is developed to demonstrate viability of opportunities and submitted for approval in accordance with organisational policy and procedures

2 Analyse tender requirements

1 Scope of the requirement is identified

2 Requirements are confirmed with the funder/purchaser in accordance with organisational policy and procedures

3 Determine proposal methodology

1 Methodology is selected based on available resources and expertise and client requirements

2 Methodology meets organisational and public sector requirements for probity and accountability

4 Prepare estimate

1 Estimate takes account of all requirements and allows for contingencies

2 Estimate provides for cost recovery or returns a profit according to organisational policy and procedures

3 Costs estimated enable provision of goods or services to the standards required by the client

4 Estimate is checked for accuracy and detailed in accordance with organisational procedures and client requirements

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5 Submit a tender

1 Tender is prepared in accordance with organisational policy and procedures

2 Tender addresses required details and meets client requirements

3 Tender is submitted within required timeframe

4 Organisational record keeping requirements for tenders are met

6 Review tender process

1 Changes and variations to the tender are negotiated to meet the needs of the client and the organisation in accordance with contractual arrangements, organisational policy, procedure and delegated authority

2 Tender, outcome and preparation process are evaluated using feedback from a range of stakeholders and the results are used to improve subsequent quotations

Range of Variables


Business unit may refer to • a program; sub-program; cost centre; area; division; branch; production unit or section located within the organisation.

Business case may be in the form of

• memo; report; e-mail (for electronic signature); letter; formal business case format

Legislation and Policies may include

• Commonwealth and State/Territory legislation; national and international codes of practice and standards; the organisation’s policies and practices; government policy; codes of conduct; national competition policy

Services quoted may include • electronic • computerised • bureau services • procedural systems • training; mechanical

Clients may include • private sector organisations • Commonwealth, State/Territory; Local Government

organisations • intra-agency units

Stakeholders may include • all those individuals and groups both inside and outside the organisation, which have some direct interest in the organisation’s behaviour, actions, products and services. They may include employees at all levels of the organisation; other public sector organisations; union and association representatives; boards of management; government; ministers.

WORKING IN GOVERNMENT PSPGOV603A Develop a Tender Submission


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Evidence Guide


Critical aspects of evidence • Integrated demonstration of all elements and their related performance criteria.

• Preparation of written tender which applies and complies with relevant legislation and procedures



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Diploma level or above. It is recommended that co-assessment occurs with some or all of the following units:

PSPGOV506A Co-ordinate Research and Analysis

PSPETHC601A Maintain and Enhance Confidence in Public Service

PSPLEGN601A Manage Compliance with legislation in the Public Sector

PSPGOV602A Establish and Maintain External Networks

PSPPOLI601A Manage Policy Implementation

PSPGOV601A Apply Knowledge of Government Systems

PSPMNGT602A Manage Resources

PUAMAN007A Manage Financial Resources Underpinning knowledge • tendering guidelines, policies and practices

• financial accountability requirements • legal requirements of selling government services • implications of particular contracting agreements • whole-of-life considerations • delegations • approval processes • range of evaluation methods • tendering management processes • understanding of the relationships between effective

management of diversity and the organisation’s core business and strategic goals

• understanding of the concept of diversity and its integration

within and across all human resource and management functions and areas

• understanding of organisational goals and policies • relevant State/Territory or Commonwealth legislation which

applies to management • EEO, equity and diversity principles

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Underpinning skills • numeracy skills used in selecting and applying mathematical concepts, estimating, checking reasonableness of results

• using a range of mathematical language to communicate mathematical information

• financial and other resources management skills • literacy skills used in oral and written clarification of issues;

negotiating variations and changes with clients; using language and style for written submissions; using technical and other vocabulary

• networking skills with clients, suppliers and stakeholders • evaluation and review skills • cross cultural competence, including gender and disability

Resource implications case studies or simulated workplace for off-the-job assessment

Consistency of performance evidence will need to be gathered over time across a range of workplace scenarios to assess consistency of performance












Pol

icy

Dev

elop

men

t

POLICY DEVELOPMENT PSPPOLD401A Contribute to the Development of Policy


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POLICY DEVELOPMENT COMPETENCY STANDARDS

Unit PSPPOLD401A Contribute to the Development of Policy

Unit Descriptor This unit covers the provision of assistance to the policy development process.

Key Area Policy Development


1 Gather information on policy implementation / needs

1 Information required to support the policy development and implementation process is identified, gathered, recorded and stored as required

2 Contribute to the

evaluation of policy, its development and implementation

1 Information relating to the expected outcomes of the policy is identified, gathered, recorded, stored and analysed before, during and/or following policy implementation as required

2 Information relating to the process of policy development is identified, gathered, recorded, stored and analysed during policy development as required

3 Provide feedback on the development of policy

1 Oral or written feedback on the policy development process, policy implementation and the policy itself is provided to the policy developer


Policy may include • any policy required by an organisation for its own functioning or to meet board or government directives

Information gathering may include

• consulting with stakeholders • developments in other public sector or private sector organisations • evaluation of similar policies • benchmarking • pilots or trials of policy • quantitative or qualitative data • survey instruments

PSPPOLD401A Contribute to the Development of Policy POLICY DEVELOPMENT


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• the process of development of policy is supported


Co-requisite units: Nil Co-assessed units: This unit may be assessed with any of the generalist public service specific units at Certificate III or above

Underpinning knowledge • government processes • organisation processes • EEO, equity and diversity principles

Underpinning skills • communication • ability to work in a team • research and evaluation • cross-cultural competence, including gender and disability














POLICY DEVELOPMENT PSPPOLD501A Develop Organisation Policy


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Unit PSPPOLD501A Develop Organisation Policy

Unit Descriptor This unit covers the development of ‘in house’ operational policy in an organisation, formulated to facilitate the implementation of government or board directives.


Element Performance Criteria 1 Identify, select and

define organisation policy issues

1 Events, issues or government or board policies likely to require changes to organisation policy are accurately identified

2 The implications and impact of events that might require policy development are identified

3 Priority areas for policy development are recommended

4 Policy requirements are defined in terms of context, issues to be addressed, expected outcomes, possible complications, precedents and key stakeholders

2 Gather and analyse

information for organisation policy development

1 Information required to support the policy development process is identified

2 Information required to support the policy development process is gathered, analysed and interpreted

3 An analytical framework for the development of an appropriate organisation policy is determined

3 Formulate and communicate organisation policy options

1 A range of policy options is developed for the organisation, including mechanisms for implementation, monitoring and evaluation

2 The range of policy options is communicated in a timely and understandable way to those responsible for selecting the policy direction

3 Recommendations are made for policy options based on likely effectiveness, implementation time frame and costs (including infrastructure), interaction with other policies (existing or being developed) and consistency with broader government policy

4 Where appropriate, specific policy options are promoted to executive within the organisation

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4 Select most appropriate organisation policy option and communicate organisation policy decisions

1 If responsible for selection, the most appropriate policy option is selected based on information provided

2 An appropriate method of implementation is identified and agreed (including pilot)

3 All stakeholders, particularly those who will be responsible for implementing the new or revised policy are fully informed of the nature of the policy change, the outcomes expected by stakeholders, issues, expected costs, timelines and contextual factors (including any impact on other related policies)

4 Where necessary the selected policy option is marketed to stakeholders

5 Evaluate organisation policy(s)

1 Information relating to the actual outcomes of organisation policy is gathered during and following policy implementation and analysed and reported

2 Recommendations for the improvement of organisation policy are prepared

3 Potential or impending organisation policy changes are identified and strategies prepared to respond to those changes


Organisation policy may include

• any aspect for which an organisation considers policy development is required, such as policies relating to human resources, administration, financial management, work practices, training, information technology, technical / professional requirements

Analytical frameworks may include

• logical/rational (including best practice), incremental or radical transformation


• consulting with stakeholders • developments in other public sector or private sector organisations • evaluation of similar policies • benchmarking • information technology, including Internet

Events may include • pilots or trials of policy • restructure, changes to legal risks, changes in strategic direction,

changes to legislation and ‘whole of government’ policies

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• organisational policy is developed that facilitates the efficiency of the organisation and the implementation of board or government directives; and

• the performance of this competency would not normally be linear (element by element) but would involve a number of cycles through each of the elements and may be demonstrated through a number of separate policy development activities


Co-requisite units: Nil Co-assessed units: This unit may be assessed with any of the generalist public service specific units at Diploma level or above particularly in Ethics & Accountability

Underpinning knowledge • government processes, policies and priorities • organisational processes • relevant specialist knowledge • EEO, equity and diversity principles

Underpinning skills • analytical and research • decision-making • evaluation • communication and consultation • marketing and negotiation • ability to work in a team • public service ethics and accountability • relevant specialist skills • cross-cultural competence, including gender and disability














PSPPOLD502A Manage the Policy Development Process POLICY DEVELOPMENT


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Unit PSPPOLD502A Manage the Policy Development Process

Unit Descriptor This unit covers the management of the development of organisation policy and public policy.



1 Plan and implement a policy development process

1 A policy development process is planned and implemented in accordance with current organisation and government guidelines

2 Manage the policy development process

1 Appropriate resources are identified and allocated

2 Progress of policy development is monitored and adjusted to respond to contingencies

3 Evaluate the policy development process

1 Criteria for evaluating the effectiveness of the policy development process are identified and communicated to policy developers

2 Information relating to the effectiveness of the process of policy development is gathered during policy development

3 Information relating to the process of policy development is analysed and interpreted

4 Recommend improvements to the policy development process

1 Recommendations for the improvement of the policy development process are prepared and disseminated

2 Policy developers are assisted with the adoption of new policy development approaches


Policy may include • any policy required by an organisation for its own functioning or to meet board or government directives


• consulting with stakeholders • developments in other public sector or private sector organisations • benchmarking • quantitative or qualitative data • survey instruments

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Resources may include • personnel • infrastructure • financial



• policy is developed efficiently and effectively



Co-assessed units: This unit may be assessed with any of the generalist public service specific units at Diploma level or above

Underpinning knowledge • government processes • organisation processes • EEO, equity and diversity principles

Underpinning skills • analytical • decision-making • evaluation • communication • team leadership • cross-cultural competence, including gender and disability














PSPPOLD601A Develop Public Policy POLICY DEVELOPMENT


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Unit PSPPOLD601A Develop Public Policy

Unit Descriptor This unit covers the development of policy to enable the implementation of policy of the government.



1 Identify, select and define public policy issues

1 Events, issues or government policies likely to require changes to public policy are accurately identified

2 The implications and impact of events that might require policy development are identified

3 Where possible, areas for policy development are prioritised

4 Policy requirements are defined in terms of context, issues to be addressed, expected outcomes, possible complications, precedents and key stakeholders

2 Gather and analyse information for public policy development

1 Information required to support the policy development process is identified

2 Information required to support the policy development process is gathered, analysed and interpreted

3 An analytical framework for the development of an appropriate public policy is determined

3 Formulate and communicate public policy options

1 A range of policy options is developed for the government, including mechanisms for implementation, monitoring and evaluation

2 The range of policy options is communicated in a timely and understandable way to those responsible for selecting the policy direction

3 Recommendations are made for policy options based on likely effectiveness, implementation time frame and costs (including infrastructure), interaction with other policies (existing or being developed) and consistency with broader government policy

4 Where appropriate, specific policy options are promoted to government

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4 Select best public policy option and communicate government policy decisions

1 If responsible for selection, the best policy option is selected based on information provided

2 All stakeholders, particularly those who will be responsible for implementing the new or revised policy are appropriately informed of the nature of the policy change, the outcomes expected by stakeholders, issues, expected costs, timelines and contextual factors (including any impact on other related policies)

3 Where necessary the selected policy option is marketed to stakeholders

5 Evaluate public policy(s)

1 Information relating to the actual outcomes of public policy is gathered during and following policy implementation and analysed and reported

2 Recommendations for the improvement of public policy are prepared

3 Potential or impending government policy changes are identified and strategies prepared to respond to those changes


Public policy may include • any aspect for which government considers policy development is required

Analytical frameworks may include

• logical / rational (including best practice) • incremental or • radical transformation


• consulting with stakeholders • development in other jurisdictions (including overseas) • evaluation of similar policies • benchmarking • pilots or trials of policy • information technology, including Internet

Events may include national or international events such as: • change in government • change in government policy • changes in strategic direction • changes in the legislation • changes in the policies of other governments

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• public policy is developed that facilitates the objectives of the government and the implementation of government policy; and

• the performance of this competency would not normally be linear (element by element) but would involve a number of cycles through each of the elements and may be demonstrated through a number of separate policy development activities



Co-assessed units: This unit may be assessed with any of the generalist public service specific units at Diploma level or above particularly in Ethics & Accountability

Underpinning knowledge • government processes • EEO, equity and diversity principles

Underpinning skills • analytical and research • decision-making • evaluation • communication • ability to work in a team • team leadership • public service ethics and accountability • marketing • cross-cultural competence, including gender and disability














Reg

ulat

ory

REGULATORY PSPREG401B Exercise Regulatory Powers


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REGULATORY COMPETENCY STANDARDS

Unit PSPREG401B Exercise Regulatory Powers

Unit Descriptor This unit covers application of the organisation’s enabling legislation and other relevant legislation for regulation, monitoring, inspection and investigation by non-police personnel. It includes working with other organisations/jurisdictions in the area of operation.

Key Area Regulatory


1 Apply enabling legislation

1.1 Current information relating to the legislation is accessed and used

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

1.3 Compliance requirements of the legislation, related regulations, 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

1.5 Application of the legislation is consistent with the boundaries and powers contained therein

2 Utilise other

legislation

2.1 Other legislation which impacts on powers is identified and applied

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

3 Work with other organisations

3.1 Organisational protocols and procedures are followed when working with other organisations whose jurisdictions may overlap

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

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Range of Variables


Legislation may include State/Territory and Commonwealth legislation related to:

• public sector management, financial management

• customs & excise, quarantine, fisheries, agriculture, land management, conservation, coastal management, environmental protection, workers compensation, occupational safety and health, workplace relations, planning, construction, transport, energy, mining, communications, education and children’s services, employment, vocational education and training

• financial audit acts, equal employment opportunity and anti-discrimination, legal administration (eg Sheriff’s, Young Offenders)

Other legislation may include • aspects of common law, criminal code

• crimes act

• contract law

• administrative law • industrial relations law

Other personnel may include • industrial inspectors • State/Territory police and special units • federal police • military police • Local Government law enforcement officers • fire and rescue • emergency services • State/Territory/Commonwealth prosecution agencies • coroner’s office • administrative appeals tribunals

Regulatory activities may include

• on the spot fines • issue of notices • powers of entry • initiation of proceedings that may lead to prosecution

Evidence Guide

The Evidence Guide specifies the evidence required to demonstrate competency in this Unit. Evidence must relate directly to the Elements, Performance Criteria and Range Statement. This Evidence Guide must be read in conjunction with the Assessment Guidelines for the National Public Services Training Package.

Critical aspects of evidence • integrated demonstration of all elements and their related performance criteria in each of the contexts provided by units PSPREG402 - 409 ; and PSPCRT401 - 411

• knowledge of principal legislation and consistency of application in those contexts

Interdependent assessment of units Pre-requisite units: Nil (Pre-requisite units are units that must be achieved prior to this unit.) Co-requisite units: Nil

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(Co-requisite units are units that must be assessed together) Co-assessed units: Co-assessed units are units that may be assessed together to increase the efficiency and the realism of the assessment process. Consider co-assessing this unit with any of:

• PSPREG402B – 409A inclusive • PSPCRT401A – 406A inclusive

Knowledge requirements Knowledge of relevant legislation which may include:

• aspects of criminal law, administrative law, industrial law

• contract law

• offences under the relevant legislation

• terminology used in legislation and procedures

• organisational protocols and procedures

• equal employment opportunity, equity and diversity principles

Skills requirements • Scanning techniques to locate main ideas

• Negotiating strategies to clarify understanding

• Communication and teamwork

• Cross-cultural competency, including gender and disability

• Analytical skills, research skills

• information technology skills, using an internet web browser to access relevant legislation and procedures

• Working with others in a team

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

• Discussion involving complex exchanges of oral information

Resource implications Physical resources required to conduct assessment include:

• relevant legislation

• operational procedures

Consistency of performance Evidence needs to be gathered over time in a range of contexts to ensure the person can achieve the unit outcome and/or apply the principles in a different situation or change of environment

Context/s of assessment This competency may be assessed on or off-the-job The conditions and environment required for valid assessment will include:

• an environment 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

Assessment methods suitable for valid and reliable assessment may include case studies, folios, scenarios, observation, questioning, demonstration or role plays

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KEY COMPETENCY LEVELS NB These levels do not relate to the Australian Qualifications

Framework. They refer to the seven areas of generic competency that underpin effective workplace practice.






Solve problems

Use technology


1 = undertake tasks effectively 2 = manage tasks 3 = evaluate and re-shape tasks

For example, in this competency you may be: • Collecting, analysing and organising information – to identify current information relating to

legislation • Communicating ideas and information – to confirm requirements of enabling legislation • Planning and organising activities – to work with other organisations whose jurisdictions overlap • Working with teams and others – during operations with other organisations • Using mathematical ideas and techniques – to navigate through sections and subsections of

legislation • Solving problems – to resolve apparently conflicting legislative directions • Using technology – to locate and access legislation


REGULATORY PSPREG402B Promote Client Compliance with Legislation


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Unit PSPREG402B Promote Client Compliance with Legislation

Unit Descriptor This unit covers provision of information and advice by non-police personnel in one-to-one and group situations to raise awareness, encourage understanding and improve compliance with legislative requirements.

Key Area Regulatory


1 Advise and assist clients to comply with legislation

1.1 Client needs and expectations are confirmed

1.2 Information provided to clients is current, timely and meets the specific needs of clients in its range, depth and form of presentation

1.3 Feedback is obtained on the client’s level of understanding and additional information or explanation clarifies issues if required

1.4 Clients are advised of processes and timelines when interpretation / advice from others is needed for complex matters

2 Implement strategies to improve compliance and protect the community

2.1 Communication strategies are tailored to the audience and the context

2.2 Presentation standards meet organisational guidelines and the needs of clients

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

2.4 Community rights and responsibilities and avenues for public redress under the legislation are highlighted

2.5 Content and communication strategies are adjusted in response to feedback gathered from a range of clients


Legislation and policies may include

• enabling and related legislation • legal precedents • organisational policy and procedures • equal employment opportunity and anti-discrimination law

Clients may include • individuals

• organisations

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• general public

• key stakeholders from industry

• industry groups

• unions

• students

• community/ specific interest groups

• other government agencies

Information may include • verbal advice or explanation • written materials • brochures • videos • electronic media: floppy disk, CD-ROM, e-mail, Internet

Communication strategies may include

• one-to-one • informal discussion • telephone call • small group discussion/presentation • large group presentation • written paper-based or electronic presentation • teleconference • video-conference

Contexts may include • telephone • face to face • public forums • in the workplace • in the field • front counter • call centres • video-conferencing • e-mail • web-site

Presentation standards may include

• dress • punctuality • preparedness • manner • handouts • overhead transparencies/slide shows • questioning techniques • customisation to meet the needs of a diverse workplace

Evidence Guide The Evidence Guide specifies the evidence required to demonstrate competency in this Unit. Evidence must relate directly to the Elements, Performance Criteria and Range Statement. This Evidence Guide must be read in conjunction with the Assessment Guidelines for the National Public Services Training Package.

Critical aspects of evidence • Integrated demonstration of all elements and their related performance criteria; and

• Information that reflects legislation while presentation is adjusted to suit different audiences

Interdependent assessment of units Pre-requisite units: Nil (Pre-requisite units are units that must be achieved prior to this unit.)

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Co-requisite units: Nil (Co-requisite units are units that must be assessed together) Co-assessed units: Co-assessed units are units that may be assessed together to increase the efficiency and the realism of the assessment process. Consider co-assessing this unit with:

• PSPREG401B Exercise Regulatory Powers This unit may also be co-assessed with any of the generalist public sector specific units at Certificate III and above. It is recommended that co-assessment occurs with some or all of the following units:

• PSPETHC301A Uphold the Values and Principles of Public Service OR PSPETHC501A Promote the Values and Principles of Public Service

• PSPLEGN301A Comply with Legislation in the Public Sector OR PSPLEGN501A Promote Compliance with Legislation in the Public Sector

• PSPPOLI401A Support Policy Implementation

• PSPGOV401A Apply Knowledge of Government Processes

• PSPGOV308A Work Effectively with Diversity.

Knowledge Requirements • Knowledge of relevant legislation, policies and legal precedents

• Organisational protocols

• Industry knowledge

• Cultural awareness

• Diversity

• learning styles

• Delivery approaches • Equal employment opportunity, equity and diversity

principles

Skills requirements • Communication skills

• Presentation skills

• Research skills including legal research

• People skills - conflict resolution, coaching, problem solving


• information technology skills, using an internet web browser

• Reading and explaining complex and formal documents such as legislation and their application to clients’ situations

• Advice and discussion using complex exchanges of oral information


• relevant legislation • organisational standards for presentations


Context/s of assessment This competency may be assessed on or off-the-job

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The conditions and environment required for valid assessment will include:

• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when promoting client compliance with legislation, including access to a range of clients

• Assessment methods suitable for valid and reliable assessment may include case studies, folios, scenarios, observation, questioning, demonstration or role plays








Solve problems

Use technology



For example, in this competency you may be: • Collecting, analysing and organising information – to confirm client needs and expectations • Communicating ideas and information – to provide information to clients • Planning and organising activities – to prepare and present information to clients and the community • Working with teams and others – to collect feedback from a range of clients • Using mathematical ideas and techniques – to confirm currency of information • Solving problems – by seeking interpretations/advice in complex matters • Using technology – for accessing and presenting information


REGULATORY PSPREG403A Assess Compliance with Legislation


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Unit PSPREG403A Assess Compliance with Legislation

Unit Descriptor This unit covers risk assessment, monitoring of situations, environments and behaviours, and analysis of information by non-police personnel to assess compliance with legislation.

Key Area Regulatory


1 Monitor areas under jurisdiction

1 Information, allegations and complaints are recorded and responded to in a timely manner and in accordance with legislation, policy and procedures

2 Risk assessment analysis is conducted to identify and prioritise areas for monitoring

3 Monitoring is conducted in accordance with legislation, policy and procedures

4 Inspections and/or audits are conducted in accordance with organisational policy and procedures

5 Safety of self and others is protected in accordance with legislation, policy and procedures

6 Specialist equipment is utilised when required, in accordance with legislation, policy and procedures

7 Cooperation with other organisations and jurisdictions is facilitated in accordance with organisational policy and procedures

2 Conduct research to determine levels of compliance

1 Research/sampling methodology is selected according to the purpose, situation and operational guidelines

2 Information/samples are collected and analysed in accordance with organisational policy, procedures and Australian standards

3 Information/samples are relevant and sufficient for the purpose identified

4 Assessment is made against the requirements of the legislation and the level of compliance is identified and documented according to legal and organisational requirements

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• enabling legislation • occupational health and safety legislation • workers compensation legislation • equal employment opportunity and anti-discrimination law • listening devices legislation; privacy legislation / instructions • organisational set procedures and protocols • Australian standards

Risk assessment may include • formal risk management cycle • informal risk assessment

Monitoring may include • surveillance • spot checks • comparison of data over time

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 protection equipment

Other organisations / jurisdictions may include

• State/Territory police and special units • federal police • military police • Local Government law enforcement officers • fire and rescue • emergency services

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• compliance requirements; monitoring procedures; evidence gathering methodology



Co-assessed units: PSPREG401B Exercise Regulatory Powers. This unit may also be co-assessed with any of the generalist public sector specific units at Certificate III and above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC301A Uphold the Values and Principles of Public Service OR PSPETHC501A Promote the Values and Principles of Public Service; PSPLEGN301A Comply with Legislation in the Public Sector OR PSPLEGN501A Promote Compliance with Legislation in the Public Sector; PSPPOLI401A Support Policy Implementation; PSPGOV401A Apply Knowledge of Government Processes; and PSPGOV308A Work Effectively with Diversity.

Underpinning knowledge • knowledge of own and other’s jurisdiction • risk management • cultural knowledge • equal employment opportunity • equity and diversity principles • application of audit tools • research and sampling methodologies • security storage of information • procedures for recording allegations/complaints • specialist equipment

Underpinning skills • analytical and conceptual • problem solving • information technology • research • technical • communication including questioning and negotiation of

meaning in sometimes difficult situations • cross-cultural competency, including gender and disability;

reading and applying complex information from legislation • regulations and codes of practice • verbal and written exchanges of complex information

Resource implications this unit of competency should be assessed in the workplace, but in the event that there is no access to the workplace a simulated workplace can be used but such simulation must replicate workplace conditions in terms of: performing the task; managing a number of different tasks; coping with irregularities and breakdowns in routine; dealing with the responsibilities and expectations of the workplace, including working with others; and transferring competency to new situations

Consistency of performance assessment to be conducted over time across a range of workplace scenarios; continuous learning/assessment (‘re-qualification’) required

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Context/s of assessment assessment to be undertaken in a workplace where possible or simulated workplace environment which replicates the range of conditions likely to be encountered when assessing compliance with legislation











REGULATORY PSPREG404B Investigate Non-Compliance with Legislation


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Unit PSPREG404B Investigate Non-Compliance with Legislation

Unit Descriptor This unit covers identification by non-police personnel of possible non-compliance and recommendations for ensuing action.

Key Area Regulatory Element Performance Criteria

1 Initiate preliminary investigation to confirm non-compliance

1.1 Information is confirmed as genuine and assessed against legislative requirements to confirm likely non-compliance

1.2 Information is tested against the legislation to confirm possible breach falls within jurisdiction

1.3 Importance / urgency of the matter is assessed and the priority allocated enables timely and effective action

1.4 Recording of alleged breach is timely and meets legislative requirements and organisational policy and procedures

1.5 Investigation planning and recording meets legislative requirements and organisational policy and procedures

2 Conduct investigation

2.1 Evidentiary elements of the offence are identified

2.2 Security and preservation of potential evidence is managed in accordance with legislative requirements, rules of evidence and organisational policy and procedures

2.3 Evidence is gathered and stored in accordance with legislative requirements, rules of evidence and organisational policy and procedures

2.4 The need for expert assistance is determined and arranged in accordance with organisational procedures

2.5 Details of all those involved in possible breach (including witnesses) are recorded in accordance with legislative requirements and organisational policy and procedures

2.6 Likely defences are anticipated and evidence to counter them is included

2.7 The allegation is recorded in accordance with organisational policy and procedures

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3 Finalise investigation

3.1 If no breach has occurred or no action is to be taken, documentation includes reasons and justification, and is completed in accordance with organisational policy and procedures

3.2 If breach is confirmed, action recommended is appropriate, timely, and within the officer’s discretion under the legislation and organisational policy and procedures

3.3 Preparation and submission of a record of the investigation and consequent recommendations for action meet legislative and organisational requirements

Range of Variables



• enabling legislation • confidentiality • privacy • criminal, civil or administrative law • contract law • equal employment opportunity and anti-discrimination law • disciplinary procedures • government policy • organisational guidelines • regulatory standards • codes of practice • international treaties (EEO, world heritage)

Expert assistance may include • scientific professional • handwriting expert • auditor

Locations may include • public areas • work sites • in the field • at sea • office environment • potential crime scenes

Appropriate action may include • measures to control/contain breach • warning • caution • notice • fine • arrest • criminal prosecution • civil action, debt recovery strategy



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• Knowledge of the legislation; and • Identification of non-compliance; and • Processes and procedures followed during evidence gathering

Interdependent assessment of units Pre-requisite units: Nil (Pre-requisite units are units that must be achieved prior to this unit.) Co-requisite units: Nil (Co-requisite units are units that must be assessed together) Co-assessed units: Co-assessed units are units that may be assessed together to increase the efficiency and the realism of the assessment process. Consider co-assessing this unit with:

• PSPREG401B Exercise Regulatory Powers. This unit may also be co-assessed with any of the generalist public sector specific units at Certificate III and above. It is recommended that co-assessment occurs with some or all of the following units:






Knowledge Requirements • Investigation methodology and techniques • Applicable legislation • Aspects of criminal , civil or administrative law • Jurisdiction • Organisational policy and procedures • Cultural awareness • Equal employment opportunity, equity and diversity

principles • Powers and restrictions to investigate • Rules and types of evidence • Report procedures which provide a written and/or electronic

audit trail • Confidentiality and privacy issues • Procedures re lines of reporting • Storage of evidence

Skills requirements • Ethical conduct • High level written and oral - reading and comparison of

complex written information • Written reports and recommendations requiring precision of

expression

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• Analytical • Investigation • Planning • Report writing • Interpersonal and conflict resolution • Cross-cultural competency, including gender and disability • Time management • Planning • Process mapping • Decision-making • Ability to adapt to changing circumstances and make

decisions




• access to real investigation situations

• prepared case studies or scenarios



• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when investigating non-compliance with legislation including coping with irregularities and breakdowns in routine




Vol 1Sec 2 Page 163








Solve problems

Use technology



For example, in this competency you may be: • Collecting, analysing and organising information – to determine whether a breach has occurred • Communicating ideas and information – through the completion of documentation justifying the

course of action taken • Planning and organising activities – to conduct an investigation • Working with teams and others – to obtain details of all those involved in the possible breach • Using mathematical ideas and techniques – to record details chronologically • Solving problems – to identify and access expert assistance when required • Using technology – to prepare the record of investigation, if required


PSPREG405A Act on Non-Compliance REGULATORY


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Unit PSPREG405A Act on Non-Compliance

Unit Descriptor This unit covers the issue of advice, instructions, warnings, notices and fines by non-police personnel.

Key Area Regulatory


1 Attend situations where non-compliance is suspected

1 Procedure is followed in accordance with legal requirements and organisational policy and procedures

2 Personal conduct meets organisational guidelines and protocols

3 Safety of self and others is protected in accordance with operational policy and procedures

4 When assistance is required, requests are timely and in accordance with legislative requirements and organisational policy and procedures

2 Take action on non-compliance

1 Negotiation to achieve compliance is timely and in accordance with organisational policy and procedures

2 Type of action matches the seriousness of the offence

3 Action is conducted in accordance with legal requirements and organisational guidelines

4 Personal conduct meets organisational guidelines and protocols and protects the rights and responsibilities of clients



• enabling legislation • organisational processes • codes of conduct • equal employment opportunity and anti-discrimination law

Offenders may include • people from all age groups, cultural and linguistic backgrounds • people with weapons • people affected by alcohol or drugs

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Action on non-compliance may include

• oral or written instructions • warnings • seizure • infringement notices • expiation • cautions • fines • summons • notice of legal action

Assistance may include • other officers • other jurisdictions • other organisations • police



• meeting legal requirements; and • cultural awareness




Underpinning knowledge • legislation • organisational procedures and guidelines • organisational parameters for decision-making • negotiation etc • awareness of social, and cultural issues (demographics) • equal employment opportunity • equity and diversity principles • safety of self and others

Underpinning skills • negotiation skills • conflict resolution • self preservation skills • judgment • cross-cultural competency, including gender and disability • interpersonal skills • using complex exchanges of oral information • writing requiring precision of expression and formality in

structure and format

PSPREG405A Act on Non-Compliance REGULATORY


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Context/s of assessment assessment to be undertaken in a workplace where possible or simulated workplace environment which replicates the range of conditions likely to be encountered when acting on non-compliance with legislation











REGULATORY PSPREG406B Make Arrests


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Unit PSPREG406B Make Arrests

Unit Descriptor This unit covers arrest of persons by non-police personnel, under powers provided by various legislation.

Key Area Regulatory


1 Make decision to arrest

1.1 Circumstances are assessed and arrest is the appropriate response decision in relation to alleged breach of law

1.2 Assessment is carried out to ensure the arrest can be made without endangering self or others in accordance with legislative requirements and organisational policy and procedures

1.3 When assistance is required, requests are timely and in accordance with organisational policy and procedures

2 Perform arrest

2.1 When performing arrest, all legal and administrative requirements are met

2.2 Any arrest, restraint and/or transport actions are conducted in accordance with legislative requirements and organisational policy and procedures

3 Prepare and submit

documentation

3.1 Documentation is accurate, relevant and complete, and is prepared and submitted within the required timeframe, as required by law and organisational policy and procedures


Legislation, policies and procedures may include

• enabling legislation • State/Territory or Commonwealth policy and procedures • organisational processes • codes of conduct • equal employment opportunity and anti-discrimination law

Persons may Include • males • females • people from diverse cultural and linguistic backgrounds

Assistance may include • other officers • other jurisdictions • other organisations

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• Police

Legal and administrative requirements relating to arrest

may include

• telling person of the decision to arrest

• identifying self and authority to arrest

• identifying nature of offence, and ensuring suspect understands this

• reading the suspect their rights / giving the formal verbal caution

• State/Territory or Commonwealth procedures and guidelines

• organisational procedures/guidelines

Documentation may include: • recording facts in notebook • incident report • appointment certificate • police statement


Critical aspects of evidence • Integrated demonstration of all elements and their related Performance criteria; and

• Knowledge of offences justifying arrest; and • Knowledge of legal requirements of documentation


• PSPREG401B Exercise Regulatory Powers. This unit may also be co-assessed with any of the generalist public sector specific units at Certificate III and above. It is recommended that co-assessment occurs with some or all of the following units






Knowledge requirements • Legislative powers and limits of authority • Offences under the Act • State/Territory or Commonwealth policy and processes • Organisational policy and procedures • Cultural awareness

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• Equal employment opportunity, equity and diversity principles.

Skills requirements • Conflict resolution

• Negotiation skills

• Techniques to protect personal safety including restraint techniques for suspects

• Interpersonal skills


• Complex exchanges of oral information

• Writing, requiring precision of expression and formality of structure and style




• access to real arrest situations or prepared case studies and scenarios



• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when making arrests, including coping with irregularities and breakdowns in routine


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Solve problems

Use technology



For example, in this competency you may be: • Collecting, analysing and organising information – to assess circumstances and make the decision to

arrest • Communicating ideas and information – when identifying self and alleged offence and ensuring

person understands formal caution • Planning and organising activities – to organise transport arrangements as required • Working with teams and others – when assistance is required • Using mathematical ideas and techniques – when recording chronological information • Solving problems – to determine when to request assistance, if required • Using technology – for completing documentation as required


REGULATORY PSPREG407A Conduct and Record Interviews


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Unit PSPREG407A Conduct and Record Interviews

Unit Descriptor This unit covers decisions about the interviewing and recording processes used by non-police personnel, the interview itself, and clarification and analysis of information from the interview.

Key Area Regulatory


1 Prepare for interview

1 Purpose of the interview is used to determine format, structure and procedures

2 Venue and equipment are legally suitable for the type of interview and evidentiary purposes

3 Method for recording interview meets organisational guidelines and legal requirements

4 Decisions on personnel to be involved in the interview are made in accordance with legal requirements and organisational guidelines

5 Interviewee is informed of the timing, purpose and format of the interview in accordance with organisational procedures and their legal rights

2 Conduct interview

1 Interviewee is informed of rights in accordance with legal and organisational requirements

2 Interviewee has representation if appropriate, in accordance with legal and organisational requirements

3 Questioning techniques are selected according to the progress of the interview and the information obtained

4 Questions are relevant, comprehensive and appropriate to the situation and the interviewee

5 Interview is recorded in accordance with legal and organisational requirements

6 Personal conduct meets legal and organisational requirements and takes account of cultural and ethical issues

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3 Conclude interview

1 Problem solving skills are used to test and confirm the reliability of the information acquired

2 Information is reviewed and clarified to ensure its relevance and sufficiency prior to concluding the interview

4 Produce a record of interview

1 A true record of interview is made which meets legal and organisational requirements

2 Production and submission of the recording medium meets legislative timeframes and organisational requirements


Contexts may include • informal interviews • initial investigation of complaints • audits • gathering evidence of alleged breach • coroner’s inquests • preparation for court hearings • assessing claims for proposed changes to legislation

Interviewees may include • suspects • witnesses • informants • complainants

Questioning techniques may include

• summarising • re-phrasing • paraphrasing • open and closed questions • cognitive interviewing

Equipment may include • electronic equipment • computers • computer notebooks

Recording medium may include • written/typed record of interview • audiotapes • videotapes

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Evidence Guide



• knowledge of legislation, elements of offences • cultural awareness




Underpinning knowledge • enabling and other relevant legislation • cultural awareness • equal employment opportunity, equity and diversity principles • legal requirements relating to electronic recording equipment,

where applicable • organisational policies and guidelines relating to interviews • legal and organisational requirements for documentation

Underpinning skills • interviewing techniques • communication: engaging in complex exchanges of oral

information; varying style and language structure to suit a range of interviewees; “verbal judo” techniques

• conflict resolution • cross-cultural competency, including gender and disability • self preservation • judgment • research • analytical • report writing: writing requiring precision of expression and

formality in structure and format • operation of complex technical and electronic equipment,

where necessary • time management


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Consistency of performance knowledge and performance to be assessed over time to assess consistent application of this competency

Context/s of assessment assessment to be undertaken in a workplace where possible or simulated workplace environment which replicates the range of conditions likely to be encountered when conducting interviews











REGULATORY PSPREG408B Conduct a Search and Possible Seizure


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Unit PSPREG408B Conduct a Search and Possible Seizure

Unit Descriptor This unit covers search and possible seizure conducted by non-police personnel: obtaining a search warrant if required, using powers of search, seizure and forfeiture, and dealing with physical evidence where relevant.

Key Area Regulatory


1 Prepare for search and possible seizure

1.1 Assessment is made of where evidence/assets might be obtained with and/or without the use of a search/ seizure warrant

1.2 Authority to search/seize is verified/obtained in accordance with legislative requirements and organisational policy and procedures

1.3 Operational planning to address the range of requirements for a search / seizure is carried out in accordance with organisational guidelines

2 Implement search

2.1 Prior assessment to ensure search /seizure can be conducted safely, is made in accordance with organisational guidelines

2.2 Search/seizure is conducted according to organisational procedures and legislative requirements

2.3 Equipment and/or technology is used according to organisational guidelines

3 Conduct seizure

3.1 Alternatives to seizure are considered and recorded

3.2 Seizure process meets organisational and legislative requirements and complies with the rules of evidence

3.3 Items/property are appraised, seized, recorded, receipted, secured and if required, disposed of, in accordance with organisational procedures, and legislative requirements and the rules of evidence

3.4 Third party claims to title of seized items/property are dealt with in accordance with legislative requirements and organisational policy and procedures

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• enabling legislation • organisational requirements • anti-discrimination law • rules of evidence

Authority to search/seize may include

• warrant already issued

• no requirement for search warrant under powers of enabling legislation

• requirement to obtain search/seizure warrant before proceeding Operational planning may

include • planning • authorisation • equipment • personnel • search methods • safety requirements • meeting legislative requirements eg not infringing the rights of

individuals Equipment may include • electronic sensing equipment

• cameras • video cameras • tools

Personnel may include • other jurisdictions • specialist staff • photographer

Evidence may include • documents • dangerous goods • wildlife • prohibited substances • any assets or property seized under State or Commonwealth laws

enabling the enforcement of penalties, judgements and orders Recording may include • organisational records

• receipts Safety equipment may include • personal protective equipment



• Knowledge of powers of search/seizure under the legislation; and

• Planning, authorisation, equipment, personnel, safety issues

Interdependent assessment of units Pre-requisite units: Nil (Pre-requisite units are units that must be achieved prior to this unit.) Co-requisite units: Nil

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(Co-requisite units are units that must be assessed together) Co-assessed units: Co-assessed units are units that may be assessed together to increase the efficiency and the realism of the assessment process. Consider co-assessing this unit with:

• PSPREG401B Exercise regulatory powers This unit may also be co-assessed with any of the generalist public sector specific units at Certificate III and above. It is recommended that co-assessment occurs with some or all of the following units:

• PSPETHC301A Uphold the values and principles of public service OR PSPETHC501A Promote the values and principles of public service

• PSPLEGN301A Comply with legislation in the public sector OR PSPLEGN501A Promote compliance with legislation in the public sector

• PSPPOLI401A Support policy implementation

• PSPGOV401A Apply knowledge of government processes

• PSPGOV308A Work effectively with diversity.

Knowledge requirements • Enabling legislation • Search procedures • Organisational procedures including those dealing with

physical evidence or obtaining a warrant, where relevant • Roles of expert/other personnel • Diversity principles • Procedures for dealing with physical evidence • Rules of evidence • Use of equipment

Skills requirements • Analytical • Observation • Completion of records using formality of language and

structure • complex oral exchanges of information in raising search

warrants, gaining authorisation, and working with other personnel





• access to real search and seizure situations

• prepared case studies or scenarios



• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when conducting a search and possible seizure including coping with irregularities and breakdowns in routine

PSPREG408B Conduct a Search and Possible Seizure REGULATORY


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Solve problems

Use technology



For example, in this competency you may be: • Collecting, analysing and organising information – to determine where evidence/assets might be

seized • Communicating ideas and information – to deal with third party claims to seized items/property • Planning and organising activities – to conduct search and seizure operation • Working with teams and others – to conduct team operations in accordance with organisational

requirements • Using mathematical ideas and techniques – to assess the value of items/property to be seized, if

required • Solving problems – to ensure safety of self and others • Using technology – to record information and seizure process, as required


REGULATORY PSPREG409A Prepare Evidence


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Unit PSPREG409A Prepare Evidence

Unit Descriptor This unit covers collection of all relevant information, identification of admissible evidence, and preparation of a brief by non-police personnel

Key Area Regulatory


1 Analyse information

1 All related information is collected, collated and recorded, whether admissible as evidence or not

2 Information is handled, recorded and stored in accordance with legislative requirements and organisational policy and procedures

3 Analysis of information confirms its authenticity and reliability as evidence and identifies areas where further evidence may need to be collected

2 Prepare and review admissible evidence

1 Witness and expert statements are prepared in accordance with legislative requirements and organisational policy and procedures

2 Evidence is prepared in accordance with legislative requirements and organisational policy and procedures

3 All admissible evidence is included

4 Non-admissible evidence is separated and retained

5 Similar proofs are identified and review confirms that evidence is sufficient to proceed to prosecution

6 Security, recording and continuity of evidence is maintained in accordance with legislative requirements and organisational policy and procedures

3 Coordinate witnesses

1 Where appropriate, witness summonses are issued in accordance with legal and organisational requirements

2 Contact is maintained with witnesses to ensure cooperation, communication and court attendance

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4 Develop a brief of evidence

1 Witness statements are correlated to exhibits

2 All elements of offence are addressed by evidence

3 Brief contains all required information and meets all legal requirements


Witnesses may include • organisational personnel • professionals /experts • distressed or hostile witnesses • complainants

Evidence may include • statements • interviews • exhibits

Proceedings may include • courts • tribunals

Decision makers may include • organisation • State/Territory/Federal government prosecution authority • crown solicitor

Information required in a brief of evidence may include

• precedents • relevant sections of legislation • witness statements • records of interview • admissible evidence • other evidence

Standard requirements acceptable to a court may

include

• having the brief reviewed by a legal authority to ensure completeness, accuracy, whether a prima facie case exists, and the likelihood of success

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• substantiation of decisions related to preparation of a brief of evidence



Co-assessed units: PSPREG401B Exercise Regulatory Powers. This unit may also be co-assessed with any of the generalist public sector specific units at Certificate III and above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC301A Uphold the Values and Principles of Public Service OR PSPETHC501A Promote the Values and Principles of Public Service; PSPLEGN301A Comply with Legislation in the Public Sector OR PSPLEGN501A Promote Compliance with Legislation in the Public Sector; PSPPOLI401A Support Policy Implementation; PSPGOV401A Apply Knowledge of Government Processes; and PSPGOV308A Work Effectively with Diversity

Underpinning knowledge • sections of Evidence Act, Justice Act • admissible evidence • burden of proof • court hearing procedures • rules of evidence • requirements of brief of evidence • anti-discrimination law

Underpinning skills • analytical • research • collation and compilation • cross-cultural competency, including gender and disability • writing of complex documents - reflecting key points of oral

statements in written form as witness statements and in the brief of evidence

• report writing using formal structures and language • making comparisons and exercising judgment about facts in

written materials




PSPREG409A Prepare Evidence REGULATORY


Vol 1Sec 2 Page 182











REGULATORY PSPREG410A Give Evidence


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Unit PSPREG410A Give Evidence

Unit Descriptor This unit covers the competency for non-police personnel to prepare for proceedings, present evidence and follow up on the outcomes of proceedings.

Key Area Regulatory


1 Prepare for proceedings

1 Arrangements, role and involvement in proceedings are confirmed

2 Documentation and exhibits are prepared in accordance with legislative requirements and the organisation’s policy and procedures

2 Present evidence

1 Proceedings and protocols relevant to the organisation involved are adhered to throughout procedures

2 Rules of evidence relevant to the organisation are adhered to

3 Evidence is presented in a clear, concise and articulate manner

4 Considered expert evidence is provided on request in accordance with the organisation’s policy and consistent with qualifications and expertise

3 Follow up outcomes of proceedings

1 The outcomes of the proceedings are noted and filed, and reports completed where required according to organisational requirements

2 Any required actions are implemented in accordance with organisational policies and procedures

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Judicial and quasi-judicial settings may include

• criminal, coronial and civil courts • defence tribunals • industrial relations commissions • state industrial tribunals • human rights commissions • equal opportunity commissions • land and environment courts • Royal Commissions

Arrangements, role and involvement may include

• confirmation of time, date and location of proceedings • confirmation of evidence required to be presented

Documentation and exhibits may include

• reports • photographs • items of evidence • media footage • reports of incidents • radio/telephone record logs

Proceedings may include • rules of court • judicial or quasi-judicial tribunals

Court protocols may include • voice clarity • language • impartiality • respect for people and offices held • standards of dress • forms of address

Legislation, policy and procedures may include

• legislation relevant to proceedings • legislation relevant to the organisation • operational performance standards • organisational personnel practices and guidelines • organisational quality standards

Witnesses may include • those directly involved • bystanders • experts • organisational personnel • distressed or unwilling witnesses • complainants

Rules of evidence include • admissibility • contemporaneousness

Evidence may include • different aspects in chief, cross examination and re-examination

Required action may include • follow up action with legal authorities

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• all documentation and evidence at hand • accurate and articulate presentation of evidence




Underpinning knowledge • court prosecution processes • common law versus judicial precedent versus legislation • specific powers of the organisation • court/ tribunal/ commission structures • jurisdiction of each court/ tribunal/ commission • appeals systems • role of legal personnel in judicial or quasi-judicial systems • procedures and protocols in different judicial or quasi-judicial

systems • types of offences • general principles of criminal liability • exemptions and defences • types of evidence admissible in judicial or quasi-judicial

systems • legislative requirements of presenting evidence • organisation policies and procedures relating to preparation

of documents and evidence and providing expert opinion • use of notes in court/ tribunal/ commission

Underpinning skills • presenting evidence clearly and concisely • writing reports • word-processing • taking notes


PSPREG410A Give Evidence REGULATORY


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Context/s of assessment this competency should be assessed on-the-job where possible or in a simulated environment which replicates courtroom conditions











REGULATORY PSPREG501A Conduct Prosecutions


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Unit PSPREG501A Conduct Prosecutions

Unit Descriptor This unit covers review of a brief of evidence and prosecution of offences by non-police personnel where the officer acts as the prosecutor in court.

Key Area Regulatory


1 Prepare for prosecution

1 Brief of evidence is reviewed and clarified with the apprehending officer, where necessary, prior to court proceedings

2 Precedents identified are relevant

3 Prepared questions address the facts of the brief

4 Personnel involved are fully briefed in accordance with legal and organisational requirements

5 Parameters for negotiating out of court are agreed prior to prosecution with authorised organisational personnel

2 Serve summonses

1 When required to serve a summons, procedure is followed in accordance with legal requirements and organisational guidelines

2 Personal conduct meets organisational guidelines and protocols

3 Conduct a prosecution

1 Evidentiary procedures are followed and prosecution is conducted according to court processes and organisational instructions

2 Personal presentation meets organisational requirements

3 The outcome of the prosecution is reviewed to provide timely input/ recommendations for handling future cases

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Proceedings may include • courts • tribunals

Cases may include • ex parte • plea of guilty • argued matters

Protocols may include • court proceedings • standards of dress • forms of address

Briefs may include • evidence records • investigators’ reports • witness statements • precedents • recommended actions

Evidentiary procedures may include

• aspects of evidence in chief, cross examination and re-examination



• court conduct; and • relevance and usefulness of questions



Co-assessed units: PSPREG401B Exercise Regulatory Powers. This unit may also be co-assessed with any of the generalist public sector specific units at Diploma level or above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC501A Promote the Values and Ethos of Public Service; PSPLEGN501A Promote Compliance with Legislation in the Public Sector; PSPPOLI601A Manage Policy Implementation; PSPGOV601A Apply Knowledge of Government Systems; and PSPMNGT605A Manage Diversity

Underpinning knowledge • court prosecution process • court procedures and protocols • equal employment opportunity, equity and diversity principles • types of evidence • sections of the Evidence Act • rules of evidence • enabling legislation and offences • possible defences • burden of proof • role of expert witnesses • hearsay

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Vol 1Sec 2 Page 189

Underpinning skills • communication: reading complex, lengthy documents to ascertain key elements, for research to identify precedents, and to compile questions

• complex oral exchanges in briefing sessions and in court • research • presentation • questioning • cross-cultural competency, including gender and disability


Consistency of performance knowledge and performance to be assessed over time to confirm consistent application of this competency

Context/s of assessment assessment to be undertaken in a workplace where possible or a simulated workplace environment which replicates the range of conditions likely to be encountered when conducting prosecutions











PSPREG601A Manage Regulatory Compliance REGULATORY


Vol 1Sec 2 Page 190

Unit PSPREG601A Manage Regulatory Compliance

Unit Descriptor This unit covers interpretation by non-police personnel of compliance legislation, and the development of strategies to promote long-term voluntary compliance and develop a culture of compliance in the community. It includes the provision of high-level strategic advice relating to compliance matters.

Key Area Regulatory Element Performance Criteria

1 Interpret and advise on compliance legislation

1 Non-routine or complex matters related to compliance legislation are resolved or referred in accordance with organisational procedures

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

3 Feedback is obtained on client level of understanding and additional information or explanation clarifies 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

2 Develop and implement compliance strategies

1 Strategies and measures for influencing long-term voluntary compliance are tailored to the audience and the context

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

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

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3 Provide strategic advice on compliance matters

1 Client/government information requirements are confirmed

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

3 Presentation standards meet organisational guidelines

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

Range of Variables


Legislation may include • enabling legislation • 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 against strategic goals/ targets/ major outcomes

Complex issues may include • conflicting legislation • unclear or ambiguous guidelines • use of legal precedents • regional or national issues • issues not previously encountered • ‘red herring’ issues

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Evidence Guide



• practicality, justifications for planning choices; and • effectiveness of strategies.



Co-assessed units: PSPREG401B Exercise Regulatory Powers. This unit may also be co-assessed with any of the generalist public sector specific units at Advanced Diploma level. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC601A Maintain and Enhance Confidence in Public Service; PSPLEGN601A Manage Compliance with Legislation in the Public Sector; PSPPOLI601A Manage Policy Implementation; PSPGOV601A Apply Knowledge of Government Systems; and PSPMNGT605A Manage Diversity

Underpinning knowledge • enabling legislation • aspects of common law • strategic management • equal employment opportunity, equity and diversity principles • reporting procedures

Underpinning skills • planning skills • communication • active listening • coaching • mentoring • cross-cultural competency, including gender and disability • interpretation of complex written materials • oral advice to a range of audiences requiring adaptation of

style and language • questioning to confirm understanding • written reports requiring formal structure and language • information analysis




REGULATORY PSPREG601A Manage Regulatory Compliance


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PSPREG602A Evaluate Regulatory Compliance REGULATORY


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Unit PSPREG602A Evaluate Regulatory Compliance

Unit Descriptor This unit covers evaluation of compliance, and review of regulatory policies, procedures and legislation by non-police personnel, to improve compliance outcomes.

Key Area Regulatory


1 Develop compliance measures / targets

1 Compliance measures are valid, reliable, sufficient and both time and cost effective

2 Measures/targets are realistic and underpinned by current information

2 Evaluate extent of compliance

1 Analysis of compliance data is valid and conclusions are unbiased and supported by evidence

2 Interpretation of comparative data over time is valid and reliable and recorded in accordance with organisational and legislative requirements

3 Reporting of compliance outcomes meets organisational and legislative requirements

3 Review procedures and guidelines to improve compliance

1 Review is comprehensive and draws on a variety of sources of information representing the breadth of possible stakeholders

2 Review identifies possible reasons for not meeting targets / performance indicators and contains recommendations to improve long-term voluntary compliance

3 Adjustment of strategies and plans to address review recommendations meets government policy requirements and resource constraints

4 Contribute to new legislation or review of existing legislation

1 Input supports government policy directions and relies on current information with supporting reasons and data analysis

2 Resource implications of legislative recommendations fall within government policy requirements

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• enabling legislation • equal employment opportunity and anti-discrimination law • government policy

Measures may include • evaluation against strategic goals/ targets/ major outcomes • level of prosecutions, cautions or warnings • number of people accessing organisational publications • contestability of outcomes when work is outsourced to the private

sector

Stakeholders may include • government • Minister • public • staff • victims • offenders • suspects



• level of success of strategies



Co-assessed units: PSPREG401B Exercise Regulatory Powers. This unit may also be co-assessed with any of the generalist public sector specific units at Advanced Diploma level. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC601A Maintain and Enhance Confidence in Public Service; PSPLEGN601A Manage Compliance with Legislation in the Public Sector; PSPPOLI601A Manage Policy Implementation; PSPGOV601A Apply Knowledge of Government Systems; and PSPMNGT605A Manage Diversity.

Underpinning knowledge • enabling legislation • government policies • principles of evaluation • equal employment opportunity, equity and diversity

principles

Underpinning skills • analytical skills • information analysis • interpretation of complex written and numerical materials • written reporting requiring formal structure and language • cross-cultural competency, including gender and disability


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PROCUREMENT AND CONTRACT MANAGEMENT PSPPROC301A Procure Goods or Services


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PROCUREMENT AND CONTRACT MANAGEMENT COMPETENCY STANDARDS

Unit PSPPROC301A Procure Goods or Services Unit Descriptor This unit covers the expenditure of public monies on goods

or services in accordance with government policy, public accountability requirements and organisational procedures.

Key Area Procurement and Contract Management


1 Plan for procurement of goods or services

1 A market assessment is used to identify options for acquiring goods or services in accordance with legislation, policy and procedures

2 A commercial strategy is used to achieve the procurement outcome, and meet legal and probity requirements

3 Risk planning is conducted for the procurement activity in accordance with procedures, delegations and guidelines

4 The process and criteria developed for evaluation of offers from suppliers or service providers are valid, reliable and meet public sector probity requirements

5 A plan of action is developed to manage the contract in accordance with legislation, policy and procedures

2 Establish contractual arrangements

1 Method of requesting and receiving offers is suitable to the procurement activity and occurs in accordance with organisational policy and procedures

2 Specialist expertise is used to assist in evaluation of offers as required

3 Evaluation and selection of offer is made in accordance with policy and procedures

4 Notification of successful and unsuccessful suppliers occurs in accordance with organisational policy and procedures

5 No commitment is made and contractors do not commence until the contract is formalised

6 Contractual arrangements are suitable to the procurement activity, legally binding to both parties and formalised and reported in accordance with policy and procedures

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3 Manage contracts

1 Start-up or transition arrangements are confirmed and monitored

2 Effective communication strategies are established to ensure relationship with contractor/s is managed effectively

3 Contractual obligations to contractors are met

4 Contractor performance is monitored against performance indicators to ensure contractual obligations are being met

5 Approvals are obtained for any contract variations in accordance with organisational and contractual requirements

6 Disputes / complaints are investigated, documented and resolved or referred in accordance with contractual requirements

7 Records are maintained in accordance with organisational and legal requirements to provide an audit trail and for other organisational purposes

4 Complete contractual arrangements

1 Goods or services received meet contractual specification and outcome required

2 Contracts are finalised, cancelled or terminated in accordance with contractual arrangements

3 Strategies to manage close out, renewal of the contract or transition to a new contract meet organisational guidelines and public sector standards

4 Management of the contractor is evaluated and the results used to inform ongoing contract management practices



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• Commonwealth or State/Territory legislation • equal employment opportunity and anti-discrimination law • Commonwealth/State/Territory Government procurement

guidelines; organisational policies and practices

Market assessment may include

• structure of and ‘players’ in the market • market capability • market maturity • market strength • factors/conditions which may affect supply • potential impact of intended contracting activity

Evaluation of options may include

• stakeholder consultation • confirmation that a procurement process is necessary • development of a business case • comparison of internal versus outsourced provision • whether to buy or lease

Key elements of a commercial strategy may include

• consultation with key stakeholders • expenditure budget meets organisational requirements for probity

and accountability • procurement process agreed by users, documented, and meets legal

and probity requirements • approvals obtained • contractual arrangements that capture and address identified risks,

protection of all parties, and include performance indicators which provide the basis for due performance

Methods for requesting and receiving offers may include

• open or restricted tendering and contracting • expressions of interest • request for proposal • request for quotation • request for tender; request for offer • direct purchases using existing supply agreements such as standing

offers • common use arrangements • oral quotations • written quotations • direct purchase from retail or wholesale outlets • electronic commerce

Contractual arrangements may include

• verbal and written orders • purchase order • government credit card • petty cash • memoranda of understanding/ memoranda of agreement • in-house service level agreements • contracts • common use arrangements/ standing offers • inter/intra-government agreements

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Reporting may include • Gazettals • public notification • Transigo • electronic • verbal • annual reports • internal and/or external • statistical reports

Records may include • purchase requests and orders • tender submissions and proposals • invoices and payment requests • statements and petty cash vouchers • offer and contract documents • evaluation process documentation • records of authorised officers' decisions • corporate credit card transaction statements • records of supplier performance • Gazettal notices • financial statements • asset registers • records of conversation

Organisational purposes may include

• reports and other documents • future procurement planning and contract management • accountability requirements • Ministerials

Evidence Guide



• exercise of responsible care in the use of public monies • relevant legislation and procedures understood and applied • effective contract management



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Certificate III and above. It is recommended that co-assessment occurs with some or all of the following units: Uphold the Values and Principles of Public Service; Comply with Legislation in the Public Sector; Support Policy Implementation; Apply Knowledge of Government Processes; and Work Effectively with Diversity



Vol 1Sec 2 Page 203

Underpinning knowledge • Commonwealth/State/Territory Government procurement guidelines

• organisation’s code of conduct • suppliers in the marketplace • common use arrangements • financial accountability requirements • probity and ethical issues • procedures for receipt and payment of goods or services • procurement approval procedures • equal employment opportunity, equity and diversity principles

Underpinning skills • evaluation skills • numeracy skills for developing and managing a budget and

contractual timeframes • effective consultation and negotiation with suppliers involving

oral and written exchanges of sometimes complex information • cross-cultural competency, including gender and disability • writing skills for procurement specification in unambiguous

terms • writing or reading and signing contractual agreements which

may include complexity of language and style • ongoing communication with contractor which may involve

explanation or clarification of written and oral information; note-taking at meetings; active listening; checking for understanding

Resource implications assessment may involve candidate’s supervisor and other stakeholders in the procurement process.


Context/s of assessment this competency may be assessed on-the-job or in a simulated work environment; assessment to be holistic; competency may be demonstrated through presentation of documented examples of personal work; satisfactory completion of simulated exercises or workplace assessment











PSPPROC401A Plan Procurement PROCUREMENT AND CONTRACT MANAGEMENT


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Unit PSPPROC401A Plan Procurement

Unit Descriptor This unit covers the effective specification and planning of procurement to achieve required outcome.



1 Interpret procurement requirements

1 A representative sampling of clients, experts and suppliers is consulted to define, justify and clarify requirements

2 A market analysis identifies factors which may impact on procurement decisions

3 Strategic issues and opportunities are investigated for inclusion

4 Supplier referencing/positioning or viability analysis is conducted

5 Constraints or limitations of authority are identified

2 Specify procurement

requirements 1 Scoping of the requirement identifies outcomes,

objectives and logistics

2 Standards of performance, incentives, disincentives and performance measures are specified

3 Specification meets organisational requirements for format and content and is acceptable to stakeholders

4 The needs of clients and end-users are incorporated and the outcome is achievable by potential suppliers

5 Planned provider contract arrangements are specified in accordance with policy and guidelines

6 Approvals are obtained in accordance with procedures, guidelines and delegations

7 Criteria and process for evaluation of offers meet legal and policy requirements, are practical and measurable

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3 Plan procurement activities

1 Relationships and dependencies between various activities are determined

2 Procurement steps developed are suitable for the procurement activity

3 Establishment of procurement management requirements occurs in accordance with policy and procedures

4 Responsible authorities are nominated

5 Resource requirements are identified and obtained in a timely manner

6 Where used, specialist expertise to evaluate offers and membership of evaluation panels is arranged in accordance with organisational procedures

7 Strategies for informing or debriefing successful and unsuccessful bidders and the market, are practical and meet organisational guidelines and public sector standards

4 Develop a procurement management strategy

1 Business cost estimates are prepared to select the procurement method most likely to achieve value for money

2 The identification and assessment of risks using risk analysis tools meet policy guidelines and are documented in a risk management plan

3 Other relevant sub-plans are developed in accordance with policy and procedures

4 The procurement management strategy reduces uncertainty by clearly outlining procurement stages from transition to close-out, and meets legislative, policy and ethical requirements

5 Procurement arrangements are communicated to stakeholders



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• Commonwealth or State/Territory legislation • equal employment opportunity and anti-discrimination law • Commonwealth / State / Territory Government procurement

guidelines • organisational policies and practices • endorsed supplier arrangements

Market factors which impact on procurement decisions may

include

• structure of and ‘players’ in the market • market capability • market maturity • market strength • factors/conditions which may affect supply • potential impact of intended contracting activity

Strategic issues and opportunities may include

• risk sharing • cost sharing • cost escalation • intellectual property rights • capital equipment/asset ownership • value engineering • value management • innovation • continuous improvement • future organisational requirements • quality • whole-of-life • organisational integration and cooperation

Logistics may include • phases or stages of the procurement activity • timeframes • milestones • payment schedule • targets • outputs • levels of service

Standards of performance may include

• performance indicators; quality measures • benchmarks • milestones / timeframes

Information on sources of supply may include

• yellow pages • buyers guides, supplier brochures and advertisements • purchasing contract awareness service • suppliers' previous histories and files • peer, supplier and customer networks • computer aided purchase of computers • newspapers, journals, bulletins or directories • Government gazettal • Industrial Supplies Office • Internet • Transigo

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Resource requirements may include

• facilities • information technology • personnel • budget support equipment • use of contractor staff (professional service providers)

Sub-plans may include • bid evaluation plan • contract negotiation plan • risk management plan • contingency plan • communication/ public relations plans • human resource management plan • disposal plan • contract review plan • environmental/green issues • industry policy

Stakeholders may include • end-users, customers or clients • potential suppliers • managers in the organisation • experts in legal, functional, technical or financial matters



• specification, procurement plans and sub-plans meet requirements

• exercise of responsible care in planning the use of public monies

• relevant legislation and procedures understood and applied to the procurement process

• client and end-user needs are met


Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Certificate III and above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC 301A Uphold the Values and Principles of Public Service; PSPLEGN301A Comply with Legislation in the Public Sector; PSPPOLI 301A Support Policy Implementation; PSPGOV301A Apply Knowledge of Government Processes; and PSPGOV307A Work Effectively with Diversity



Vol 1Sec 2 Page 208

Underpinning knowledge • Commonwealth/State/Territory Government procurement guidelines

• procurement policies and practices • life cycle cost • whole of life considerations • procurement approval processes • probity and ethics • equal employment opportunity, equity and diversity principles • technical knowledge • disposals considerations • procedures for acceptance of goods or services • procurement approval processes

Underpinning skills • planning and analysis • numeracy skills for scheduling activities, and planning

activities and timeframes • effective consultation with stakeholders involving oral and

written exchanges of sometimes complex information • cross-cultural competency, including gender and disability • writing skills for procurement specification which may include

complexity of language and style yet expressed in unambiguous terms



Context/s of assessment this competency may be assessed on-the-job or in a simulated work environment; assessment to be holistic ; competency is best demonstrated by the submission of a procurement plan together with indications of its acceptability to stakeholders.











PROCUREMENT AND CONTRACT MANAGEMENT PSPPROC402A Request and Receive Offers


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Unit PSPPROC402A Request and Receive Offers

Unit Descriptor This unit covers the development and communication of a formal request for offers and their receipt to obtain best supply arrangements.



1 Develop a request for offers

1 Request for offers and contractual conditions are suitable for the procurement activity, and clarified with clients, providers and/or experts as necessary

2 Request for offers is developed in accordance with a procurement plan, and meets legal and probity requirements

3 Records documenting the request, for seeking, processing and closing of offers are kept in accordance with organisational procedures and legal requirements

2 Request and receive offers

1 Strategies for briefing potential bidders when required, meet public sector standards and organisational protocols

2 Request for, clarification and receipt of offers occur in accordance with organisational procedures and guidelines, and meet public sector standards

3 Probity issues in closing offers are observed


Requests for offers may include

invitations to submit: • a tender • a proposal, • a quotation • an expression of interest

Offers may include • tenders • written quotations • proposals • expressions of interest

Offers may be requested and provided using a variety of

forms, such as

• paper (eg traditional tender documentation) • computer disk • electronic (eg Internet, e-mail, facsimile or Transigo)

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Suppliers may include • commercial organisations • other government organisations • commercialised or privatised government organisations • non-profit organisations

Specialist expertise may include

• legal • financial • economic • technical • probity



• degree of fit with procurement plan • probity issues • relevant legislation and procedures understood and applied to

the procurement process



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Certificate III and above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC301A Uphold the Values and Principles of Public Service; PSPLEGN301A Comply with Legislation in the Public Sector; PSPPOLI301A Support Policy Implementation; PSPGOV301A Apply Knowledge of Government Processes; and PSPGOV307A Work Effectively with Diversity.

Underpinning knowledge • Commonwealth/State/Territory government procurement guidelines

• procurement policies and practices • whole-of-life considerations • disposals considerations • procedures for acceptance of goods or services • issues to be considered in the development of request for

tenders • best practice in opening and closing offers • probity issues; ethical issues • equal employment opportunity, equity and diversity principles • procurement approval processes and procedures for

acceptance of goods or services, • sources of information and guidance • law of contract • laws of tort • trade practices law • commercial law and relevant legislation

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Underpinning skills • effective communication with clients, suppliers and end users involving oral and written exchanges of sometimes complex information

• cross-cultural competency, including gender and disability • writing skills for request for offers which may include

complexity of language and style yet needs to be expressed in unambiguous terms














PSPPROC403A Award Contracts PROCUREMENT AND CONTRACT MANAGEMENT


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Unit PSPPROC403A Award Contracts

Unit Descriptor This unit covers selection of a provider, negotiation of a contract and debriefing of unsuccessful bidders.



1 Select a provider 1 Specialist expertise is obtained to assist with evaluation of offers where necessary

2 Offers are evaluated in accordance with procurement plan, organisational policy and public sector ethics

3 Clarification and negotiation of matters contained in offers, is obtained from bidders in accordance with organisational guidelines and public sector standards

4 The offer selected is justified and documented against selection criteria in accordance with policy and procedures

5 Approvals are obtained for the preferred offer

6 Successful bidder is notified in accordance with organisational protocols

7 Records to document and justify evaluation of offers meet audit trail requirements

2 Formalise contractual arrangements

1 Negotiations to agree contractual arrangements are undertaken in accordance with organisational policy and procedures and public sector standards

2 Contract captures and addresses identified risks, protection of both parties, and provides the basis for due performance

3 Approvals are sought and obtained in accordance with policy and procedures

4 No commitments are made and contractors do not commence until the contract is signed

5 Contract entered into is valid and legally binding to the parties

6 Advice on the contractual arrangements is provided to stakeholders in accordance with organisational policy and procedures

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3 Debrief market and other stakeholders

1 Unsuccessful bidders are informed or debriefed with constructive feedback on their proposals upon request

2 Details of successful provider are made public in accordance with organisational protocols and public sector standards


Supply arrangements may include

• delivery of goods into use or store • provision of services • maintenance agreements • leasing agreements; consultancies • research and development

Supply agreements may include

• contracts • memoranda of understanding/ memoranda of agreement • in-house option directives • common use arrangements/ standing offers • inter/intra-government agreements

Issues may include • value for money • confidentiality and probity • due diligence • cost/price analysis • whole of life policies

Offers may incorporate • elements necessary to make proper offer • lodgement procedures • information to be supplied by bidder • draft contract • general/special conditions of contract • specifications • terms and conditions

Evaluation may include • processing offers • value for money • checking/investigation • collation of information • comparative statements • staged procurement • accountability

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• degree of fit with procurement plan • probity issues • relevant legislation and procedures understood and applied to

the procurement process



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Certificate III and above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC301A Uphold the Values and Principles of Public Service; PSPLEGN301A Comply with Legislation in the Public Sector; PSPPOLI301A Support Policy Implementation; PSPGOV301A Apply Knowledge of Government Processes; and PSPGOV307A Work Effectively with Diversity


• procurement policies and practices • procedures for acceptance of goods or services • probity issues • ethical issues • procurement approval processes • procedures for acceptance of goods or services, • sources of information and guidance • law of contract • laws of tort • trade practices law • commercial law and relevant legislation • equal employment opportunity and anti-discrimination law

Underpinning skills • effective communication with providers and other stakeholders involving complex oral and written exchanges

• preparing/reading and explaining legal documents containing complex information

• analysis and comparison of written information to ensure key elements from the specification and procurement plan are captured in the written contract

• negotiation/liaison skills • networking skills with clients, suppliers and end users • cross-cultural competency, including gender and disability




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PSPPROC404A Manage Contracts PROCUREMENT AND CONTRACT MANAGEMENT


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Unit PSPPROC404A Manage Contracts

Unit Descriptor This unit covers establishment of management and communication strategies, managing performance, review and ongoing arrangements. Contracts may include other supply agreements.



1 Establish a contract management strategy

1 Contract requirements are re-confirmed with all parties

2 Effective communication/information strategies are established

3 Start up or transition arrangements are confirmed and implemented

4 Management strategy is documented, monitored for effectiveness and adapted as necessary during the life of the contract

2 Monitor and maintain the performance of a contract

1 Relationship with contractor is managed in accordance with organisational policy and procedures

2 Performance of the contract is monitored against performance indicators to ensure all obligations under the agreement are being met

3 Obligations to the contractor are met in accordance with contractual arrangements

4 Emerging and potential risks are identified and managed in accordance with organisational risk management procedures

5 Contract variations are managed in accordance with the contract and organisational policy and procedures

6 Disputes / complaints are investigated and resolved or referred in accordance with contractual requirements

7 Negotiation of issues relating to the contract occurs and approvals are obtained in accordance with stipulations in the contract proper

8 Communication on the performance of the contract is maintained with all stakeholders in accordance with organisational protocols and public sector standards

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9 Contract information is maintained for organisational purposes in accordance with organisational policy and procedures

3 Complete contracts and implement contract review strategy

1 Contracts are finalised, cancelled or terminated in accordance with contractual arrangements

2 Strategies to manage close-out, renewal of the contract or transition to a new contract meet organisational guidelines and public sector standards

3 Review includes contract management, supplier performance relevant to measures at each stage of the contract, user satisfaction and audit results

4 Where measures or outcomes are not met in full, variances are documented and explained

5 Information from the audit and review is used to report on provider performance, to review contract management practice and make recommendations for improvement


Agreements may include • contracts • memoranda of understanding/ memoranda of agreement • in-house option directives • common use arrangements/ standing offers • inter/intra-government agreements • letters of intent • licensing

Management strategy may include

• formal contract management plan • setting up routines • checking quality assurance systems • transfer of legal responsibility • insurances • avoiding the implied acceptance of varied conditions through

non-enforcement of contractual obligations

Effective communication strategies may include

• setting regular times to talk, meet or check on progress • protocols for dealing with other stakeholders • emergency contact arrangements • a diary system to monitor milestones, timeframes, receipt of

deliverables etc • strategies for ensuring information flow at critical stages of the

contract



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Risks might include • suppliers’ inability to meet agreements • end user or buyers’ inability to meet obligations • limited number of suppliers

Disputes may include disputes over • requirements • delivery schedules • price changes • additional tasking • payment schedules complaints may be from third parties

Techniques available to resolve disputes include

• conference • negotiation • mediation • arbitration • resort to contractual agreements • legal considerations

Negotiation of issues may include

• contract variations • continuous improvement • innovations • non-compliance • consequences

Variation to agreements may include arise from

• change of scope • negotiation of new terms and conditions • dissolution of contracts

Organisational purposes may include

• relevant details extracted, collated and arranged in a format for reports and other documents

Evaluation of the procurement activity may include

• planning process • evaluation considerations at each stage of the procurement • sources and methods of gathering data • role of audit trails • measuring outputs • meeting client needs • innovation • strategies for continuous improvement

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• contract management plan, monitoring strategies, contract evaluation

• relevant legislation and procedures applied to the procurement process

• successful management of a contract



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Certificate III and above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC301A Uphold the Values and principles of public service; PSPLEGN301A Comply with Legislation in the Public Sector; PSPPOLI301A Support Policy Implementation; PSPGOV301A Apply Knowledge of Government Processes; and PSPGOV307A Work Effectively with Diversity.


• procurement policies and practices • whole-of-life considerations • disposals considerations • procedures for acceptance of goods or services • procurement approval processes • legal considerations • issues financial management • performance management • confidentiality issues • negotiation practice in procurement • ethical issues • equal employment opportunity, equity and diversity principles • legal aspects of negotiation • Law of contract • Trade practices law • Commercial law and relevant legislation • equal employment opportunity and anti-discrimination law • financial and accounting issues relevant to the contract.

Underpinning skills • effective communication with providers and other stakeholders involving complex oral and written exchanges

• networking skills with clients, suppliers and end users • cross-cultural competency, including gender and disability • negotiation skills with all stakeholders





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PROCUREMENT AND CONTRACT MANAGEMENT PSPPROC405A Dispose of Assets


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Unit PSPPROC405A Dispose of Assets

Unit Descriptor This unit covers the effective disposal of non-strategic assets and focuses on gaining a return from any sales.



1 Identify assets for disposal

1 Assets are identified for disposal in accordance with policy, practice and the needs of the organisation

2 Develop a strategy for the disposal of assets

1 The potential market value of assets is determined in accordance with policy and practice and public sector standards

2 Options for disposal are investigated and the method providing maximum return is determined in the context of policy and desired outcomes

3 Disposal requirements for special categories of assets are taken into account

3 Implement a disposal strategy

1 Goods are written off and disposed of in accordance with policy and practice

2 Records of disposal activity are maintained in accordance with policy and practice for audit and evaluation purposes

4 Evaluate asset disposal

1 Disposal of assets is evaluated against expected outcomes, including the forecast market value of the assets, and documented in accordance with policy and guidelines

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Relevant legislation and policies may include

• Commonwealth or State/Territory legislation • organisational policies and practices

Options for disposal may include

• controlled reclamation • public sale • auction • tenders • private treaty • trade-in • pre-priced sales • transfer to another government organisation • agents and brokers • conversion to training aids • destruction • transfer to museums • donation

Special categories of assets may include

• reusable and recyclable items • information technology equipment • vehicles • heritage and cultural interest items • arms and controlled Defence and related goods • security classified material • intellectual property • staff housing • stores located overseas • buildings for removal • goods and services forfeited to the government • dangerous/hazardous goods



• application of relevant legislation and procedures • ethical practices • disposal strategy



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Certificate III and above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC301A Uphold the Values and Principles of Public Service; PSPLEGN301A Comply with Legislation in the Public Sector; PSPPOLI301A Support Policy Implementation; PSPGOV301A Apply Knowledge of Government Processes; and PSPGOV307A Work Effectively with Diversity

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Underpinning knowledge • Commonwealth, State/Territory, Local Government Procurement guidelines

• procurement policies and practices • government procurement environment • financial rules and regulation requirements • legal requirements of government contracting • implications of particular contracting agreements • whole-of-life considerations • disposals considerations • disposals requirements and processes • disposals approval processes • legal aspects of disposals • procurement approval processes • strategic planning processes • procurement management processes

Underpinning skills • project management skills • financial and other resources management skills • communication skills, orally and in writing • research skills • analytical skills • problem solving using conceptual and reasoning skills • networking skills with clients, suppliers, stakeholders and end

users














PSPPROC601A Influence and Plan for Procurement Outcomes PROCUREMENT AND CONTRACT MANAGEMENT


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Unit PSPPROC601A Influence and Plan for Procurement Outcomes

Unit Descriptor This unit covers influencing and developing markets and planning for highly complex, innovative, sophisticated and often long term strategic procurement within established guidelines, policies and procedures.



1 Influence and develop markets

1 Analysis of supply markets includes the capabilities, financial standing and past performance of existing and potential suppliers, and reflects emerging and predicted trends

2 A range of methods is used to influence markets

3 Market development strategies are used to improve market capability

4 The implications of procurement threats and opportunities imposed by supply markets are identified and communicated to stakeholders in accordance with organisational guidelines and public sector standards

2 Define procurement requirements

1 Procurement requirements reflect client needs and are determined through consultation and negotiation with stakeholders and experts

2 Factors likely to affect procurement are identified and documented in accordance with organisational requirements

3 Accountability measures are identified and incorporated in accordance with organisational policy and guidelines

4 Approvals are gained in accordance with organisational policy and procedures

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3 Justify procurement expenditure

1 A business case analysis is conducted in conjunction with stakeholders to determine the viability of the proposed procurement expenditure

2 The business case establishes reasons for the procurement requirement, time frames and expected whole of life costs and benefits

3 An output specification is developed with stakeholders to assist in achieving procurement outcomes

4 Determine procurement methodology

1 Procurement methodology is guided both by the constraints, complexity and importance of the procurement requirement and the marketplace

2 Methodology is developed to stimulate competition among suppliers

3 Methodology is designed to deliver whole of life value for money

5 Obtain agreement for procurement

1 Negotiations are conducted and agreements finalised in accordance with legislative and organisational policy and procurement guidelines

2 Any concessions made are such that agreements remain consistent with the original intentions and with procurement and organisational objectives

3 Where agreement is not possible immediately, communication channels are kept open whilst additional support, arguments or supporting evidence is obtained

4 Where agreements may have wider implications for procurement and/or the organisation, those implications are considered and any necessary consultation is carried out

5 Details and outcomes of negotiations are documented in accordance with organisational policy and procedures



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Markets may include • local • national • international • regional

Suppliers may include • commercial companies • other public sector organisations • other governments (Commonwealth, State/Territory, Local or

Foreign) • non-profit organisations • in-house

Criteria for assessment of supplier capability may include

• financial viability/capacity • past performance/infrastructure • skills and experience of key personnel • quality accreditations • earned value performance management • adequacy of proposed methodology and approach • technical merit of the proposed good or service • industrial relations record • willingness to work towards common goals • observance and promotion of occupational health & safety

requirements • technical and contractual compliance • post performance

Methods for influencing markets may include

• consultation, advertising, search conferences

Market development strategies may include

• tactics to increase skill levels of providers • creating the provider environment • communicating changes • procurement strategies including splitting contracts, short term

development contracts etc

Stakeholders may include • end users, customers or clients and sponsors • potential providers or suppliers • current providers/suppliers • technical or functional experts or advisers • Federal, State/Territory and/or Local government • the organisation • other public sector organisations • employees, unions or staff associations • industry bodies • local communities and society as a whole • lobby groups, special user groups

Whole of life costs and benefits may include

• benchmarks of expected financial performance • calculations of discounted cash flows • net present value • return on investment • transition costs in establishing initial contract • transition costs in renewing/extending contract



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Procurement may include • leasing, buying • short-term or long-term arrangements • sole or multiple suppliers • maintenance and support arrangements • incentive contracting • firm or variable pricing regimes • franchising • research and development • pre-qualification of suppliers • standing orders • standard form agreements • common use contracts • facilities management • prime contractor/sub contractor • gainsharing/open book

Other commercial and policy factors may include

• value of the business involved • complexity of the marketplace • degree of dependency of organisation programs on the

procurement • extent of competition • capture and assessment of identified risks • protection of both parties • value for money; and the basis of due performance

Experts may include • legal, functional, technical, financial • scientific and research • human resource • commercial or business practices • consultants • other relevant organisations or organisations including foreign

governments

Factors likely to affect the procurement may include

• where and why the need arises and for which unit or location • level of risk, complexity and sensitivity • relevant program objectives and functional requirements, with a

focus on what is to be achieved rather than how it is to be done • whether the need is for the replacement or enhancement of existing

resources, or to meet an entirely new capability • joint ventures with the private sector to fund portions of the project

in exchange for financial returns or intellectual property rights • any alternatives such as change in policy/process, equipment or

equipment life extensions, use of in-house resources • leasing instead of up-front capital investment • capacity of the market • strategic/tactical issues • political imperatives and strategies • budgetary constraints • collaborative arrangements • industry involvement requirements • environmental issues



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Procurement methods may include

• staged procurement • lease versus buy options • government to government arrangements • sole source situation • outsourcing • how requirement is to be parcelled/packaged • fixed price incentive based • direct negotiation • management buy outs • open or restricted tenders • single or multi-staged tendering

Preliminary assessments may include

• developing a business case • preparation for in-house bids



• supply market analysis and influence • procurement budgets • business case analysis, procurement methods, contract

negotiation, strategic procurement planning • relevant legislation and procedures applied to the procurement

process



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Diploma level or above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC501A Promote the Values and Ethos of Public Service; PSPLEGN501A Promote Compliance with Legislation in the Public Sector; PSPPOLI501A Manage Policy Implementation; PSPGOV501A Apply Knowledge of Government Systems; and PSPMNGT605A Manage Diversity



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Underpinning knowledge • Commonwealth, State/Territory, Local Government procurement guidelines

• best practice guidelines • procurement policies and practices • equal employment opportunity, equity and diversity principles • government procurement environment • financial rules and regulation requirements • legal requirements of government contracting • implications of particular contracting agreements • whole-of-life considerations • disposals considerations • procurement approval processes • strategic planning processes • procurement management processes • Law of contract • Trade Practices law • Commercial law and relevant legislation • financial and accounting issues relevant to the contract


users • cross-cultural competency, including gender and disability

Resource implications assessment may involve reports from supervisors and other stakeholders in the procurement process













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Unit PSPPROC602A Direct the Management of Contracts

Unit Descriptor This unit covers strategic management of contracts to effectively minimise risks and achieve value for money to meet an organisation’s core objectives.



1 Manage the transition to a new contract

1 The requirements of the contract are discussed, clarified, and agreed by all parties

2 Responsibilities for establishing and carrying out procedures are assigned to achieve contract outcomes

3 Transition arrangements are confirmed and implemented

4 Effective communication strategies and processes are established and implemented to assist ongoing communication between stakeholders and suppliers

5 Effective performance measures are established

6 Risk management plan is updated in accordance with organisational policy and procedures

2 Manage the performance of the contract

1 Progress of the contract is monitored against set targets and performance measures to ensure success of the procurement activity

2 Should monitoring find that set targets and performance measures are not being met, action is taken to rectify performance in a timely manner

3 Advice and support are provided to solve problems, make improvements and maintain progress

4 Opportunities to improve procurement outcomes are sought and negotiated with suppliers

5 Any contract variation is negotiated in accordance with the terms of the contract and organisational policy and procedures

6 Contract variations agreed between the parties are documented and approvals gained

7 Opportunities are provided for stakeholders and suppliers to have input to and receive feedback on progress during the performance of the contract

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3 Manage the evaluation of the contract

1 Evaluation of contract performance is undertaken relative to planned performance measures and in consultation with stakeholders and suppliers

2 Conclusions are detailed against agreed criteria and provide a complete picture of performance of the supplier, the organisation’s procurement processes and value for money

3 Evaluation outcomes are documented in accordance with organisational requirements to assist improvement in future procurement activities

4 Suppliers and stakeholders are advised of evaluation outcomes in a timely manner in accordance with organisational guidelines

Range of Variables


Stakeholders may include • end users • customers / clients • sponsors • potential providers/suppliers • current providers/suppliers • technical or functional experts or advisers • federal, state/territory and/or local government • the organisation • other public sector organisations • employees • unions or staff associations • industry bodies • local communities and society as a whole • lobby groups, special user groups

Monitoring may involve • progress meetings • visits to the supplier’s premises • provision of samples • regular progress reports from the supplier • independent audit • end user feedback



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Evaluation of supplier performance may include

• strengths and weaknesses • client acceptance of service delivery (client satisfaction) • achievements in meeting delivery and completion dates • compliance with other contractual requirements • performance in relation to relevant policy objectives such as

industry development, care for the environment, occupational health and safety, and affirmative action

• achievement of the supplier in developing Australian and New Zealand supply networks

• general relationships including effectiveness of communication at all levels

• performance of key technical personnel • acceptability and cost of whole of life technical support including

lead times and availability of spares and maintenance services • achievements in innovation and quality improvement programs • acceptability and suitability for future agreements including

potential status as an approved supplier

Evaluation of the organisation’s procurement

processes may focus on

• effectiveness of project management including the project plan and the responsibilities and accountabilities set out in it

• quality of the business case, as indicated by the achievement of planned outcome and the contribution to program objectives

• effectiveness of supplier qualification processes • value obtained in bid clarification and post-tender negotiation • effectiveness of project management systems focusing particularly

on management information • effectiveness of risk management • methods for controlling variations in cost, time, quality and

performance from the initial planning to completion • adequacy of safeguards against fraud, error and impropriety • incidence of material losses due to waste or inefficiency • overall performance in terms of cost, time, service and quality

Contract variation may include • modification of targets • performance measures • procurement plans • resourcing • monitoring and evaluation processes

Value for money must reflect • whole of life program benefits • residual values • costs of parts • servicing and maintenance • industry benchmarks

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• transition, performance and evaluation of contracts • relevant legislation and procedures applied to the procurement

process



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Diploma level or above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC501A Promote the Values and Ethos of Public Service; PSPLEGN501A Promote Compliance with Legislation in the Public Sector; PSPPOLI501A Manage Policy Implementation; PSPGOV501A Apply Knowledge of Government Systems; and PSPMNGT605A Manage Diversity

Underpinning knowledge

• Commonwealth, State/Territory, Local Government procurement guidelines

• procurement policies and practices • government procurement environment • financial rules and regulation requirements • legal requirements of government contracting • implications of particular contracting agreements • whole-of-life considerations • disposals considerations • procurement approval processes • strategic planning processes • procurement management processes • Law of contract • Trade practices law • Commercial law and relevant legislation • equal employment opportunity, equity and diversity principles • financial and accounting issues relevant to the contract

Underpinning skills • project management skills • financial and other resources management skills • communication skills, orally and in writing • cross-cultural competency, including gender and disability • research skills • analytical skills • problem solving using conceptual and reasoning skills • networking skills with clients, suppliers, stakeholders and end

users






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PROCUREMENT AND CONTRACT MANAGEMENT PSPPROC603A Divest Strategic Assets


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Unit PSPPROC603A Divest Strategic Assets

Unit Descriptor This unit covers the effective divestment of strategic assets such as Government businesses, property, strategic infrastructure, intellectual property and other high value items.


Element Performance Criteria 1 Identify strategic

assets for divestment

1 Assets are identified and delineated for divestment in accordance with Government objectives, policies and practice

2 The potential market value of the asset is determined and substantiated

2 Develop a strategy for

divesting strategic assets

1 A business case to commence the divestment strategy is developed which includes examination of options for divestment and exposition of the recommended strategy

2 Any continuing Government or organisational obligations post-divestment are identified and strategies developed to address them

3 Strategy takes account of human resources and industrial relations issues, service continuity and Government policies

4 The strategy is evaluated and modified prior to approval if required

5 Required approvals are obtained

3 Divest assets

1 Approved divestment strategy is implemented

2 A business case is developed, based on prices offered, in accordance with the strategy

3 Negotiations are conducted and finalised in accordance with the strategy

4 Evaluate divestment activity

1 The strategy, the immediate outcome of divestment and long-term outcomes for service provision and Government are evaluated and recommendations made for future divestment

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Relevant legislation and policies may include

• Commonwealth or State/Territory legislation • national competition policy • sectoral or organisational policies on procurement, disposal human

resource management, severance/transfer/redeployment • broad government policies including Minister’s public announcements and

party platforms

Strategic assets may include

• property (including housing) • strategic infrastructure • intellectual property • high-value items eg computer mainframes • Government business

Options for divestment may include

• sale of business • sale of business assets • sale of business with strategic assets leased • employee buy-out • tenders • auction

Required approvals may include

• Minister • Cabinet • regulatory agencies



• business case which identifies best way to divest strategic assets; results of evaluation



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Advanced Diploma level or above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC601A Maintain and Enhance Confidence in Public Service; PSPLEGN601A Manage Compliance with Legislation in the Public Sector; and PSPMNGT605A Manage Diversity

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Underpinning knowledge • knowledge requirements of PSPMNGT607A Develop a Business Case

• Commonwealth, State/Territory, Local Government procurement guidelines

• procurement policies and practices • government policies • financial rules and regulation requirements • legal requirements of government asset disposal • implications of divestment of service provision • whole-of-life considerations • disposals approval processes • strategic planning processes • procurement management processes • Law of contract • Trade practices law • Commercial law and relevant legislation • financial and accounting issues relevant to disposal

Underpinning skills • skill requirements in PSPMNGT607A Develop a Business Case

• strategic management skills • financial and other resources management skills • communication skills, orally and in writing • research skills • analytical skills • problem solving using conceptual and reasoning skills

Resource implications holistic assessment; assessment by way of documented information and/or examples of personal work

Consistency of performance evidence to be gathered over time to assess all aspects of a lengthy process or consistency of application across a range of disposals

Context/s of assessment this competency may be assessed on-the-job or in a simulated work environment











PSPPROC701A Define Strategic Procurement Directions PROCUREMENT AND CONTRACT MANAGEMENT


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Unit PSPPROC701A Define Strategic Procurement Directions

Unit Descriptor This unit covers formulation of the organisation’s procurement mission statement and strategic goals.



1 Formulate procurement mission statement and strategic goals

1 Procurement direction is determined through open and ethical consultation with the organisation’s governing body and stakeholders

2 Mission statement and strategic goals are consistent with the organisation’s mission and values and take into account the requirements, expectations and interests of the organisation’s governing body and stakeholders

3 The mission statement and strategic goals capture the ethos of the organisation and accurately reflect its role in its environment

4 Mission statement and strategic goals are both challenging, realistic, achievable and measurable, and encourage members of the organisation to be creative and innovative within procurement guidelines

5 Procurement mission statement and strategic goals are reviewed to ensure that opportunities and current and emerging trends are reflected

6 Mission statement and strategic goals guide procurement processes that deliver best value for money

2 Gain support for the procurement mission statement and strategic goals

1 The procurement mission statement and strategic goals are presented to stakeholders in such a way as to gain their support

2 Where the interests of stakeholders are in conflict, realistic and rational compromises are found which balance the interests and acknowledge the tensions

3 Where less than full support is obtained, the consequences for the organisation are identified and steps are taken to minimise any problems

4 Ongoing consultation with stakeholders is maintained to ensure support for the organisation’s procurement mission and strategic goals

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Determination of procurement direction may be influenced by

• stakeholder needs and intentions • end user requirements • government policies • Australian industry involvement requirements • potential provider/supplier base • industry development requirements • disposal of assets

Stakeholders may include

• end users • customers / clients • sponsors • potential providers / suppliers • current providers/suppliers • technical or functional experts or advisers • Federal, State/Territory and/or Local Government • the organisation • other public sector organisations • employees • unions or staff associations • industry bodies • local communities and society as a whole • lobby groups • special user groups

Value for money factors may include

• fitness for purpose • whole of life costs • fair market prices • timely delivery • post-delivery support • effective warranties • price basis • disposal options

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• mission statement and strategic goals • level of support demonstrated • relevant legislation and procedures applied to the process





• procurement policies and practices • government procurement environment • financial rules and regulation requirements • legal requirements of government contracting • implications of particular contracting agreements • whole-of-life considerations • disposals considerations • procurement approval processes • strategic planning processes • procurement management processes • Law of contract • Trade practices law • Commercial law and relevant legislation • financial and accounting issues relevant to the contract • equal employment opportunity, equity and diversity principles


users • cross-cultural competency, including gender and disability




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PSPPROC702A Establish the Procurement Context PROCUREMENT AND CONTRACT MANAGEMENT


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Unit PSPPROC702A Establish the Procurement Context

Unit Descriptor This unit covers establishment of the strategic context in which the procurement process takes place. It includes organisational capability, development of supply markets and risk management.



1 Establish the strategic context

1 A knowledge of the legal, political and financial environment is applied

2 The relationship between the organisation and its procurement environment is examined and defined

3 Existing and potential stakeholders, and their strengths and weaknesses, are accurately identified

4 Information used to identify strengths, weaknesses, opportunities and threats is up-to-date, reflects emerging and predicted trends, and takes account of the possible future procurement interests and activities of the organisation

5 The organisation’s procurement strategies and plans are adjusted in light of information gathered, and comparative targets identified

6 The case for possible collaboration is supported by evidence, analysed for risks and is consistent with the plans and future direction of the organisation

2 Analyse, develop and monitor organisational capability to assist achievement of procurement outcomes

1 The organisation’s strengths, weaknesses, opportunities and threats are identified in light of internal and/or external factors and the procurement mission statement and strategic goals

2 Analyses of organisational capability take into account possible future procurement interests and activities of the organisation, its supply markets, collaborators and other organisations

3 Suggestions for improvements to existing organisational structures and procurement systems are realistic and achievable and will aid achievement of the procurement mission statement and strategies drawn from both internal and external stakeholders

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4 Consultation on proposed improvements takes place with those affected in time for their views to be taken into account

5 Proposed improvements are justified on the basis of known internal and/or external factors and take into account the needs and expectations of stakeholders

6 Improvements are implemented in time to meet new circumstances

7 Practical requirements for implementing improvements are comprehensively defined and communicated to those affected

8 Difficulties associated with implementing improvements are identified as early as possible in order to minimise their effect

9 Implemented improvements to organisational structures and procurement systems are monitored, reviewed and modified as required to assist achievement of procurement outcomes

3 Know, influence and develop supply markets to assist achievement of procurement outcomes

1 Problems, limitations and new opportunities in supply markets are identified in response to internal and external factors

2 Identification is based on quantitative and qualitative data

3 Supply markets are monitored and opportunities taken to influence key opinion formers and decision makers to change, encourage and nurture supply market capability

4 Methods used to influence supply markets are ethical, consistent with the organisation’s values and procurement policies, and sensitive to the values and practice of key opinion formers and decision makers



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Element Performance Criteria 4 Establish and manage

risk exposure 1 A risk management system is established, implemented

and maintained

2 The risk management system is consistent with the organisation’s strategic context, its goals, risk management policies and the nature of its business

3 Performance of the risk management system is monitored, reviewed and modified to reflect procurement opportunities and current and emerging trends

4 Total organisational risk is defined, analysed and monitored to minimise loss and maximise opportunity


The strategic context may include

• Financial • Operational • competitive • political (public perceptions/image) • social • cultural • client • legal aspects of the organisation’s functions

Stakeholders may include • end users • customers / clients • sponsors • potential providers / suppliers • current providers/suppliers • technical or functional experts or advisers • federal, state/territory and/or local government • the organisation • other public sector organisations • employees • unions • staff associations • industry bodies • local communities • society as a whole • lobby groups • special user groups

Risks may include • suppliers’ failure to meet agreements • government failure to meet agreements

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• knowledge of legal, political, financial environment • relevant legislation and procedures applied, ethical activities to

establish and influence markets





• procurement policies and practices • government procurement environment • financial rules and regulation requirements • legal requirements of government contracting • implications of particular contracting agreements • whole-of-life considerations • disposals considerations • procurement approval processes • strategic planning processes • equal employment opportunity, equity and diversity principles • procurement management processes • Law of contract • Trade practices law • Commercial law and relevant legislation • financial and accounting issues relevant to the contract

Underpinning skills • project management skills financial and other resources management skills

• communication skills, orally and in writing • cross-cultural competency, including gender and disability • research skills • analytical skills • problem solving using conceptual and reasoning skills • networking skills with clients, suppliers, stakeholders and end

users






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PROCUREMENT AND CONTRACT MANAGEMENT PSPPROC703A Evaluate and Improve Procurement Performance


Vol 1Sec 2 Page 247

Unit PSPPROC703A Evaluate and Improve Procurement Performance

Unit Descriptor This unit covers evaluation of the organisation’s strategic approach to procurement.



1 Develop measures and criteria to evaluate and report on the achievement of the procurement strategic goals

1 Measures for evaluation are cost-effective and make optimum use of existing sources of data and means of data gathering

2 Criteria reflect the nature and character of the organisation and its values and policies

3 Measures and criteria provide sufficient information to make judgments about progress towards strategic goals and implementation of procurement policies

4 Reports are provided in time to enable effective response

2 Evaluate the extent to which the procurement strategic goals and policies are being achieved

1 Evaluation takes into account evidence from planned measures

2 Conclusions are provided in detail against the agreed criteria and supported by evidence

3 Conclusions provide a complete picture of performance in respect of the organisation’s procurement strategic goals and policies

4 Where performance fails to meet the agreed criteria, possible reasons are offered and discussed with stakeholders

5 Consultation takes place with stakeholders prior to publication of any report on performance that may affect the interests of stakeholders

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3 Identify causes of success and failure in procurement plans and their implementation

1 Explanations of the causes of success or failure are supported by evidence

2 Explanation of the causes is supported by an estimate of how likely it is that these are the real causes

3 Where alternative explanations are available, these are reported and the reason for preference is given

4 Explanations are presented logically and comprehensively

5 Where it is likely to be difficult to find a remedy for the cause, explanations are offered to counter possible objections

6 Lessons to be drawn from success or failure are made available to those who could learn from them and are used in the future planning of procurement

7 Feedback is provided to those whose performance is examined

4 Identify possible strengths and weaknesses in the procurement mission statement, strategic goals and policies

1 Identification of strengths and weaknesses takes account of: • evaluations of performance and achievement • stakeholders’ interests and views • the vision and values of the organisation • trends in the external environment • internal strengths and weaknesses

2 Comments, analysis and recommendations are made available for the review and reformulation of the procurement strategic goals and policies

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Range of Variables


Measures and criteria to evaluate achievement of

procurement mission statement and strategic goals

may include

• specified performance measures and outputs in: • financial plans, budgets, procurement plans, HRD/HRM plans, risk

management plans, marketing plans

Sources of data may include • supply publications • industry source books • information from industrial supplies office • advice provided from organisations specialising in investigative

procedures • past performance • financial management information systems • results of research of financial viability, capability and performance

Stakeholders may include • end users • customers / clients • sponsors • potential providers / suppliers • current providers/suppliers • technical or functional experts or advisers • Federal, State/Territory and/or Local government • the organisation • other public sector organisations • employees • unions • staff associations • industry bodies • local communities • society as a whole • lobby groups • special user groups



• relevant legislation and procedures applied to the procurement process




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Underpinning knowledge • Commonwealth, State/Territory procurement guidelines • procurement policies and practices • government procurement environment • financial rules and regulation requirements • legal requirements of government contracting • implications of particular contracting agreements • whole-of-life considerations • disposals considerations • procurement approval processes • strategic planning processes • equal employment opportunity, equity and diversity principles • procurement management processes • Law of contract • Trade practices law • Commercial law and relevant legislation • financial and accounting issues relevant to the contract

Underpinning skills • project management skills • financial and other resources management skills • communication skills, orally and in writing • cross-cultural competency, including gender and disability • research skills • analytical skills • problem solving using conceptual and reasoning skills • networking skills with clients, suppliers, stakeholders and end

users














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HUMAN RESOURCE MANAGEMENT PSPHR401A Provide a Human Resource Consultancy Service


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HUMAN RESOURCE MANAGEMENT COMPETENCY STANDARDS

Unit PSPHR401A Provide a Human Resources Consultancy Service

Unit Descriptor This unit covers the provision of a human resources consultancy service to enable managers and others to provide human resource services in a devolved environment.

Key Area Human Resource Management


1 Identify and analyse options for implementing devolved HR services

1 Consultation with key stakeholders is conducted to identify opportunities and requirements for human resource services to be delivered by non-specialists

2 An analysis of options and resources required for the implementation of human resource services through non-specialists is conducted

3 Advice is given to management and key stakeholders on options for the delivery of human resource services through non-specialists

2 Establish processes which enable non-specialist human resource personnel to deliver human resource services

1 Consultation with key stakeholders is conducted to develop processes which enable line managers and non-specialists to deliver human resource services

2 Processes which enable line managers and non-specialists to implement human resource services are identified and implemented

3 The objectives, parameters, and performance standards for having human resources services delivered through line managers and non-specialists are established, disseminated and explained

3 Provide information, advice, training and support to non-specialist human resource personnel

1 Line managers and non-specialists are consulted to determine key areas where information, advice, training and support is required to deliver human resource services

2 Information, advice, training and support enables non-specialists to provide human resources services to comply with legislative and organisational requirements

3 Information, advice, training and support provided is clear, accurate, readily accessible and timely, and complies with legislation and organisational policies

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4 Information and support strategies are tailored to meet the needs of diverse audiences

5 The human resources information, advice, training and support services are promoted to facilitate organisational awareness and access

6 Systems are developed and implemented to monitor the provision of information, advice, training and support to line managers and non-specialists

4 Evaluate the

effectiveness of having human resources services delivered by non-specialist human resource personnel

1 A reliable and valid evaluation methodology is developed and implemented

2 A variety of information sources, including the perspectives of key stakeholders, is collected and analysed to determine outcomes of the delivery of human resources services through line managers and non-specialists

3 Recommendations on enhancements to the provision of human resources services through line managers and non-specialists are formulated and acted upon



• Commonwealth and State/Territory legislation including EEO and anti-discrimination law

• national and international codes of practice and standards • the organisation’s policies and practices • government policy • codes of conduct

Information, advice, training and other support to

non-specialist human resource staff may include

• written documentation • manuals • policy and procedure statements • guides • information brochures and pamphlets • oral advice and guidance • one on one meetings • small group meetings • telephone contact and/or electronic mail • training programs • coaching or mentoring • provision of feedback • mediating • counselling

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Support, information, training and advice may be offered in

relation to

• occupational safety & health matters • employee health • award interpretation • employment contracts • recruitment, selection and appointment procedures • induction processes • performance management processes • career and human resource development • separation • remuneration and benefits • legislative matters • organisational development strategies • workplace bargaining

Non-specialist human resource personnel may include

• supervisory staff • line managers and senior managers and those who are not formally

considered to be human resources practitioners

Information sources for evaluation purposes may

include

• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data • objectives • budget • timelines and allocated resources

Support, information, advice and training may be offered to

• supervisory staff • line managers • senior management • human resource personnel working in different specialist areas


Critical aspects of evidence • the integrated demonstration of all elements and their performance criteria; and

• the provision of information, advice, support and training to line managers and non specialist human resource personnel who are involved in delivering human resources services which meet legislative and organisational requirements



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Certificate III level or above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC301A Uphold the Values and Principles of Public Service; PSPLEGN301A Comply with Legislation in the Public Sector; PSPGOV308A Work Effectively with Diversity; PSPGOV402A Deliver and Monitor Service to Clients.

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Underpinning knowledge • relevant awards, legislation and agreements pertaining to employment framework and conditions

• employment contracts • understanding of organisational goals, policies and

procedures • relevant jurisdictional legislation which applies to human

resources • understanding of the concept of diversity and its integration

within and across all human resource functions and areas • EEO, equity and diversity principles • understanding of the relationships between key human

resource functions • human resource policies and practices • range of evaluation methodologies

Underpinning skills • counselling, negotiation and mediation skills • use of a variety of words and language structures to explain

complex ideas to different audiences • interpreting and explaining complex, formal documents and

assisting others to apply them in the workplace • written advice and reports requiring reasoning and precision

of expression • advice and discussion using exchange of complex oral and

written information • marketing, promotion and public relations skills • training, mentoring, consultation and coaching skills • project management and evaluation skills • cross cultural competency including gender and disability














HUMAN RESOURCE MANAGEMENT PSPHR501A Co-ordinate Career Development Strategies and Plans


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Unit PSPHR501A Co-ordinate Career Development Strategies and Plans

Unit Descriptor This unit covers coordination of career development strategies and plans which address the present and future needs of the organisation, groups and individuals.



1 Identify the career development needs of the organisation, groups and individuals

1 The present and future career development needs of individuals, specific occupational groups and the organisation’s competence requirements are identified through consultation with key stakeholders

2 An analysis of information acquired through consultation is conducted to formulate key career development needs areas

3 Career development needs are prioritised on the basis of consultation

2 Design career development strategies and plans

1 Strategies and plans are based on good practice models and contemporary theories and practices of ‘career development’ and are integrated with other key human resource functions and areas

2 Strategies and plans are designed to cater for employees at different ‘career stages’

3 Strategies and plans are based on the principles of natural justice, equity and fairness

4 Opportunities to outsource career strategies and plan are identified and evaluated

5 A range of techniques is considered to respond to the needs of a diverse employee base

6 A variety of information sources and consultations with key stakeholders are used to design strategies and plans

7 Information and advice is provided to facilitate effective implementation, monitoring and evaluation of strategies and plans

8 Career development strategies and plans are promoted and supported within the organisation to facilitate awareness and access

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3 Co-ordinate implementation of career development strategies and plans

1 An implementation plan is agreed in consultation with key stakeholders

2 Systems are developed and implemented to monitor the effectiveness of career development strategies and plans in accordance with contractual obligations, legislation, organisational policy and needs, and in consultation with managers

3 External and/or internal trends or events which have an effect on the organisation’s career development strategies and plans are monitored and responses formulated

4 Adjustments to strategies and plans are implemented as a result of monitoring and/or changed internal/external trends and/or events

5 The strategies and plans are monitored to gauge their effectiveness in providing support to staff involved in implementation

4 Evaluate career development strategies and plans


2 A variety of information sources, including the perspectives of key stakeholders, is collected and analysed to determine the efficiency and effectiveness of career development strategies and plans

3 The evaluation methodology allows for the organisation’s strategies and plans to be compared with national and/or international models of good practice in employee career development

4 Recommendations on modifications or enhancements are formulated and referenced in future revision of career development strategies and plans



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Stakeholders may include • all those individuals and groups both inside and outside the organisation, which have some direct interest in the organisation’s behaviour, actions, products and services. They may include users of the human resource service

• employees at all levels of the organisation • other public sector organisations • union and association representatives • boards of management • government • ministers

Career development strategies and plans may include

• assessment and development centres • feedback • counselling • personal and career development planning • induction and orientation programs • career management • succession planning • competency development processes • secondments • education and training programs • self-analysis and self-assessment • psychometric and other testing methods • industry experience • job exchange • higher duties

Career stages include • early and initial career, mid-career, late career, near retirement.

Methods of promotion of strategies and plan may

include

• written documentation • manuals • policy and procedure statements • guides • information brochures and pamphlets • oral advice and guidance • one on one meetings • small group meetings • telephone contact and/or electronic mail • training programs



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Internal and external factors impacting upon career

development strategies and plans may include

• changed financial or political circumstances • downsizing or organisation restructuring • retention of high performing employees • opportunities for outsourcing changes in legislation or core

business activities • changes in activities or aspirations of customers • organisational changes • labour market

Information for evaluation sources may include

• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data • succession planning • performance management plans and outcomes • career development objectives, budget, timelines and allocated

resources



• the establishment and maintenance of effective career development strategies and plans which are integrated with organisational workforce/succession planning and performance management processes.



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Diploma level or above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC501A Promote the Values and Ethos of Public Service;PSLEGN501A Promote Compliance with Legislation in the Public Sector; PSPGOV501A Coordinate a Work Group



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Underpinning knowledge • career development and career management as concepts within an organisational context

• range of career development strategies and plans • concept of ‘career stages’ • understanding of the organisation’s strategic goals and their

implications for future human resource requirements • human resource strategy and planning • importance of retaining human/intellectual capital within an

organisation through career development strategies and plans • human resource strategy and workforce planning • role of employee representatives and employee organisations • careers guidance and counselling strategies • career management concepts • strategies for the management of one’s own career • range of development strategies • adult learning principles • development needs analyses techniques • facilitation techniques • understanding of succession planning • competency concept • relevant jurisdictional legislation which applies to human

resources • concept of outsourcing • understanding of organisational goals, policies and

procedures • understanding of the concept of diversity and its integration

within and across all human resource functions and areas • understanding of the relationships between human resource

functions • EEO, equity and diversity principles • human resource policies and practices • familiarity with national and/or international models of good

practice in career development • range of evaluation methodologies

Underpinning skills • effective consultation with stakeholders • counselling and negotiation skills • project management and evaluation skills • use of a variety of words and language structures to explain



of expression • discussion using exchange of complex oral information • mentoring, training, facilitation and coaching skills • cross cultural competency including gender and disability






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HUMAN RESOURCE MANAGEMENT PSPHR502A Co-ordinate Employee Support Systems


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Unit PSPHR502A Co-ordinate Employee Support Systems

Unit Descriptor This unit covers the provision and co-ordination of support systems to underpin organisational commitment to employees.



1 Identify the employee support needs of the organisation, groups and individuals

1 The present and future employee support needs of individuals, specific occupational groups and the organisation are identified through consultation with key stakeholders

2 An analysis of information acquired through consultation is conducted to formulate key employee support needs areas

3 Employee support needs are prioritised on the basis of consultation with key stakeholders

2 Develop employee support systems

1 A variety of information sources and consultations with key stakeholders are used to develop systems

2 Systems are formulated to meet the specific present and future needs of individuals, a range of occupational groups and the organisation

3 Systems are based on good practice models and contemporary theories and practices of ‘employee support’ and are integrated with other key human resource functions and areas

4 Opportunities to outsource employee support systems are identified and evaluated

5 Systems developed are based on the principles of natural justice, equity and fairness

6 Information and advice is provided to facilitate effective implementation, monitoring and evaluation of systems

7 Employee support systems are promoted and supported within the organisation to facilitate awareness and access

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3 Co-ordinate the implementation of employee support systems


2 Systems are developed and implemented to monitor the effectiveness of employee support in accordance with contractual obligations, legislation, organisational policy and needs, and in consultation with managers

3 External and/or internal trends or events which have an effect on the organisation’s employee support systems are monitored and responses formulated

4 Adjustments to employee support systems are implemented as a result of monitoring and/or changed internal/external trends and/or events

5 The employee support systems are monitored to gauge their effectiveness in providing support to staff involved in implementation

4 Evaluate employee support systems


2 A variety of information sources, including the perspectives of key stakeholders, is collected and analysed in order to determine the efficiency and effectiveness of employee support systems

3 The evaluation methodology allows for the organisation’s employee support systems to be compared with national and/or international models of good practice in employee support

4 Recommendations on modifications or enhancements are formulated and referenced in future revision of employee support systems



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• employees at all levels of the organisation • other public sector organisations • union and association representatives • boards of management • government • ministers, and regulators

Employee support processes and programs may include

• counselling services • sports and fitness facilities and/or activities • social facilities • health care • provision of child care, rehabilitation services • flexible working arrangements • preventative education • safety auditing programs • support networks • provision of contact officers

Methods of promotion of strategies and plan may

include


Internal and external factors impacting upon employee

support systems may include





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• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data • employee support objectives, budget, timelines and allocated

resources



• the coordination of effective employee support systems within the organisation



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Diploma level or above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC501A Promote the Values and Ethos of Public Service; PSLEGN501A Promote Compliance with Legislation in the Public Sector; PSPGOV501A Coordinate a Work Group



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Underpinning knowledge • concept of employee welfare • concept of employee well-being • concept of employee rehabilitation • privacy legislation and its application • concept of outsourcing • importance of psychological and physical fitness • range of work-related illnesses • understanding of the concepts of organisation health and

organisational culture • stress and its impact on individual and organisational

effectiveness • understanding of organisational culture and health • range of assistance and support programs • roles of organisations in supporting employees • counselling techniques • role of external agencies • relevant jurisdictional legislation which applies to human


within and across all human resource functions and areas • EEO, equity and diversity principles • understanding of the relationships between human resource

functions • human resource policies and practices • familiarity with national and/or international models of good

practice in employee support • understanding of organisational goals, policies and

procedures • range of evaluation methodologies

Underpinning skills • effective consultation with stakeholders • counselling and negotiating skills • project management and evaluation skills • use of a variety of words and language structures to explain



of expression • discussion using exchange of complex oral information • cross cultural competency including gender and disability






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HUMAN RESOURCE MANAGEMENT PSPHR601A Manage Recruitment and Selection Processes


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Unit PSPHR601A Manage Recruitment and Selection Processes

Unit Descriptor This unit covers the requirement to develop, co-ordinate, and evaluate processes to recruit and select human resources to meet organisational needs.



1 Develop recruitment and selection processes

1 Current and future staffing needs of the organisation are identified

2 Processes are based on current and the future needs of the organisation and are aligned with the organisation’s strategic goals

3 Opportunities to outsource recruitment and selection processes are identified and evaluated

4 Processes developed are in line with organisational policy and legislation and take account of external trends and influences, good practice models or recruitment and selection, and reliability and validity issues

5 Strategies and plans are integrated with other key human resource functions and areas

6 Processes developed are based on the principles of natural justice, equity and fairness

7 Consultation is undertaken with business units and other key stakeholders in developing processes

8 Job specifications and classification levels are utilised in preparing selection documentation

9 Processes developed support and encourage applicants from diverse backgrounds to make application

10 Information and advice is provided to facilitate effective implementation, monitoring and evaluation of processes

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2 Manage implementation of recruitment and selection processes


2 Systems are developed and implemented to monitor the effectiveness of recruitment and selection processes in accordance with contractual obligations, legislation, organisational policy and needs, and in consultation with managers

3 External and/or internal trends or events which have an effect on the organisation’s recruitment and selection processes are monitored and responses formulated

4 Adjustments to recruitment and selection processes are implemented as a result of monitoring and/or changed internal/external trends and/or events

5 Recruitment and selection processes are monitored to gauge their effectiveness in providing support to staff involved in implementation

3 Evaluate recruitment and selection processes


2 A variety of information sources, including the perspectives of key stakeholders is collected and analysed in order to determine the effectiveness and efficiency of recruitment and selection processes

3 The evaluation methodology allows for the organisation’s processes to be compared with national and/or international models of good practice in recruitment and selection

4 Recommendations on modifications or enhancements are formulated and referenced in future revision of recruitment and selection processes



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Stakeholders may include • all those individuals and groups both inside and outside the organisation, which have some direct interest in the organisation’s behaviour, actions, products and services. They may include users of the human resource service, employees at all levels of the organisation

• other public sector organisations • union and association representatives • boards of management • government • ministers

Recruitment and selection processes may include:

• job analysis • job description • job evaluation • recruitment advertising • use of external agencies • application processing • competency profiling • job classifications, assessment centres • psychometric assessment • benchmarking of diversity


support systems may include




• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data • recruitment and selection objectives, budgets, timelines and

allocated resources

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• the establishment of effective recruitment and selection processes which facilitate the supply of human resources matched to organisational needs


Co-requisite units: Nil Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Advanced Diploma level or above. It is recommended that co-assessment occurs with some or all of the following units:

PSPETHC601A Maintain and Enhance Confidence in Public Service; PSPLEGN601A Manage Compliance with Legislation in the Public Sector; PSPGOV601A Apply Knowledge of Government Systems; PSPGOV602A Establish and Maintain External Networks.

Underpinning knowledge • terms and conditions of employment • recruitment and selection methods • reliability and validity as applied to recruitment and selection

methods • terms and conditions of employment • understanding of psychometric and skills testing • concept of outsourcing • employee contracts • web-based recruitment • external industrial relations systems • changing economic, social, demographic, labour market

conditions and educational trends • understanding of the organisation’s strategic goals and their

implications for future human resource requirements • human resource strategy and planning • understanding of the concept of diversity and its integration



practice in recruitment and selection • understanding of organisational goals, policies and


resources • range of evaluation methodologies



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Underpinning skills • effective consultation with stakeholders • internal and external marketing and promotion • project management and evaluation skills • negotiation skills • use of a variety of words and language structures to explain

















PSPHR602A Manage Separation HUMAN RESOURCE MANAGEMENT


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Unit PSPHR602A Manage Separation

Unit Descriptor This unit covers management of the separation of people from the organisation



1 Develop strategies and plans for separation

1 Strategies and plans are developed to address the full range of separation situations with key stakeholders

2 Strategies and plans, where appropriate, provide sufficient time and information for employees affected to make well considered decisions


4 Strategies and plans provide for counselling and support for employees and their immediate families, and managers

5 Strategies and plans are based on the principles of natural justice, equity and fairness

6 Information and advice is provided to facilitate implementation, monitoring and evaluation of strategies and plans

2 Manage implementation of separation strategies and plans


2 Systems are developed and implemented to monitor the effectiveness of separation strategies and plans in accordance with contractual obligations, legislation, organisational policy and needs, and in consultation with managers

3 External and/or internal trends or events which have an effect on the organisation’s separation strategies and plans are monitored and responses formulated


5 Separation strategies and plans are monitored to gauge their effectiveness in providing support to staff involved in implementation

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3 Evaluate separation strategies and plans

1 A valid and reliable evaluation methodology is developed and implemented

2 A variety of information sources, including the perspectives of key stakeholders, is collected and analysed in order to determine the effectiveness and efficiency of separation strategies and plans

3 The evaluation methodology allows for the organisation’s strategies and plans to be compared with national and/or international models of good practice in the separation of employees

4 Recommendations on modifications or enhancements are formulated and referenced in future revision of separation strategies and plans







Separation situations may include

• dismissal due to misconduct, termination at the end of a contract period

• involuntary termination (eg. termination on medical grounds) • retirement • redundancy as an individual or group • resignation



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Internal and external factors impacting upon separation

strategies and plans may include




• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data • exit interviews • separation objectives, budgets, timelines and allocated resources



• the effective separation strategies and plans are implemented within the organisation



PSPETHC601A Maintain and Enhance Confidence in Public Service; PSPLEGN601A Manage Compliance with Legislation in the Public Sector; PSPGOV601A Apply Knowledge of Government Systems; PSPGOV602A Establish and Maintain External Networks

HUMAN RESOURCE MANAGEMENT PSPHR602A Manage Separation


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Underpinning knowledge • disputes and grievance procedures • alternatives to dismissal • award interpretation and employee entitlements • concept of misconduct • concept of procedural fairness • concept of redundancy • concept of retirement • concept of voluntary termination • concepts of dismissal and suspension • knowledge of the organisation’s employee assistance

programs • understanding of worker’s compensation and superannuation

schemes • human resources strategy and planning • understanding of organisational goals, policies and


resources • employment contracts • understanding of the concept of diversity and its integration



practice in the separation of employees • range of evaluation methodologies

Underpinning skills • effective consultation with stakeholders • project management and evaluation skills • counselling and negotiation skills • use of a variety of words and language structures to explain









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HUMAN RESOURCE MANAGEMENT PSPHR603A Provide Advisory and Mediation Services


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Unit PSPHR603A Provide Advisory and Mediation Services

Unit Descriptor This unit covers the provision of advisory and mediation services to promote positive employee relations.



1 Advise and mediate with parties to facilitate positive work relations

1 An advisory and mediation process is established and agreed with parties

2 Key stakeholders are involved in decision making and/or mediation

3 Consultation between managers, supervisors, employees and union representatives is facilitated

4 Relevant information is assessed, interpreted and provided in a format which is understandable to employees

5 Mediation between the parties is undertaken where required

6 Key stakeholders are involved in decision-making and/or negotiation processes

7 Advice and mediation processes implemented are consistent with relevant legislation and policy

1

2 Counsel employees

1 Counselling techniques and style are appropriate to the situation and cater for a diverse workforce base

2 Active listening skills are applied to formulate responses to employees

3 Referrals to appropriate support professionals and agencies are made to facilitate employee performance and well being

4 Employee confidentiality is maintained

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3 Provide an employee information and advisory service

1 Employees’ access to the information and advisory service is promoted

2 The employee’s need or problem is identified

3 Information provided is accurate, relevant and timely

4 Employees are informed of all realistic options and advised on the benefits and risks associated with each

5 Advice is researched and complies with government and the organisation’s policy

6 Feedback is sought from employees on the extent to which service meets needs





Parties may include • employees • managers • union representatives • employee groups • employee associations • government officials



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Advisory and mediation services may include

• career development • employee counselling • employee contracts • employee conditions • occupational health and safety • organisational development and change • performance management • recruitment and selection • training and development • workers’ compensation

Methods of promotion of the information and advisory

service may include

• written documentation • manuals • policy and procedure statements, guides • information brochures and pamphlets • oral advice and guidance • one on one meetings • small group meetings • telephone contact and/or electronic mail • training programs



• the provision of effective advisory and mediation services to maintain positive employee relations


Co-requisite units: Nil Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Advanced Diploma level or above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC601A Maintain and Enhance Confidence in Public Service; PSPLEGN601A Manage Compliance with Legislation in the Public Sector; PSPGOV601A Apply Knowledge of Government Systems; PSPGOV602A Establish and Maintain External Networks.

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Underpinning knowledge • procedures for handling complaints and grievances • case preparation and presentation techniques • conflict resolution techniques • negotiation and mediation techniques • external industrial relations systems • enterprise and workplace bargaining • changing economic, social, demographic, labour market

conditions and educational trends • government employee relations system • human resource strategy and planning • understanding of organisational goals, policies and



functions • human resource policies and practices • relevant jurisdictional legislation which applies to human

resources

Underpinning skills • effective consultation with stakeholders • counselling, negotiation and mediation skills • conflict resolution skills • use of a variety of words and language structures to explain



of expression • discussion using exchange of complex oral information • training skills • public relations skills • cross cultural competency including gender and disability














HUMAN RESOURCE MANAGEMENT PSPHR604A Manage Employee Relations Strategies and Plans


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Unit PSPHR604A Manage Employee Relations Strategies and Plans

Unit Descriptor This unit covers the requirement to develop, negotiate and evaluate employee relations strategies and plans in order to build and maintain the commitment of employees to achieving the goals of the organisation.

Working Area Human Resource Management


1 Develop employee relations strategies and plans

1 An analysis of present and future requirements within the organisation is undertaken using a variety of information sources and consultations with key stakeholders

2 Employee relations strategies and plans are developed based on the outcomes of analysis of consultation with key stakeholders and consideration of good practice models of employee relations

3 Strategies and plans accord with organisational policy and legislative requirements and are integrated with other key human resource functions and areas

4 Changes within the organisation’s operating environment which will impact upon the organisations employee relations are identified and responses are formulated

1

2 Negotiate employee relations strategies and plans

1 A negotiation framework is developed and agreed with the parties

2 Documentation and advice is developed and disseminated to raise organisational awareness

3 Responses are sought from employee relations bodies/representatives to gauge acceptance and to identify the nature and cause of any potential disputes

4 Changes in the negotiating position are determined and endorsement of these is sought from key stakeholders

5 An advocacy role is undertaken to represent the negotiating position and to resolve disputes which may arise

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3 Manage implementation of employee relations strategies and plans


2 Systems are developed and implemented to monitor the effectiveness of employee relations strategies and plans in accordance with contractual obligations, legislation, organisational policy and needs, and in consultation with managers

3 External and/or internal trends or events which have an effect on the organisation’s employee strategies and plans are monitored and responses formulated


5 Employee relations strategies and plans are monitored to gauge their effectiveness in providing support to staff involved in implementation

4 Evaluate employee relations strategies and plans


2 A variety of information, including the perspectives of key stakeholders, is collected and analysed in order to determine the effectiveness and efficiency of employee relations strategies and plans

3 The evaluation methodology allows for the organisation’s strategies and plans to be compared with national and/or international models of good practice in employee relations

4 Recommendations on modifications or enhancements are formulated and referenced in future revision of employee relations strategies and plans



Vol 1Sec 2 Page 285







Employee relations strategies and plans may include initiatives which aim to

• develop and maintain the commitment of employees in times of change

• promote effective communication within the organisation • develop and maintain effective negotiation and consultation

processes with groups and individuals • develop effective grievance and disciplinary processes

Employee relations strategies and plans may be expressed in

• workplace and enterprise bargains • certified agreements • Australian workplace agreements

An advocacy role may include • written or oral advocacy


relations strategies and plans may include




• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data • employee relations objectives, budgets, timeframes and allocated

resources

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• the effective strategies and plans developed to facilitate the development of a positive and productive relationship between the organisation and its employees




Underpinning knowledge • employee relations as a concept within an organisational context

• role of employee representatives and employee organisations • case preparation and presentation techniques • negotiation and mediation techniques • external industrial relations systems • enterprise and workplace bargaining • changing economic, social, demographic, labour market

conditions and educational trends • human resource strategy and planning • government employee relations system • national and international models of employee relations • relevant jurisdictional legislation which applies to human

resources • understanding of organisational goals, policies and




practice in employee relations • range of evaluation methodologies



Vol 1Sec 2 Page 287




of expression • discussion using complex exchange of oral information • facilitation skills • public relations skills • cross cultural competency including gender and disability














PSPHR605A Manage Human Resource Development HUMAN RESOURCE MANAGEMENT


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Unit PSPHR605A Manage Human Resource Development

Unit Descriptor This unit covers the requirement to determine the human resource development needs of an organisation and to manage programs and strategies which address these needs.



1 Identify the human resource development needs of the organisation, groups and individuals

1 The present and future human resource development needs of individuals, specific occupational groups and the organisation are identified through consultation with key stakeholders

2 An analysis of information acquired through consultation is conducted to formulate key human resource development needs areas

3 Human resource development needs are prioritised on the basis of consultation

2 Plan programs and strategies to develop human resources

1 A variety of personal and professional development program types and strategies are considered appropriate to the needs of individuals, business units and the organisation

2 Opportunities to outsource programs and strategies are identified and evaluated

3 Programs and strategies developed support the business and strategic directions of the organisation

4 Strategies and plans developed are based on good practice models of human resource development and are integrated with other key human resource functions and areas

5 Key stakeholders are consulted in the development of programs and strategies

6 Programs and strategies are based on adult learning principles

7 Information and advice is provided to facilitate effective implementation, monitoring and assessment of programs and strategies

8 Human resource development programs and strategies are promoted within the organisation to facilitate awareness and access

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Element Performance Criteria 1

3 Manage implementation of development programs and strategies


2 Systems are developed and implemented to monitor the effectiveness of development programs and strategies in accordance with contractual obligations; legislation; organisational policy and needs; and in consultation with managers

3 External and/or internal trends or events which have an effect on the organisation’s development programs and strategies are monitored and responses formulated

4 Adjustments to programs and strategies are implemented as a result of monitoring and/or changed internal/external trends and/or events

5 Programs and strategies are monitored to gauge their effectiveness in providing support to staff involved with implementation

4 Evaluate development programs and strategies


2 A variety of information sources, including the perspectives of key stakeholders, is collected and analysed in order to determine the efficiency and effectiveness of programs and strategies in addressing human resource development needs

3 The evaluation methodology allows for the organisation’s programs and strategies to be compared with national and/or international models of good practice in the human resource development of employees

4 Recommendations on modifications or enhancements are formulated and referenced in future revision of development programs and strategies



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Programs and strategies may include

• mentoring and coaching • action learning sets • seminars, conferences and workshops • tertiary courses • in-house courses • computer-based courses • higher duties • job exchange • industry experience • secondments

Methods of promotion of the programs and strategies may

include

• written documentation • manuals • policy and procedure statements, guides • information brochures and pamphlets • oral advice and guidance • one on one meetings • small group meetings • telephone contact and/or electronic mail

Internal and external factors impacting upon human resource development

programs and strategies may include

• emerging human resource development needs • changed financial or political circumstances • downsizing or organisation restructuring • opportunities for outsourcing changes in legislation or core


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• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data. • development objectives, budget, timelines and allocated resources • transfer of learning to workplace



• the provision of a range of human resource development programs and strategies which are aligned with individual and organisational competency requirements



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Advanced Diploma level or above. It is recommended that co-assessment occurs with some or all of the following units:

PSPETHC601A Maintain and Enhance Confidence in Public Service;PSPLEGN601A Manage Compliance with Legislation in the Public Sector; PSPGOV601A Apply Knowledge of Government Systems

Underpinning knowledge • range of training and development strategies • principles of adult learning • range of facilitation techniques • development needs analyses techniques • competency concept • familiarity with national and/or international models of good

practice in human resource development • concept of outsourcing • range of evaluation methodologies • understanding of organisational goals, policies and

procedures • understanding of the organisation’s strategic goals and their

implications for future human resource requirements • human resource strategy and planning • understanding of the concept of diversity and its integration


functions • human resource policies and practices • relevant jurisdictional legislation which applies to human

resources



Vol 1Sec 2 Page 292

Underpinning skills • effective consultation with stakeholders • internal marketing and public relations skills • training, presentation and facilitation skills • counselling and negotiation skills • effective consultation with stakeholders • project management and evaluation skills • internal marketing skills • use of a variety of words and language structures to explain

















HUMAN RESOURCE MANAGEMENT PSPHR606A Manage Performance Management Processes


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Unit PSPHR606A Manage Performance Management Processes

Unit Descriptor This unit covers the management of an organisation’s performance management processes to review and enhance employee performance.



1 Establish performance standards

1 Consultation with key stakeholders is conducted to inform the development of performance standards for the organisation’s employees

2 Draft performance standards are composed and presented to key stakeholders

3 Draft performance standards are refined through consultation with key stakeholders

4 Performance standards are validated by key stakeholders

2 Develop performance management processes

1 Processes are developed which utilise those performance standards validated by key stakeholders

2 Processes are developed through consideration of existing good practice models and are integrated with other key human resource functions and areas

3 Processes developed are linked to the organisation’s operating context and strategic direction and developed through consultation with key stakeholders

4 The processes developed include key performance management concepts

5 The processes developed provides for ongoing two way communication between the performance manager, the employee, key stakeholders and clients

6 The processes developed are inclusive in responding to the needs of the range of business units, position types and diverse employee working styles represented within the organisation

7 The processes developed are based on the principles of natural justice, equity and fairness

8 The processed developed are flexible enough to allow for changes in the organisation’s operating context and strategic direction

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9 The processed developed detail options for dealing with inappropriate or under-performance

10 Information and advice is provided to facilitate effective implementation and assessment of processes

3 Manage implementation of performance management processes


2 Systems are developed and implemented to monitor the effectiveness of performance management processes in accordance with contractual obligations, legislation, organisational policy and needs, and in consultation with managers

3 External and/or internal trends or events which have an effect on the organisation’s performance management processes are monitored and responses formulated

4 Adjustments to processes are implemented as a result of monitoring and/or changed internal/external trends and/or events

5 Processes are monitored to gauge their effectiveness in providing support to staff involved in implementation

4 Evaluate performance management processes


2 A variety of information sources, including the perspectives of key stakeholders, is collected and analysed in order to determine the efficiency and effectiveness of performance management processes

3 The evaluation methodology allows for the organisation’s processes to be compared with national and/or international models of good practice in the performance management of employees

4 Recommendations on modifications or enhancements are formulated and referenced in future revision of performance management processes



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Performance management refers to

• planning and review of the on-the-job performance of individuals and groups of employees

Performance management processes may include

• planning • measurement • reviews and appraisals • monitoring • evaluation • feedback • coaching

Information about performance management processes may be

distributed though


Internal and external factors impacting upon performance management processes may

include

• emerging human resource development needs • changed financial or political circumstances • downsizing or organisation restructuring • opportunities for outsourcing changes in legislation or core


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• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data • performance management objectives, budget, timelines and

allocated resources



• the ongoing development, monitoring and evaluation of effective, performance management processes across the organisation



PSPETHC601A Maintain and Enhance Confidence in Public Service; PSPLEGN601A Manage Compliance with Legislation in the Public Sector; PSPGOV601A Apply Knowledge of Government Systems.

Underpinning knowledge • understanding of performance management concept within an organisational context

• key components of performance management processes • grievance procedures • freedom of information, privacy, confidentiality • development strategies to support performance management

processes • understanding of organisational goals, policies and

procedures • range of evaluation methodologies • understanding of the concept of diversity and its integration



practice in performance management • relevant jurisdictional legislation which applies to human

resources



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Underpinning skills • effective consultation with stakeholders • internal marketing and public relations skills • evaluation of programs and strategies • conflict resolution skills • training, coaching, mentoring and facilitation skills • negotiation and counselling skills • use of a variety of words and language structures to explain



of expression • discussion using complex exchange of oral information • cross cultural competency including gender and disability














PSPHR607A Establish Redeployment Processes HUMAN RESOURCE MANAGEMENT


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Unit PSPHR607A Establish Redeployment Processes

Unit Descriptor This unit covers the establishment of processes to facilitate the internal movement of human resources as a result of changing organisational needs, performance issues, and/or employee rehabilitation.

Working Area Human Resource Management


1 Develop redeployment processes

1 Processes developed are based on an analysis of present and future requirements within the organisation

2 A variety of information sources and consultations with key stakeholders are used to develop redeployment processes

3 Processes are based on good practice models of redeployment and are integrated with other key human resource functions and areas

4 The system developed is based on the principles of natural justice, equity and fairness

5 Information and advice is provided to facilitate effective implementation, monitoring and evaluation of processes

6 Information in relation to redeployment processes is distributed and/or made available to employees

7 Relevant legislative and policy requirements are complied with in developing redeployment processes

2 Manage implementation of redeployment processes


2 Systems are developed and implemented to monitor the effectiveness of redeployment processes in accordance with contractual obligations, legislation, organisational policy and needs, and in consultation with managers

3 External and/or internal trends or events which have an effect on the organisation’s redeployment processes are monitored and responses formulated

4 Adjustments to processes are implemented as a result of monitoring and/or changed internal/external trends and/or events

5 Processes are monitored to gauge their effectiveness in providing support to staff in implementing employee redeployment

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3 Evaluate redeployment processes


2 A variety of information, including the perspectives of key stakeholders, is collected and analysed in order to determine the effectiveness and efficiency of redeployment processes

3 Information about the effectiveness and efficiency of the processes is collected and analysed

4 The evaluation methodology allows for the organisation’s processes to be compared with national and/or international models of good practice in the redeployment of employees

5 Recommendations on modifications or enhancements are formulated and referenced in future revision of redeployment processes







Redeployment refers to • internal movement of human resources as a consequence of changed organisational needs, performance issues and employee rehabilitation

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Information in relation to redeployment processes may be

distributed though


Internal and external factors impacting upon redeployment

processes may include

• changed financial or political circumstances • downsizing or organisation restructuring • retention of high performing employees • opportunities for outsourcing • changes in legislation or core business activities • changes in activities or aspirations of customers • organisational changes • labour market


• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data • redeployment objectives, budgets, timelines and allocated

resources



• the effective redeployment of an employee as a result of changed organisational needs, performance issues or employee rehabilitation



PSPETHC601A Maintain and Enhance Confidence in Public Service; PSPLEGN601A Manage Compliance with Legislation in the Public Sector; PSPGOV601A Apply Knowledge of Government Systems

HUMAN RESOURCE MANAGEMENT PSPHR607A Establish Redeployment Processes


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Underpinning knowledge • redeployment processes • employee relations issues • recruitment, selection and induction processes • work design and organisation • grievance procedures • appeals procedures • concept of employee rehabilitation • employee rehabilitation procedures • understanding of contemporary industrial relations issues • range of evaluation methodologies • understanding of organisational goals, policies and

procedures • human resource strategy and planning • understanding of the concept of diversity and its integration



practice in redeployment • relevant jurisdictional legislation which applies to human

resources

Underpinning skills • effective consultation with stakeholders • internal marketing and public relations skills • evaluation of programs and strategies • training and facilitation skills • negotiation skills • project management and evaluation skills • use of a variety of words and language structures to explain

















PSPHR608A Manage a System for Human Resource Information HUMAN RESOURCE MANAGEMENT


Vol 1Sec 2 Page 302

Unit PSPHR608A Manage a System for Human Resources Information

Unit Descriptor This unit covers the provision and management of a system to collect and safeguard human resources information, enabling the organisation to make strategic, tactical and operational business decisions.



1 Manage the provision of human resources information

1 Human resource information needs and sources of the organisation are identified through consultation with key stakeholders

2 A system is developed and/or customised in consultation with key stakeholders to provide information to support organisational and business unit decision-making

3 The system collects and provides information for those who require it, in a timely manner, and in a format which meets organisational and client needs

4 The system of storing human resources information meets records management requirements for information, security and privacy

5 The system provides for data analysis of past, present and future human resources

6 Information is available to facilitate effective implementation, monitoring and evaluation of the system

7 The system and its uses are promoted within the organisation to facilitate awareness and access

2 Manage the implementation and ongoing development of the system for human resources information


2 Processes are developed and implemented to monitor the effectiveness of the system in accordance with contractual obligations, legislation, organisational policy and needs, and in consultation with managers

3 External and/or internal trends or events which have an effect on the system are monitored and responses formulated

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4 Adjustments to the system are implemented as a result of monitoring

5 The system is monitored to gauge its effectiveness in providing support to staff involved in implementation

6 The system is monitored to detect and prevent confidentiality breaches

3 Evaluate the effectiveness of the system for human resources information


2 A variety of information sources, including the perspectives of key stakeholders is collected and analysed in order to determine the efficiency and effectiveness of the system

3 The evaluation methodology allows for the organisation’s system to be compared with models of national and/or international good practice in human resources information systems

4 Recommendations on modifications or enhancements are formulated and referenced in future revision of the system for human resources information





Stakeholders may include • all those individuals and groups both inside and outside the organisation, which have some direct interest in the organisation’s behaviour, actions, products and services. They may include users of the human resource services




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Information requests may be in relation to

• legislative requirements • workforce planning • performance management • recruitment and selection • employee relations • separation employees • employee support • career development • organisational development • human resource development

Methods of promotion of the system may include


Information to support implementation of the system

may include:

• manuals • policy and procedure statements • guides • information brochures and pamphlets • electronic mail

Data management processes may include:

• collection, storage, retrieval, archiving and disposal of data, trend analysis

Internal and external factors impacting upon the system

may include



include:

• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data, information system objectives,

budget, timeline and allocated resources

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Evidence Guide



• the development, monitoring and evaluation of an effective human resource information system which provides business units within the organisation with data needed to make key business decisions





Underpinning knowledge • concepts of information privacy and security • personnel records systems • concepts of user needs • organisational policy, procedures and goals • concept of system audits • understanding of records management • human resource strategy and planning • relevant jurisdictional legislation which applies to human




practice in human resources information systems • understanding of organisational goals, policies and

procedures • range of evaluation methodologies • information processing techniques

Underpinning skills • effective consultation with stakeholders • negotiation skills • project management and evaluation skills • use of a variety of words and language structures to explain







Vol 1Sec 2 Page 306













HUMAN RESOURCE MANAGEMENT PSPHR609A Design Remuneration Strategies and Plans


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Unit PSPHR609A Design Remuneration Strategies and Plans

Unit Descriptor This unit covers the requirement to design, monitor and evaluate an organisation’s remuneration strategies and plans.



1 Determine options for remunerating employees

1 Options for remunerating employees are developed through consultation with key stakeholders

2 Options are identified through analysis of good practice models of remuneration

3 An analysis of information acquired through consultation and research is conducted to prioritise options for remuneration strategies and plans

2 Prepare remuneration strategies and plans

1 Strategies and plans are developed in consultation with key stakeholders to meet present and future needs of the organisation including the attraction and retention of high performing employees

2 Internal and external factors are considered in preparing strategies and plans

3 Information and advice is provided to facilitate effective implementation, monitoring and evaluation of strategies and plans

4 Strategies and plans prepared are based on the principles of natural justice, equity and fairness


6 Information in relation to remuneration strategies and plans is distributed and/or made available to employees

7 Relevant legislative and policy requirements are complied with in developing remuneration strategies and plans

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3 Manage the implementation of remuneration strategies and plans


2 Systems are developed and implemented to monitor the effectiveness of remuneration strategies and plans in accordance with contractual obligations, legislation, organisational policy and needs, and in consultation with managers

3 External and/or internal trends or events which have an effect on the organisation’s remuneration strategies and plans are monitored and responses formulated


5 Strategies and plans are monitored to gauge their effectiveness in providing support to staff involved in implementation

4 Evaluate remuneration strategies and plans


2 A variety of information sources, including the perspectives of key stakeholders, is collected and analysed in order to determine the effectiveness and efficiency of remuneration strategies and plans

3 The evaluation methodology allows for the organisation’s strategies and plans to be compared with national and/or international models of good practice in remuneration of employees

4 Recommendations on modifications or enhancements are formulated and referenced in future revision of remuneration strategies and plans



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• national and international codes of practice and standards • the organisation’s policies and practices • government policy • codes of conduct • contractual obligations



Internal and external factors may include

• available funds • political pressures • operation context • workforce issues such as attraction, reward and retention of

high performing employees • outsourcing options

Information may be made available to employees through


Remuneration refers to • non-financial rewards • wages, salaries, allowances and other forms of monetary

payments • and employment benefits to reward and recognise the

performance of employees

PSPHR609A Design Remuneration Strategies and Plans HUMAN RESOURCE MANAGEMENT


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Remuneration strategies and plans may include

• types of remuneration structures • job and role analysis • job description • job and role evaluation • job grading • skills-based remuneration • competency-based remuneration • enterprise/workplace agreements • salary packaging • incentive schemes

Internal and external factors impacting upon the strategies and

plans may include


Information sources for evaluation purposes may include

• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data • remuneration strategy and plan budgets, timelines and allocated

resources



• the strategies and plans for remunerating an organisation’s workforce are effectively prepared, managed and evaluated to maintain and facilitate a high level of employee performance.







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Underpinning knowledge • types of remuneration structures • design of remuneration structures • familiarity with national and/or international good practice

models of remuneration structures • human resource strategy and planning • concept of retaining an organisation’s human/intellectual

capital through effective remuneration strategies and plans • concept of outsourcing • enterprise/workplace agreements • knowledge of labour markets • relevant awards, legislation and agreements pertaining to

employment framework and conditions • employment contracts • understanding of organisational goals, policies and


within and across all human resource functions and areas • EEO, equity and diversity principles • relevant jurisdictional legislation which applies to human

resources • understanding of the relationships between human resource

functions • human resource policies and practices • range of evaluation methodologies

Underpinning skills • effective consultation with stakeholders • budgeting skills • negotiation skills • project management and evaluation skills • use of a variety of words and language structures to explain

















PSPHR610A Design and Implement an Organisational Development Strategy

HUMAN RESOURCE MANAGEMENT


Vol 1Sec 2 Page 312

Unit PSPHR610A Design and Implement an Organisational Development Strategy

Unit Descriptor This unit covers the requirements for designing an organisational development strategy in order to facilitate optimal performance by a business unit(s) or the organisation as a whole.



1 Determine organisational development needs and opportunities

1 An environmental scan is undertaken to determine internal and external factors which will impact on the organisation’s performance

2 A consultation process is agreed with stakeholders in line with organisational policy and legislation

3 Ethical principles are applied in consulting with key stakeholders

4 Information gathered through consultative processes is analysed and presented to a diverse stakeholder base and options determined

5 Recommendations are made to management on a proposed organisational development strategy, resourcing implications and risk assessment

2 Plan an intervention strategy

1 An intervention strategy which supports the organisation’s strategic goals and stakeholder responses is agreed

2 The organisation’s culture, legislative and policy framework is considered in developing the strategy

3 Feedback is obtained from stakeholders and is used to redevelop/redefine the strategy prior to implementation

4 The strategy developed embodies the principles of natural justice, equity and fairness

5 Information and advice is provided to facilitate effective implementation, monitoring and evaluation of the intervention strategy

6 Resource implications and timeframes are assessed

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3 Implement an intervention strategy

1 Resources are obtained and deployed to implement the strategy

2 Facilitation and advice are provided to support implementation and reports on progress are provided on a regular basis

3 Systems are developed and used to monitor the effectiveness of the strategy and to determine necessary adjustments

4 Procedures are developed to allow business unit’s self-sufficiency in continuing implementation

5 Legislative and policy requirements are complied with in implementing the strategy

4 Evaluate the effectiveness of the intervention strategy


2 A variety of information sources, including the perspectives of key stakeholders, is collected and analysed in order to determine the effectiveness and efficiency of the strategy

3 The evaluation methodology allows for the intervention strategy to be compared with national and/or international models of good practice in organisational development

4 Recommendations on modifications or enhancements are formulated and referenced in future revision of the intervention strategy




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• other public sector organisations • unions and associations representatives • boards of management • government • ministers

Organisational development strategies may be developed

applied to

• the human resources business unit, one or more of the business units within the organisation

• the entire organisation

Intervention strategies may include

• business planning • performance incentives • business re-engineering • rewards and recognition awards schemes • market testing • organisational skills profiling • team enhancement • quality management • organisational culture development


• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data • work level standards • intervention strategy objectives, budgets, timelines and allocated

resources

Business unit may refer to • a program • sub-program • cost centre • area • division • branch • production unit or section located within the organisation

HUMAN RESOURCE MANAGEMENT PSPHR610A Design and Implement an Organisational Development Strategy


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• the development of an organisational development strategy which facilitates effective organisational performance in relation to business unit objectives or organisational strategic goals




Underpinning knowledge • understanding of organisational development theory and practices

• contemporary industrial relations issues • concept of outsourcing • awareness of industry trends • familiarity with national and/or international good practice

models and conceptions of organisation development • change management strategies • employee involvement strategies • human resource strategy and planning • relevant jurisdictional legislation which applies to human








of expression • discussion using exchange of complex oral information • training, coaching, mentoring and facilitation skills • public relations skills • cross cultural competency including gender and disability




Vol 1Sec 2 Page 316














HUMAN RESOURCE MANAGEMENT PSPHR611A Manage Organisational Design


Vol 1Sec 2 Page 317

Unit PSPHR611A Manage Organisational Design

Unit Descriptor This unit covers the requirements to develop and implement an organisational design strategy in order to maximise effective use of resources to attain strategic goals.



1 Identify needs and opportunities for improving the organisation’s design

1 Research and consultation with key stakeholders is undertaken to identify needs and opportunities for an improved or enhanced organisational design

2 Internal and external factors are analysed to gauge their current and future impact on the organisation and their implications for the organisation’s design

3 Changes to the organisation’s design are considered in consultation with key stakeholders and recommended design options forwarded to management

2 Develop an organisation design strategy

1 A design option which is consistent with organisational policy, legislation, and resource parameters is agreed with management and stakeholders

2 The selected design strategy is based on model of good practice in organisational design and is linked to attaining organisational strategic goals

3 Information and advice is prepared to facilitate effective implementation, monitoring and evaluation of the intervention strategy

3 Implement an organisational design strategy

1 Resources are obtained and deployed to implement the design strategy

2 Facilitation and advice are provided to support implementation and reports on progress are provided on a regular basis to key stakeholders

3 Systems are developed and used to monitor the effectiveness of the strategy and to determine necessary adjustments

4 Legislative and policy requirements are complied with in implementing the design strategy

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4 Evaluate the organisational design strategy

1 A valid and reliable evaluation methodology is identified and implemented to monitor outcomes of changed organisational design

2 A variety of information sources, including the perspectives of key stakeholders, is collected and analysed in order to determine the effectiveness and efficiency of the strategy

3 Recommendations on enhancements to the design strategy are formulated and any required corrective action noted

4 Modifications are made in line with agreed corrective action







Internal and external factors may include

• changes in stakeholder requirements • changes in technology • findings from internal data gathering exercises • reviews of organisational vision • industry trends

Organisational design refers to • the process of constructing and changing an organisation’s structure, system or work processes to maximise use of resources to attain the organisation’s strategic goals

Organisational design strategies may include:

• flattening the organisational hierarchy, increasing the autonomy of individual business units

• decentralisation and devolution of authority • outsourcing



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• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data • work level standards • design strategy objectives, budgets, timelines and allocated

resources



• the development of an organisational design strategy which facilitates effective organisational performance in relation to organisational strategic goals




PSPHR611A Manage Organisational Design HUMAN RESOURCE MANAGEMENT


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Underpinning knowledge • understanding of main approaches; to organisational design and their advantages and disadvantages

• contemporary industrial relations issues • internal and external factors which affect choices of

organisational structures and systems • understanding of link between organisational design and

attainment of an organisation’s strategic goals • knowledge of the impact of organisational structures on

management style and employee motivation • concept of outsourcing • awareness of industry trends • familiarity with national and/or international good practice

models and conceptions of organisation design • change management strategies • employee involvement strategies • human resource strategy and planning • relevant jurisdictional legislation which applies to human








of expression • discussion using exchange of complex oral and written

information • training, coaching, mentoring and facilitation skills • public relations skills • cross cultural competency including gender and disability






Vol 1Sec 2 Page 321











PSPHR701A Provide Strategic Leadership in Human Resources Management HUMAN RESOURCE MANAGEMENT


Vol 1Sec 2 Page 322

Unit PSPHR701A Provide Strategic Leadership in Human Resources Management

Unit Descriptor This unit covers the provision of strategic leadership in adding value to the attainment of the organisation’s goals.



1 Promote the importance of human resources

1 The value of human resources and human resource management in adding value to organisation strategic goals is promoted within and across business units

2 The organisation’s key stakeholders are informed as to what constitutes good practice in the area of human resource management and its potential impact

3 Future human resource trends and issues which might impact upon the organisation are identified and analysed and are communicated to senior management in conjunction with business units and line managers

4 The role of the human resources function, and its relationship with other management functions and stakeholders is negotiated, defined and communicated throughout the organisation

5 The benefits of a diverse workforce in meeting organisational needs are promoted within the organisation

6 Ethical human resources practices are encouraged and promoted within the organisation

2 Provide strategic direction in the development, implementation, and evaluation of human resource services

1 Human resources services which meet the current and future needs of the organisation and its human resources are identified, developed, implemented, monitored and evaluated

2 Human resources services and activities are developed in consultation with senior managers, business units and other stakeholders and are consistent with relevant legislative and policy requirements

3 Human resources services support the organisation’s core business strategic directions

4 Services provided are supported by information and documentation to facilitate effective implementation

HUMAN RESOURCE MANAGEMENT PSPHR701A Provide Strategic Leadership in Human Resources Management


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3 Manage the human resource function

1 Work teams are created to provide develop, implement, monitor and evaluate human resource services

2 Work teams and individuals are provided with adequate direction to enable them to design, implement, maintain and evaluate strategies, plans, programs and processes

3 Work teams and individuals are offered feedback and coached to facilitate the delivery of effective human resources services

4 Work teams and individuals are encouraged to ensure strategies, plans and processes meet the needs of a diverse employee, client and stakeholder base, and are consistent with legislative and policy requirements

5 Strategies, plans, programs and processes are regularly evaluated against their objectives and future organisational requirements and adjustments are made

6 Information about the effectiveness of human resource services is collected to inform ongoing decision-making processes, evaluation and product and service delivery design

7 Resources are acquired and maintained at sufficient levels to provide effective human resources services

8 A budget is prepared which reflects human resource service priorities



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• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data

Human resource services may include

• workplace planning and analysis • performance management • recruitment and selection • employee relations • employees support • separation of employees • information systems • career development • organisational development, remuneration and benefits • redeployment processes

HUMAN RESOURCE MANAGEMENT PSPHR701A Provide Strategic Leadership in Human Resources Management


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• the delivery of effective human resources services to the organisation which contribute to the attainment of the organisation’s strategic goals and business objectives



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Advanced Diploma level or above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC601A Maintain and Enhance Confidence in Public Service; PSPLEGN601A Manage Compliance with Legislation in the Public Sector

Underpinning knowledge • understanding of organisational goals, policies and procedures • understanding of the importance of human resource

management in attaining organisational goals • strategic planning processes • understanding of public sector strategic planning and its

relationship with human resource strategy • understanding of the relationships between key human

resource functions • deployment of financial resources • use of technological resources for strategic purposes • use information sources for strategic purposes • national and international models of human resource

management and functions • understanding of the concept of diversity and its integration

within and across all human resource functions and areas • EEO, equity and diversity principles • human resource policies and practices • relevant jurisdictional legislation which applies to human


Underpinning skills • effective consultation with stakeholders • public relations skills • project management and evaluation skills • strategic thinking skills • coaching, training and facilitation skills • influencing skills • negotiation skills • project management and evaluation skills • use of a variety of words and language structures to explain






Vol 1Sec 2 Page 326














HUMAN RESOURCE MANAGEMENT PSPHR702A Formulate a Strategic Human Resource Plan


Vol 1Sec 2 Page 327

Unit PSPHR702A Formulate a Strategic Human Resource Plan

Unit Descriptor This unit covers the requirement to formulate a strategic human resources plan which links the human resources function with the direction of business units and the organisation.



1 Identify key human resource issues arising from the organisation’s strategic plan

1 The organisation’s strategic plan is analysed with a view to determining key human resource issues for consideration and response

2 Internal/external factors likely to impact upon future human resource requirements are identified and considered

3 Workforce management data and turnover data are analysed to determine key human resource issues

4 Business units and senior management within the organisation are consulted for information on future requirements

2 Develop a plan to meet the human resource requirements of an organisation

1 The plan developed is based on data drawn from information sources, consultations with stakeholders, and good practice models, and is consistent with relevant legislative and policy requirements

2 Risks associated with planned strategies are identified and addressed

3 Strategies contained within the plan are consistent with the organisation’s strategic perspective

4 An appropriate budget is prepared to support the implementation of the plan

5 Performance indicators and relevant timeframes are prepared to provide a basis for monitoring

PSPHR702A Formulate a Strategic Human Resource Plan HUMAN RESOURCE MANAGEMENT


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3 Implement a human resource plan

1 Agreement on the plan is sought through consultation with other business units within the organisation

2 The human resource plan is documented and communicated to other business units in accordance with the needs of a diverse workforce

3 Human resource strategies are implemented in accordance with the plan and are monitored and revised against key performance indicators

4 Business units are given support in implementing the plan

4 Evaluate the effectiveness of the human resource plan


2 The plan is judged in accordance with its effectiveness in contributing to the achievement of the organisation’s strategic goals and business objectives

3 A range of information is utilised and analysed to provide a basis for the judgments to be made in relation to the plan’s effectiveness

4 Outcomes of the evaluation are reported with appropriate recommendations for enhancement of the plan, to inform ongoing planning



Vol 1Sec 2 Page 329








• basic statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data

Internal and external factors within the organisation’s

operating environment may include

• changed financial or political circumstances • downsizing or organisation restructuring • opportunities for outsourcing • changes in legislation or core business activities • changes in activities or aspirations of customers • organisational changes • labour market



Vol 1Sec 2 Page 330



• the development of a human resource plan that supports the attainment of the organisation’s strategic goals



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Advanced Diploma level or above. It is recommended that co-assessment occurs with some or all of the following units: PSPETHC601A Maintain and Enhance Confidence in Public Service; PSPLEGN601A Manage Compliance with Legislation in the Public Sector

Underpinning knowledge • understanding of organisational goals, policies and procedures

• understanding of importance of human resource management in attaining organisational goals

• strategic planning processes • understanding of the relationships between key human

resource functions • understanding of the concept of diversity and its integration

within and across all human resource functions and areas • EEO, equity and diversity principles • human resource policies and practices • relevant jurisdictional legislation which applies to human


Underpinning skills • effective consultation with stakeholders • marketing and public relations skills • strategic planning skills • strategic thinking skills • project management and evaluation skills • use of a variety of words and language structures to explain









Vol 1Sec 2 Page 331











Man

agem

ent

MANAGEMENT PSPMNGT601A Facilitate Workforce Effectiveness


Vol 1Sec 2 Page 335

MANAGEMENT COMPETENCY STANDARDS

Unit PSPMNGT601A Facilitate Workforce Effectiveness

Unit Descriptor This unit covers the facilitation of the business unit’s staff effectiveness to promote the attainment of strategic objectives.

Key Area Management


1 Provide leadership to individuals and work teams

1 Staff members are regularly consulted on business objectives, plans and operational issues to minimise role ambiguity and uncertainty

2 Roles, functions and responsibilities are agreed and are clearly defined and communicated

3 Opportunities for staff to clarify aspects of particular tasks or seek further direction are provided

4 Encouragement is provided to develop new and innovative practices, procedures, processes, technologies and strategies

5 Leadership and supervision is provided appropriate to changing priorities and situations

6 Leadership style and guidance take into account the differing needs and background of a diverse workforce

2 Create a co-operative work environment

1 Co-operation in the work environment is actively facilitated through balanced and fair work allocation and recognition of all contributions

2 Teams and individuals are encouraged to find styles of working which are consistent both with team and individual competencies, preferences and business unit objectives

3 Conflict management strategies facilitate a co-operative work environment

4 Co-operative and productive relationships with individuals and teams are established



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3 Motivate staff to achieve quality results

1 Individuals’ career progression requirements are recognised and balanced with team objectives

2 Feedback to staff is prompt, consistent and constructive

3 Achievements are promoted and rewarded in a way which openly acknowledges the contribution of individuals and teams

4 Team building strategies are applied to strengthen employee commitment

4 Exercise delegation to achieve business unit strategic objectives

1 Tasks are delegated to appropriate people and sufficient information is communicated and resources allocated to enable tasks to be completed successfully

2 Responsibilities are delegated while still accepting accountability for their success/failure

3 Mechanisms for monitoring the progress of delegated tasks are established and implemented

4 The effective delegation of tasks facilitates the attainment of business unit objectives


Business unit may refer to • a program

• sub-program

• cost centre

• area

• division

• branch

• production unit or section located within the organisation

Leadership refers to • the process of influencing others to engage in work behaviours that facilitate the attainment of the business unit’s strategic objectives

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Team building strategies may include

• defining and clarifying objectives

• strengthening communication processes

• clarifying ground rules and behavioural expectations

• fostering creativity

• offering constructive feedback

• facilitated meetings


Critical aspects of evidence • integrated demonstration of all elements and their performance criteria; and

• individuals and teams within the business unit receive adequate direction and are motivated to undertake work tasks which lead to the attainment of strategic objectives



Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Advanced Diploma level. It is recommended that co-assessment occurs with some or all of the following units:

PSPETHC601A Maintain and Enhance Confidence in Public Service; PSPLEGN601A Manage Compliance with Legislation in the Public Sector; PSPPOLI601A Manage Policy Implementation; PSPGOV601A Apply Knowledge of Government Systems; PSPGOV602A Establish and Maintain External Networks.

Underpinning knowledge • understanding of organisational goals, policies and procedures

• understanding of the concept of diversity and its integration within and across all human resource and management functions and areas

• EEO, equity and diversity principles • understanding of the relationship between effective human

resource functions and the attainment of business unit objectives

• familiarity with human resource policies and practices • understanding of group processes and facilitation techniques • team building strategies • knowledge of the organisation’s career and human resource

development strategies, programs and plans • understanding of conflict resolution strategies • relevant jurisdictional legislation as applicable to management

and human resource management functions



Vol 1Sec 2 Page 338

Underpinning skills • delegation skills • conflict resolution skills • team building skills • facilitation, negotiation and consultation skills • counselling skills • consensual decision-making skills • use of a variety of words and language structures to explain

complex ideas to audiences • interpreting and explaining complex, formal documents and
















MANAGEMENT PSPMNGT602A Manage Resources


Vol 1Sec 2 Page 339

Unit PSPMNGT602A Manage Resources

Unit Descriptor This unit covers the requirement to manage resources within the business unit in accordance with planned business strategies.

Key Area Management


1 Analyse resource requirements

1 Resource bids are developed in line with outputs identified in business plans

2 Key stakeholders are consulted in determining the nature and level of resources required

3 Analysis of resource requirements identifies proposed costs and benefits

4 Opportunities to share resources across business units within the organisation are identified

5 Resources are negotiated and acquired in accordance with legislative requirements, and organisational policy and procedures

2 Develop resource plans to support achievement of business unit objectives

1 Resource plans developed detail the acquisition and allocation of resources, and their relationship to strategies, contingencies, plans, programs and processes

2 Internal resourcing capabilities and external resourcing requirements are identified

3 Resource plans identify procedures for the evaluation of resource allocation

4 Approval for resource plans is obtained from senior management

3 Allocate resources to achieve stated business objectives

1 Resources are allocated in accordance with relevant legislation, organisational policy and practices

2 Resource allocation is managed to enable achievement of business unit objectives

3 Required resources are obtained within a timeframe to enable achievement of business unit objectives

4 Systems are developed and implemented to enable timely and accurate monitoring and review of resource usage

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5 Efficient use of technology is incorporated into work practices

4 Review and report on resource usage

1 Procedures to review resource allocation against business unit objectives are developed and implemented

2 Compliance with program and project budgets is monitored and corrective action is recommended and actioned where necessary

3 Reports clearly indicate the level of performance achieved and any action taken to adjust or rectify procedures in meeting service and product delivery standards






Business strategies may include

• programs, projects, processes and plans used to attain the business unit’s strategic objectives

Resources include • human, physical, financial, technological and information resources

Technology may include • computers and computer software • photocopiers • communication systems

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Stakeholders may include • all those individuals and groups both inside and outside the organisation, which have some direct interest in the organisation’s behaviour, actions, products and services. They may include employees at all levels of the organisation




• available resources are deployed effectively to facilitate the attainment of strategic business unit objectives and organisational goals




PSPETHC601A Maintain and Enhance Confidence in Public Service; PSPLEGN601A Manage Compliance with Legislation in the Public Sector; PSPPOLI601A Manage Policy Implementation; PSPGOV601A Apply Knowledge of Government Systems; PSPGOV602A Establish and Maintain External Networks.

Underpinning knowledge • resource plans • financial management processes • understanding of budgetary processes • business strategies • strategic planning processes • understanding of risk management concepts • understanding of organisational goals, policies and





• familiarity with human resources policies and procedures • relevant jurisdictional legislation as applicable to management


PSPMNGT602A Manage Resources MANAGEMENT


Vol 1Sec 2 Page 342

Underpinning skills • effective consultation with stakeholders • negotiation skills • written advice and reports requiring reasoning and precision

of expression • discussion using complex exchange of oral information • budget skills • financial management skills • cross cultural competency including gender and disability














MANAGEMENT PSPMNGT603A Facilitate People Management


Vol 1Sec 2 Page 343

Unit PSPMNGT603A Facilitate People Management

Unit Descriptor This unit covers the implementation of people management strategies, plans and processes within the business unit in co-operation with specialist human resources personnel.

Working Area Management


1 Undertake human resource planning

1 Human resource needs are determined/reviewed within the anticipated business unit needs and the allocated budget

2 Existing competencies of staff are compared with the needs of the business unit

3 Alternatives to staffing levels are developed which meet key provisions of the human resource plan

4 Human resources are recruited, selected and separated in accordance with business needs

2 Manage the performance of individuals

1 Performance management criteria are identified and agreed upon

2 Performance management processes are applied to all staff

3 Performance management processes are equitable and implemented in accordance with legislative requirements, and organisational policy and practices

4 Performance management meetings, interviews and discussions are conducted within the principles of industrial democracy and participative, consultative processes

5 Sub-standard performance is dealt with in a constructive and timely manner, and in accordance with organisational policy and practices

6 Areas identified for improvement are addressed through selection and implementation of training and development strategies

7 Information about training and development activities is made available to staff

8 Staff are encouraged to improve their work performance through regular feedback, and through reflecting and acting on workplace experiences

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3 Manage grievance procedures

1 Grievances and complaints are managed promptly and in a manner which optimises the likelihood of a positive outcome

2 Individuals rights and obligations under industrial awards/agreements and legislation are documented and communicated in a clear and concise manner

3 Meetings and interviews are conducted within the principles of industrial democracy and participative, consultative processes

4 Counsel employees

1 Counselling is offered to support employees in relation to work difficulties, career aspirations and personal difficulties

2 Techniques and style are appropriate to the situation and cater for a diverse workforce base

3 Active listening skills are applied to formulate responses to employees

4 Referrals to appropriate support professionals and agencies are made to facilitate employee performance and well being

5 Employee confidentiality is maintained

5 Manage employee

rehabilitation

1 A return to work program is established for an injured worker in consultation with the employee and a rehabilitation specialist

2 A system is established to monitor the return to work program

3 Records of the work program are maintained in accordance with organisational policy and legislative requirements



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Performance management refers to

• planning and review of the on-the-job performance of individuals and groups of employees

Performance management processes may include

• planning • measurement • reviews and appraisals • monitoring • evaluation • feedback

Development of individuals and teams may be developed

through

• mentoring and coaching • action learning sets • seminars, conferences and workshops • tertiary courses • in-house courses • computer-based courses • higher duties • job exchange • industry experience • secondments

Information about development opportunities may be

communicated through

• written documentation • manuals • policy and procedure statements, guides • information brochures and pamphlets • oral advice and guidance • one on one meetings • small group meetings • telephone contact and/or electronic mail

Recruitment and selection processes may include

• job analysis • job description • job evaluation • recruitment advertising • use of external agencies • application processing • competency profiling • job classifications

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• effective people management strategies which facilitate the attainment of business unit objectives




PSPETHC601A Maintain and Enhance Confidence in Public Service; PSPLEGN601A Manage Compliance with Legislation in the Public Sector; PSPPOLI601A Manage Policy Implementation; PSPGOV601A Apply Knowledge of Government Systems; PSPGOV602A Establish and Maintain External Networks

Underpinning knowledge • understanding performance management processes • recruitment, selection and induction procedures • range of training and development strategies • principles of adult learning • range of facilitation techniques • development needs analyses techniques • understanding of the concept of rehabilitation • competency concept • grievance procedures • counselling techniques • employee assistance services • understanding of organisational goals, policies and





• understanding of organisational goals, policies and procedures

• knowledge of the organisation’s career and human resource development strategies, programs and plans

• understanding of conflict and grievance resolution strategies • familiarity with human resources policies and procedures • relevant jurisdictional legislation as applicable to management




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Underpinning skills • internal marketing and public relations skills • training, coaching, mentoring and facilitation skills • negotiation and counselling skills • conflict and grievance resolution skills • internal marketing • use of a variety of words and language structures to explain

complex ideas to different audiences • written advice and reports requiring reasoning and precision















PSPMNGT604A Manage Change MANAGEMENT


Vol 1Sec 2 Page 348

Unit PSPMNGT604A Manage Change

Unit Descriptor The unit covers the development, coordination and evaluation of a change management strategy in response to either imposed or business unit initiated change.

Key Area Management

Element Performance Criteria 1

1 Confirm the need for change

1 The need for change is determined through consideration of factors impacting upon the business unit and/or the organisation

2 Key stakeholders are consulted in establishing the need for change

3 The need for change is confirmed through analysing proposed change in relation to business unit strategic objectives

•

2 Develop a change management strategy

1 A change management strategy is prepared participatively with key stakeholders

2 The individuals, groups and others to be affected by change are identified and the strategy is clearly explained

3 The requirements and outcomes for change are clearly communicated

4 The likely impact of the proposed change to employees within the business unit is clearly explained

5 Employee relations implications of change processes are clearly identified and communicated to the business unit

6 Options and specific proposals for change and their consequences are discussed with senior staff

7 Future trends and organisational needs are discussed and considered in the process of developing strategies for dealing with change

8 Change management activities comply with the framework provided by relevant legislation and organisational policy

9 Time schedules and performance standards for change management strategies are devised

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10 Approval to implement the chosen change management strategy is sought from senior management

•

3 Foster commitment to workplace change

1 A range of strategies is used to foster a positive attitude to change

2 Advice is provided to staff on the requirements for effective change management

3 Resources required to implement change within the business unit are obtained and used

4 Relevant leadership strategies are used to assist others to adapt to change

•

4 Implement a change management strategy

1 A system is developed to monitor the impact of change

2 Policies, practices and procedures are altered and implemented as required to support the change management strategy

3 Priorities are identified and reviewed in light of changing circumstances

4 Adjustments to the change management strategy are implemented as a result of monitoring

•

5 Evaluate the effectiveness of change


2 The strategy is evaluated in accordance with expected outcomes for change

3 A variety of information, including the perspectives of key stakeholders, is sought and utilised

4 Recommendations on appropriate enhancements to the change strategy are formulated and acted upon to inform subsequent change processes

5 The outcomes of evaluation are communicated to relevant personnel



Vol 1Sec 2 Page 350








Change management may include

• change imposed from senior management through organisational development or design strategies

• change initiated at the business unit level

Strategies to foster commitment to change may

include

• team building • process consultation • action learning/research • staff development and training

Leadership strategies may include

• offering guidance and direction • mentoring • coaching • positive role modelling • training and support


include

• statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback, organisational reviews • workforce management data

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• effective change management strategy is developed and implemented within the business unit





Underpinning knowledge • change management strategies • project and resource management strategies • effects of change • industrial relations issues as applicable to change processes • negotiation processes • key factors in the internal and external operating

environment • understanding of the concept of diversity and its integration




• understanding of organisational goals, policies and procedures

• knowledge of the organisation’s career and human resource development strategies, programs and plans

• familiarity with human resources policies and procedures • relevant jurisdictional legislation as applicable to management


Underpinning skills • effective consultation with stakeholders • budgeting skills • negotiation and counselling skills • conflict resolution skills • influencing skills • project management and evaluation skills • use of a variety of words and language structures to explain






Vol 1Sec 2 Page 352














MANAGEMENT PSPMNGT605A Manage Diversity


Vol 1Sec 2 Page 353

Unit PSPMNGT605A Manage Diversity

Unit Descriptor This unit covers utilising diversity as productive resource to maximise business unit and/or organisational effectiveness.

Key Area Management

Element Performance Criteria 1 1 Contribute to the

development, implementation and review of a diversity strategy to maximise business unit and/or organisational effectiveness

1 A strategy is developed which identifies diversity issues and provides strategies to enhance organisational effectiveness

2 The strategy identifies benefits and opportunities provided by diversity

3 The strategy links diversity with the core business of the business unit, the organisation’ strategic goals and the demographic profile of the client base

4 The strategy is developed in consultation with stakeholders, including people from key equity groups and the organisation’s clients

5 The strategy provides a mechanism through which diversity issues can be integrated within organisational policies and procedures, for example, recruitment and selection

6 The effectiveness and efficiency of the strategy in achieving business objectives is monitored and reviewed according to its specifications and recommendations for enhancements are identified and acted upon

7 The strategy complies with legislative requirements, and organisational policies and practices

8 The strategy is promoted within the business unit and/or organisation

2 2 Facilitate the

development of a workforce that promotes and values diversity

1 Benefits of a diverse workforce are identified, modelled and communicated to those working within the business unit and/or the organisation

2 Initiatives and resources to advance the position of equity groups within the organisation or business unit are developed and/or adopted

3 Individual competencies, styles and qualities are identified and used to address business needs

4 The diversity factors associated with individuals within the business unit are identified and utilised to address business needs

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5 Diversity training and awareness programs are utilised, as appropriate, to promote and encourage the benefits of a diverse workforce

6 A range of working styles that are reflective of a diverse workforce are accepted and encouraged

7 Assistance is provided to maximise individual contribution to the attainment of the business unit’s objectives

8 Strategies are applied to resolve grievance and complaints to maximise the benefits obtained through a diverse workforce

3

3 Communicate with a diverse workforce

1 Language, literacy and numeracy issues are identified and addressed to facilitate full participation of all members of the business unit in work and development activities

2 A range of communication strategies are employed within the business unit to meet the needs of a diverse workforce base

3 The target audience is identified and tailored communications strategies are adopted

4 Resources to facilitate effective communication within the workplace are identified and utilised

5 Ineffective and inappropriate communication strategies are identified and remodelled to meet the information needs of a diverse workforce



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Range of Variables




• Commonwealth and State/Territory legislation including EEO and anti-discrimination law (for example: Commonwealth Racial Discrimination Act, Commonwealth Human Rights and Equal Opportunity Activity, Commonwealth Sex Discrimination Act, Commonwealth Disability Discrimination Act)


Diverse workforce refers to a workforce comprising employees with differences in • age • gender • physical capability • race • ethnicity • religion • marital status • sexual orientation • socio-economic status • educational background • personality styles • interests • learning styles • working styles

A Diversity strategy • is a written or unwritten expression of what a business unit or organisation intends to do to utilise diversity as a productive resource in order to maximise effectiveness and efficiency

Methods of promoting diversity plans may include


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Benefits and opportunities of diversity in the workplace may

include

• improved client service • wider sources of recruitment • greater responsiveness to change • cultural enrichment • promotion of creativity • retention of staff • community public relations, facilitation of attainment of

organisation goals


• small group information sessions • use of plain English • translated information • use of bilingual staff

Organisational policies and procedures may include

• recruitment and selection • training and development • performance management • promotion and retention of staff • employment conditions • organisational mission and values statements



Evidence Guide



• effective management, promotion and utilisation of diversity to enhance business unit and organisational effectiveness and efficiency







Vol 1Sec 2 Page 357

Underpinning knowledge • understanding of the organisation’s strategic goals and their implications for current and future human resource requirements

• human resource strategy and planning • understanding of the relationships between effective



• EEO, equity and diversity principles • understanding of organisational goals and policies • relevant jurisdictional legislation which applies to

management and human resource management • human resources policies, practices and procedures

Underpinning skills • effective consultation with stakeholders • conflict resolution, negotiation and grievance resolution skills • mentoring, coaching and facilitation skills • use of a variety of words and language structures to explain

complex ideas to diverse audiences • interpreting and explaining complex, formal documents and


of expression • use of plain English in written documents • cross cultural communication skills • discussion using exchange of complex oral information • cross cultural competency including gender and disability














PSPMNGT606A Manage the Delivery of Quality Client Service MANAGEMENT


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Unit PSPMNGT606A Manage the Delivery of Quality Client Service

Unit Descriptor This unit covers the promotion, delivery and ongoing review of client service within complex or changing circumstances.

Key Area Management


1 Analyse client needs

1 Key stakeholders and clients are consulted to determine options for addressing client needs

2 Understanding of options for service delivery is used to match client service to clients needs

3 Appropriate and accurate records of client needs are developed and maintained

4 Client requirements are identified and reviewed routinely to ensure that needs will be met

5 Service delivery is reviewed routinely to ensure it satisfies requirements of clients

2 Deliver service which satisfies changing client requirements

1 Clients are provided with current and relevant information and materials

2 Service delivery is successfully negotiated and finalised as required

3 Client service delivery reflects current good practice

4 Problems in client service delivery are identified and addressed

3 Secure employee commitment to the provision of client service

1 A consultative approach within the business unit is adopted to formulate service delivery standards

2 Sections, workgroups and individuals are encouraged to suggest and action strategies to improve service delivery

3 Quality client service provided by individuals or workgroups is identified and recognised

4 Quality client service is modelled for employees within the business unit

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4 Promote client service

1 Service to potential clients is marketed effectively

2 Potential areas of difficulty in client services are identified and solutions recommended

3 Client concerns about the service are resolved and complaints of a serious nature referred to senior staff

4 Responses to clients are actioned within an acceptable time frame

5 Analyse and review client services

1 Relevant information on markets and trends is used to review client service delivery

2 Performance indicators are developed to monitor client service delivery

3 The provision of client services complies with legislative requirements and organisation policy





PSPMNGT606A Manage the Delivery of Quality Client Service MANAGEMENT


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Clients may include • individual members of the public • end users and sponsors • potential providers or suppliers • current providers/suppliers • technical or functional experts or advisers • Federal, State/Territory and/or Local Government the

organisation • other public sector organisations • employees • unions or staff associations • industry bodies • local communities and society as a whole • lobby groups • special user groups

Client services may include • any service relevant to the agency






• the establishment and maintenance of a network of clients • the requirements of specific groups are incorporated in all

aspects of client service work; and • positive feedback from clients





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Underpinning knowledge • legislative and regulatory frameworks influencing the provision of client services

• current developments in effective client services delivery • understanding that the provision of client service is always

constrained by the availability of resources and that it is likely that client needs have to be prioritised and rationed

• understanding of the organisation’s strategic goals and their implications for future human resource requirements

• understanding of the relationships between effective management of diversity and satisfying client needs


• EEO, equity and diversity principles • understanding of organisational goals and policies • understanding of evaluation/review strategies and

methodologies

Underpinning skills • marketing and promotion skills • literacy skills used in oral and written clarification of issues • negotiating variations and changes with clients • using language and style for written submissions • using technical and other vocabulary • use of a variety of words and language structures to explain



of expression • discussion using exchange of complex oral information • networking skills with clients, suppliers and stakeholders • evaluation skills • project management and evaluation skills • cross cultural competency including gender and disability














PSPMNGT607A Develop a Business Case MANAGEMENT


Vol 1Sec 2 Page 362

Unit PSPMNGT607A Develop a Business Case

Unit Descriptor This unit covers market analysis, development and costing of options, and justification for a recommended business solution.

Key Area Management


1 Research a business case

1 Analysis of key stakeholder requirements clarifies objectives

2 Research considers a range of factors to identify opportunities and constraints

3 Market analysis is conducted in accordance with organisational policy and procedures

2 Examine business solutions

1 Business and technical impacts and risks are analysed

2 Alternative solutions and their financial implications are canvassed and discussed with senior management

3 Construct a business case

1 Options are developed and the impacts, risks and costs of each are determined

2 Recommendation is made and justified

3 Implementation plan is developed which contains risk strategies, performance measures, responsibilities and timelines

4 Finalise a business case

1 Approvals and management endorsement are obtained in accordance with organisational policy and procedures

2 Marketing and evaluation strategies are finalised in accordance with organisational requirements

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Stakeholders may include • all those Individuals and groups both inside and outside the organisation, which have some direct interest in the organisation’s behaviour, actions, products and services. They may include employees at all levels of the organisation


Factors to be considered in research phase may include

• required outcomes • government policy and direction • links to organisational goals and objectives • market capabilities • needs analysis • background and current situation • funding availability • timing • interdependency with other activities • constraints • cost benefit ratio • consultative processes • ownership/ sponsorship

Market analysis may include • structure of and ‘players’ in the market • market capability • market maturity • market strength • factors/conditions which may affect supply • potential impact of intended activity • environmental issues



• national and international codes of practice and standards • the organisation’s policies and practices • government policy • codes of conduct • national competition policy

Risk analysis may include • financial matters • people • assets and physical environment • reputation and image • legal issues • business continuity • political impact • community interest

PSPMNGT607A Develop a Business Case MANAGEMENT


Vol 1Sec 2 Page 364

Information sources used in risk assessment may include

• computer modelling • sensitivity analysis • structured interviews • statistical data • questionnaires • fault trees • analysis of consequences – loss of money, time, labour, intangibles



• implementation of business case recommendations.





Underpinning knowledge • government and organisational policies and practices • legal requirements related to the activity • relevant financial and accounting issues • whole-of-life considerations • approval processes • trade practices law • commercial law and relevant legislation • law of contract • understanding of the relationships between effective



• EEO, equity and diversity principles • understanding of organisational goals and policies • relevant jurisdictional legislation which applies to

management and human resource management

MANAGEMENT PSPMNGT607A Develop a Business Case


Vol 1Sec 2 Page 365

Underpinning skills • consultation skills • financial / other resources management skills • using language and style for written submissions • using technical and other vocabulary • use of a variety of words and language structures to explain

















PSPMNGT608A Manage Risk MANAGEMENT


Vol 1Sec 2 Page 366

Unit PSPMNGT608A Manage Risk

Unit Descriptor This unit covers maximising results and minimising consequences for a business unit activity by identifying, analysing and responding to evident and possible risk.

Key Area Management


1 Establish the risk management context

1 Criteria for risk assessment are identified

2 Structures to be used in risk management are defined

3 Risk management criteria and structures are compliant with legislation and organisational policy and procedures

4 Risk management criteria and structures provide guidance on balancing risk, costs, benefits and opportunities

5 As risk management criteria and structures are monitored, reviewed and adjusted they ensure opportunities and current and emerging trends are reflected

2 Plan for risk management in a specific activity

1 Potential, perceived and actual risks are identified, assessed and documented in consultation with stakeholders, as the basis for risk management planning in a specific activity

2 Risk management methods, techniques and tools are selected and modified as necessary to analyse information, evaluate options and determine preferred risk approaches

3 Risk management plans and strategies are developed, communicated to the client and key stakeholders to ensure clarity and achievement of objectives throughout the activity’s life cycle

4 A risk management system is developed and maintained to enable effective management of risks

MANAGEMENT PSPMNGT608A Manage Risk


Vol 1Sec 2 Page 367


3 Manage risk

1 Activity is managed in accordance with agreed risk management plans

2 Performance is reviewed, variance is analysed and risk responses initiated to achieve objectives with minimal disruption and conflict

3 Internal and external risks to outcomes are monitored and remedial actions are initiated to achieve business unit objectives

4 Evaluate the risk management plan


2 Outcomes are reviewed and analysed to assess the effectiveness of the risk management system

3 A variety of information, including the perspectives of key stakeholders, is sought and utilised

4 Recommendations on appropriate enhancements to the plan are formulated and acted upon to inform subsequent change processes

5 The outcomes of evaluation are communicated to relevant personnel





• national and international codes of practice and standards • the organisation’s policies and practices • government policy • codes of conduct • national competition policy



Vol 1Sec 2 Page 368

Clients may include • end users and sponsors • potential providers or suppliers • current providers/suppliers • technical or functional experts or advisers • Federal, State/Territory and/or Local Government • the organisation • other public sector organisations • employees • unions or staff associations • industry bodies • local communities and society as a whole • lobby groups • special user groups

Stakeholders may include • all those individuals and groups both inside and outside the organisation, which have some direct interest in the organisation’s behaviour, actions, products and services.

They may include • employees at all levels of the organisation • other public sector organisations • union and association representatives • boards of management • government • ministers

Risk management refers to • a logical and systematic process of identifying, analysing, assessing, treating, and monitoring risks related with any strategy’ plan, process, program or procedure that will enable the organisation to minimise losses and maximise opportunities

• Risk management may be considered in relation to an organisation’s people, assets and physical environment, reputation and image, legal issues, business continuity, and finances



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Vol 1Sec 2 Page 369



• development, implementation and evaluation of a risk management strategy which is compliant with legislation and organisational policy and procedures





Underpinning knowledge • Commonwealth, State/Territory, Local Government guidelines

• government and organisational policies and practices • financial rules and regulation requirements • legal requirements related to the activity • implications of legal agreements • whole-of-life considerations • approval processes • strategic planning processes • law of contract • trade practices law • commercial law and relevant legislation • relevant financial and accounting issues • range of evaluation methodologies • EEO, equity and diversity principles

Underpinning skills • project management skills • financial / other resources management skills • problem solving using conceptual and reasoning skills • networking skills with clients, suppliers, stakeholders and end

users • using language and style for written submissions • using technical and other vocabulary • use of a variety of words and language structures to explain






Vol 1Sec 2 Page 370














MANAGEMENT PSPMNGT609A Formulate Business Strategies


Vol 1Sec 2 Page 371

Unit PSPMNGT609A Formulate Business Strategies

Unit Descriptor This unit covers the requirement to develop, implement and review business strategies to attain the business unit’s strategic objectives.

Key Area Management


1 Define and implement business strategies

1 Business unit objectives are formulated in accordance with the unit’s strategic priorities

2 Strategies developed relate to the business unit’s strategic objectives

3 Strategies are developed in consultation with key stakeholders including other business units and organisations

4 Strategies and associated objectives are delegated to operational levels within the business unit

5 Strategies are delegated to individuals, teams and groups in a manner which ensures understanding, and commitment

6 Individuals, teams and groups are given information in relation to strategies which specifies output targets and performance standards

7 A system which includes key performance indicators is developed to monitor the implementation and effectiveness of strategies

2 Review the effectiveness of business strategies

1 Strategies developed to attain the business unit’s strategic objectives are reviewed in a timely fashion

2 Strategies are reviewed in relation to attainment of key objectives, budgets, resources and timelines

3 Multiple perspectives are considered in determining the effectiveness of strategies

4 The effectiveness of the strategy is reviewed against key performance indicators

5 Recommendations on appropriate enhancements to the strategies and plans are formulated and acted upon

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Vol 1Sec 2 Page 372


3 Manage risk associated with business strategies

1 Risks associated with the implementation of the business unit’s strategies are identified and evaluated

2 Risk levels are assessed as acceptable or unacceptable and balanced against opportunities afforded by taking risks

3 Information sources are utilised to assess levels of identified risks

4 Risk treatments are selected and implemented

5 Risk treatments are monitored and reviewed







• small group information sessions • computerised communications • in-house publications • oral presentations

Business strategies may include

• programs, projects and plans used to attain the business unit’s strategic objectives

Risk management refers to • a logical and systematic process of identifying, analysing, assessing, treating, and monitoring risks related with any strategy’ plan, process, program or procedure that will enable the organisation to minimise losses and maximise opportunities. Risk management may be considered in relation to an organisation’s people, assets and physical environment, reputation and image, legal issues, business continuity, and finances.

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Vol 1Sec 2 Page 373



Information for review sources may include

• statistical analyses • interviews with stakeholders • surveys • focus groups interviews • research on existing programs • solicited and unsolicited feedback • organisational reviews • workforce management data



• business strategies reflective of the unit’s strategic priorities are developed and implemented.

Interdependent assessment of units Pre-requisite units: Nil Co-requisite units: Nil Co-assessed units: This unit may be co-assessed with any of the generalist public sector specific units at Advanced Diploma level. It is recommended that co-assessment occurs with some or all of the following units:


Underpinning knowledge • strategic planning processes • business strategies • risk management concepts • human resource policies, practices and procedures • concept of ‘whole of government’ approach • business strategies • strategic planning processes • understanding of organisational goals, policies and

procedures • evaluation and review methodologies • understanding of the relationships between effective


• relevant jurisdictional legislation as applicable to management and human resource management functions


• EEO, equity and diversity principles

PSPMNGT609A Formulate Business Strategies MANAGEMENT


Vol 1Sec 2 Page 374

Underpinning skills • effective consultation with stakeholders • negotiation skills • influencing skills • environmental scanning skills • project management and evaluation skills • use of a variety of words and language structures to explain

















MANAGEMENT PSPMNGT701A Provide Strategic Direction


Vol 1Sec 2 Page 375

Unit PSPMNGT701A Provide Strategic Direction

Unit Descriptor This unit covers the requirement to provide strategic direction for the business unit.

Key Area Management

Element Performance Criteria 1 Analyse factors in

business unit’s operating environment.

1 The organisation’s purpose and direction within the overall government strategy are analysed with a view to determining key factors and issues for consideration and response by the business unit

2 The organisation’s strategic priorities are analysed with a view to determining key factors and issues for consideration and response by the business unit

3 Internal and external factors likely to impact upon the business unit are continually monitored and analysed

4 Good practice models related to the nature of the unit’s core business are explored

5 The organisation’s culture and values are clarified to inform planning processes

6 Client needs and preferences are identified and analysed

7 Legislation and organisational policies and practices which might impact upon the business unit’s operation are identified and analysed

2 Develop and coordinate a strategy for determining the business unit’s strategic priorities

1 Consultation with the business unit’s key stakeholders are based on factors in the unit’s key operating environment

2 Consultation with stakeholders is conducted in manner which maximises their commitment and contribution

3 Constructive solutions are found where stakeholders are in conflict

4 Analysis and evaluation of information gained from a variety of sources, including key stakeholders, is used to identify strategic options for prioritisation

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Vol 1Sec 2 Page 376


3 Formulate and communicate strategic priorities for the business unit

1 Strategic priorities are developed which support the overall government strategy

2 Strategic priorities are developed which embody the organisation’s values, beliefs and philosophy

3 Strategic priorities for the business unit which draw together the suggestions and interests of stakeholders are formulated

4 The strategic priorities embody a vision for the future of the business unit and set out challenging but realistic objectives

5 The strategic priorities encourage staff to be creative and innovative in their approach to attaining the business unit’s objectives

6 The strategic priorities of the business unit are communicated to stakeholders using a variety of strategies and in such a way to attract their support


Business unit may refer to • a program • sub-program • cost centre • area • division • branch • production unit or section located within the unit




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Vol 1Sec 2 Page 377

Stakeholders may include • all those individuals and groups both inside and outside the organisation, which have some direct interest in the organisation’s behaviour, actions, products and services.

They may include • employees at all levels of the organisation • other public sector organisations • union and association representatives • boards of management • government • ministers

Good practice models may include

• state, national and international models

Evidence Guide



• strategic direction for the business unit is developed and communicated





Underpinning knowledge • strategic planning processes • business strategies • concept of benchmarking • organisational strategic priorities • understanding of organisational goals, policies and

procedures • organisational values, beliefs, philosophy • government direction, purpose and policies • understanding of the concept of ‘whole of government’

approach • risk management concepts • understanding of the relationships between effective



• EEO, equity and diversity principles • understanding of organisational goals and policies

PSPMNGT701A Provide Strategic Direction MANAGEMENT


Vol 1Sec 2 Page 378

Underpinning skills • effective consultation with stakeholders • negotiation and influencing skills • environmental scanning skills • influencing skills • use of a variety of words and language structures to explain

















Frau

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FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU401A Interrogate Data


Vol 1Sec 2 Page 381

FRAUD PREVENTION, DETECTION AND INVESTIGATION COMPETENCY STANDARDS

Unit PSPFRAU401A Interrogate Data

Unit Descriptor This unit covers the collection of data from a wide variety of sources and its input into appropriate data management systems.

Key Area Fraud Prevention, Detection and Investigation


1 Collate data

1 Data collated is compatible, useful, relevant, reliable, valid and timely

2 Data is organised in prescribed form in accordance with the identified information needs and uses

3 Data is checked for accuracy, suitability, relevance and compliance with legal and privacy responsibilities and security

4 Ways to improve data content, interfaces or usefulness are monitored and recommendations made to supervisors

2 Interrogate data

1 Quantitative and/or qualitative analysis are performed to obtain required outcome

2 Analysis and description tools and techniques are appropriate given the nature of the information and the required outcome

3 Priority of data to be interrogated is determined in consultation with appropriate people and work organised accordingly

4 Analysis of material reflects understanding of the nature of the program or activity from which the data is obtained, an understanding of the way in which the information is structured in the system and likely indications of fraud activities

5 Preliminary recommendations are expressed in the detail, format and timeframe required



Vol 1Sec 2 Page 382


3 Monitor for indicators of fraud

1 Fraud or possible fraud situations are identified and staff and systems alerted

2 Where indicators arise for which there are no precedents, information is referred to the appropriate people for further analysis

3 Trends indicating activities outside control limits are reported for further analysis and investigation

4 Checks are made for internal consistency and compliance with established structure, rules and authorities for accessing information

5 Variations from standards and guidelines are reported


Fraud control data may Include • electronic systems • paper based systems • clients • other individuals and organisations

Clients may include • those internal and external to the organisation

Purposes for data analysis may include

• response to ongoing or individual requests for information from specified people to check for particular information

• matching data as part of a random check

Technical tasks may include • need to liaise with specialists

Actions resulting from data interrogation may include

• investigation • legislative change • administrative change • policy change • improved fraud referral to another organisation for investigation

Stakeholders may include • staff and senior management • clients • law enforcement agencies • organisations providing data • standards setting organisations

Guidelines may include • relevant legislation and guidelines prepared by relevant standards setting organisations



Vol 1Sec 2 Page 383



• effective management of data abiding by all agency guidelines, formats and systems

• correct recording of data into information systems • data matching to identify factors required by investigation • collation and organisation of data to assist investigation • interrogation of data to detect patterns indicating fraud



Co-assessed units: PSPFRAU402A Receive and Validate Information

Underpinning knowledge • relevant privacy, confidentiality or specific legislation and guidelines issued by standards setting organisations

• organisation’s programs and client base • legislation and corresponding links with the organisation’s

programs • how data is managed within the organisation

Underpinning skills • communication • computer • research • data management • analytical


Consistency of performance knowledge and performance to be assessed over time to confirm consistency in approach

Context/s of assessment • this competency should be assessed on-the-job where possible or in a simulated work environment

Evidence may be gathered by observation of: • the extent to which data is carefully and systematically

collected from a wide variety of sources • whether data is entered into data management systems

according to organisational procedures • how data handling complies with legislative and organisational

guidelines • frequency of notifications of observed trends and possible

fraud occurrences



Vol 1Sec 2 Page 384











FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU402A Receive and Validate Information


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Unit PSPFRAU402A Receive and Validate Information

Unit Descriptor This unit covers activities related to handling information received from a variety of sources which may then be referred for further action or acted upon.



1 Enter selected information into case management system

1 Accurate recording is carried out in line with organisational procedures confirming relevant details of source

2 Relevant bodies/organisations are informed as required to alert them to possible fraud and how information received may impact on their clients

3 Initial selection is completed using preliminary cull to eliminate doubtful data

4 Useful and useable information is selected and organised in a form that is accessible to investigators

2 Verify authenticity of information

1 Records are checked for supporting evidence

2 Inaccuracies and gaps are identified

3 Validation or corroboration carried out with client and organisational information as well as information from outside organisations and other sources

3 Identify offence(s),potential witness(es) and suspect(s)

1 Alleged offence(es) are identified from available information

2 Elements of offence(s) are identified and described using correct procedures

3 Suspect(s) identified from available information

4 Potential witness(es) identified from available information

5 Complainants are handled in accordance with organisational guidelines which may indicate referral to more senior management

6 Appropriate organisation staff are alerted to the possibility of threats to operational security, publicity and/or further fraud activities

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4 Recommend course of action

1 Policy areas that may be affected by information received are identified and informed at the appropriate time so that usefulness of information will not be subsequently restricted

2 Timely consultation with prosecution and police agencies and management is undertaken to prevent gaps occurring in evidence collection and to gain advice on best methodology to adopt

3 Decision is documented showing reasons for proceeding/not proceeding or taking other action, after discussion with management

4 Other relevant organisations are informed if appropriate


Information may include • written, verbal or electronic • voluminous quantities that should be checked for age,

compatibility and validity • information about clients and staff

Information sources may include

• clients and staff

Indicators may include • coincidence as an initial pointer to an area for further investigation • emerging patterns of incidents or behaviours or ‘trends’

Cross referencing may include • on-line, through file and document search or in person • sources that are found in several locations

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• collection of information targeted towards needs of investigation including the identification of witnesses, suspects and offences

• collection and management of information according to judicial, legislative and organisational guidelines

• recognition of sources of information to ensure that further information is received when required

• information being correctly recorded according to organisational guidelines and formats

• recommendations being made for further investigation arising from information received



Co-assessed units: PSPFRAU401A Interrogate Data Underpinning knowledge • relevant complaints handling, freedom of information, privacy

and criminal offences legislation • prosecution policy of the jurisdiction • protected disclosure legislation • investigation priorities • other particular legislation impacting on organisation

Underpinning skills • analytical • research • project management • negotiation



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Context/s of assessment • this unit should be assessed on-the-job where possible or in a simulated work environment

Evidence for assessment may be gathered by: • observation of how effectively information is handled with

reference to agency needs and guidelines • questioning to ascertain whether suitable criteria for

establishing validity and reliability are understood and applied in selecting/not selecting information

• observation as to whether recognised methods are used to establish authenticity of information

• discussion with supervisors as to whether information is selected which will assist investigators to identify occurrence of fraud

• discussion regarding methods to identify and locate appropriate people to enable the investigation to progress towards desired conclusion

• observation of how effectively recording is done throughout this stage of the investigation











FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU403A Gather, Manage and Present Evidence


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Unit PSPFRAU403A Gather, Manage and Present Evidence

Unit Descriptor This unit covers all activities involved with evidence collection, storage and use, and presentation of evidence in an appropriate forum.



1 Plan and activate evidence collection

1 Evidence matrix is researched and developed to establish type and standard of evidence and resources required when the size of investigation and/or type of offence(s) require this

2 Costs of gathering evidence is estimated based on knowledge of appropriate methods

3 Approval for resource allocation is obtained using accurate data about costs involved

4 Plan of action is agreed with team members and communication and review processes established

5 Evidence recording process is put in place complying with organisational guidelines and details communicated to team members

2 Collect and store evidence

1 Evidence collected is admissible

2 Search warrant(s) are obtained if required involving other organisations where necessary

3 Evidence is identified, collected, recorded and preserved according to exhibit management principles for later use in proceedings

4 All evidence is managed in accordance with the principles of continuity of possession and other legislative requirements

5 Corroboratory evidence is collected, documented and preserved

6 Expert skills and knowledge are brought in when necessary to further assist staff in areas where they cannot or are not authorised to act

7 Constant review is implemented during evidence collection

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8 Possible witnesses are identified, located and contacted to request that they provide a witness statement

9 Suspects are identified, located and, at the appropriate time contacted to inform them of the nature of the investigation and request an interview

10 Where relevant, assets and entitlements of suspects are identified for recovery purposes

11 Witness(es) are advised of their rights and their statement(s) are taken in accordance with evidentiary requirements

12 Suspect(s) are advised of their rights and their statement(s) taken in accordance with evidentiary requirements

13 Particulars of witness(es) are documented according to correct evidentiary procedures

14 Statements comply with the rules of evidence and required recording practices with regard for individual rights

3 Collate and corroborate evidence

1 Evidence is cross checked to confirm origin, authenticity and reliability, anticipating challenge that may occur

2 Evidence is analysed to assess whether fraud is proved

3 Acts committed by the offender are matched with similar proofs of offence

4 Gaps and inadequacies are identified and assessed to allow further collection of evidence (including exculpatory evidence) if possible

4 Summarise and report

1 Verbal and written summaries are made to inform team members and management and to prepare for final summation

2 Outcomes of investigation are entered into data management systems according to organisational guidelines



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5 Present evidence and conclude case

1 Where required, brief of evidence is planned and prepared according to standards required by prosecuting organisation

2 Evidence is presented in written and oral form to achieve a successful outcome according to requirements of court or other body where appropriate

3 Quality and standard of evidence and presentation enhance reputation and image of the organisation with public, legal profession and colleagues

4 Feedback from counsel and police and comments by deciding authority are noted and incorporated

5 At the conclusion of the case evidence is dealt with according to organisational procedures and investigation file is updated/closed

6 Where appropriate, action is taken to recover all possible moneys


Evidence may include • real, oral, computer data or documentary • new evidence which results in reopening of an investigation

Evidence collection may include

• voluntary submission • acquisition through legislative powers • following new lines of inquiry suggested during the process of

gathering evidence

Evidence management may include

• systematic recording (such as dating and numbering) • using written or electronic database systems • referral to prosecution organisations at any stage • constant reviews during an investigation

Evidence presentation may include

• in a court, in a civil action matter, disciplinary process or hearing, administrative review, parliamentary hearing or royal commission

Legislation / standards may include

• relevant Commonwealth / State / Territory legislation and guidelines, ethical and conduct standards and judicial standards which must be followed in evidence collection to ensure the continuity of possession and admissibility of the evidence

Specialists may include • police, other law enforcement agencies or private provider for input such as search warrant, surveillance or scientific analysis

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Reports may include • editing and security coding for a particular audience • opinions which must be clearly indicated

Recovery may include • criminal or civil action



• efficient planning of the process of management of evidence • careful collection and storage of materials • cross referencing of evidence collected • identification of evidentiary gaps • correct use of evidence in court or other proceedings • handling of all evidence according to legislative and

organisational requirements



Co-assessed units: PSPFRAU402A Receive and Validate Information; PSPFRAU405A Evaluate Progress of Investigation

Underpinning knowledge • rules of evidence relevant to the jurisdiction • evidence legislation relevant to the jurisdiction • relevant legislation which contain the offence/s under

investigation • document management systems • exhibit management principles • court processes and requirements • relevant guidelines for preparation of a brief of evidence

Underpinning skills • liaison and negotiation • problem solving • organisational • interpersonal • communication • questioning • presentation





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Context/s of assessment • this unit should be assessed on-the-job where possible or in a simulated work environment

Evidence for assessment may be gathered through: • observation of the evidence collection process at every stage

to ascertain • whether legislative, judicial and agency requirements regarding

correct evidentiary management are understood and applied • review of documentation and reports produced • questioning of investigator about methods used to identify,

collect, record and preserve evidence • feedback from Director of Public Prosecutions • observation of interaction with court processes and

performance in real or simulated court situation











PSPFRAU404A Conduct Formal Interviews and Take Witness Statements

FRAUD PREVENTION, DETECTION AND INVESTIGATION


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Unit PSPFRAU404A Conduct Formal Interviews and Take Witness Statements

Unit Descriptor This unit covers taking statements and the conduct of interviews with a suspect.



1 Plan the interview

1 Information from all sources is gathered and prepared for use in interview if required

2 List of key questions is prepared in sequential order highlighting main points

3 All materials are organised in correct order for presentation or reference

4 Recording equipment is in working order and ready for use

5 Exhibits for display are ready and correctly organised

6 Arrangements for interviews are made and interviewee informed of arrangements

2 Conduct the interview

1 Every aspect of the interview is conducted according to legal and organisational requirements

2 Interviewer introduces self and produces authority/identification

3 Interviewee is informed of rights, the purpose of the interview, how it will be recorded and cautioned at the appropriate time if required

4 Interviewee’s understanding of their rights is verified

5 All rights of interviewee are observed

6 Where necessary, and appropriate to the investigation, an assurance of confidentiality may be given to the subject of the interview

7 If a suspect, interviewee informed of nature of alleged offence and unambiguous allegations made

8 Interview conducted in planned manner, with sequence evident to others who may use outcomes

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9 All evidence of admission and confessions from a suspect, or information from witnesses is admissible and recorded according to rules of evidence and organisational guidelines

10 Appropriate technology is used to record interview

11 Interviews are conducted so that outcomes are admissible in evidence

12 A copy of the audio or video tape, or a copy of a written or typed record of interview or statement is given to the interviewee at the conclusion of the interview, according to legislative and organisational guidelines

13 All relevant information (including exculpatory evidence) has been obtained

3 Complete follow up actions and review

1 Post interview follow up is completed and records updated

2 Relevant information gathered is fed back into organisation in line with judicial and legislative provisions to support future investigations or to add to records

3 Results are reported for development of future investigations and team members informed


Statements may include • witness statements, affidavits, or statements for internal/departmental discipline procedures

Interviewees may include • witnesses or suspects

Recording of interviews may include

• tape recording • videotaping

PSPFRAU404A Conduct Formal Interviews and Take Witness Statements



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Legal requirements may include

• special arrangements for minors • ensuring suspects or witnesses understand their rights • interviewee access to legal advice • union representation at interview • presence of advocates for some groups, for example the

intellectually disabled • special arrangements for the interview of Aboriginal and Torres

Strait Islander peoples and people who do not speak English • implementation of organisation agreements • arrangements for written statement when appropriate • interviewees legal rights which must be accorded to them

throughout the interview



• interviews being conducted strictly according to legislative and judicial requirements as well as according to organisational guidelines and formats

• undertaking the role of interviewer and corroborator in a Record of Interview and demonstration of the different techniques applied in interviewing suspects as opposed to interviewing witnesses

• interviewees treated correctly and all required processes are followed

• interviews are well organised and evidence is collected systematically



Co-assessed units: PSPFRAU403A Gather, Manage and Present Evidence; and PSPFRAU405A Evaluate Progress of the Investigation

Underpinning knowledge • agency guidelines • rules of evidence relevant to the jurisdiction • evidence legislation relevant to the jurisdiction • relevant complaints handling, freedom of information, privacy

and criminal offences legislation • relevant legislation which contain the offence under

investigation • Duty of Care requirements

Underpinning skills • questioning • interpersonal • negotiation • statement and interview recording

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Context/s of assessment this competency should be assessed on-the-job where possible or in a simulated work environment Evidence for assessment may be gathered from: • observation of investigator conducting interviews in real or

simulated situations, to check for legally compliant and appropriate methods

• observation of whether interview achieves stated objectives • observation of communication techniques, in particular the

use of effective questioning • discussion with supervisors about the investigator’s handling

of witnesses and suspects • observation of compliance with agency guidelines generally

and in particular regarding observation of individual rights, awareness of potential sensitivity of poorly handled interviews

• feedback from Director of Public Prosecutions • checking of record of interview and recording requirements

for completeness and compliance with legislative and agency requirements











PSPFRAU405A Evaluate Progress of Investigation FRAUD PREVENTION, DETECTION AND INVESTIGATION


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Unit PSPFRAU405A Evaluate Progress of Investigation

Unit Descriptor This unit covers ongoing review of activities throughout an investigation to ensure the effective outcome of an investigation.



1 Summarise and report on progress of investigation

1 Progress and problems are reviewed, reports prepared and disseminated

2 Briefings are compiled and presented for team and management information and action

3 Records and systems are updated regularly

2 Identify and analyse

problems

1 Problems are noted and suggestions made for improvement

2 Modifications to process of investigation are suggested and solutions implemented where practicable

3 Recommend further action

1 Suggestions are made regarding further avenues of inquiry suggested during process of investigation

2 Areas of potential fraud are notified to management and team with suggestions for early prevention measures

3 Follow up tasks are performed, particularly referrals to prosecution organisations ensuring that documentation is completed

4 Where relevant, liquidity analysis is performed and debt recovery procedures are recommended within organisational guidelines

5 If investigation is terminated, recommendations for referral to another organisation are made if appropriate and documented for the organisation’s information in future similar cases

6 Recommendations are implemented where appropriate

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Element Performance Criteria 4 Evaluate conduct of

investigation against standards of ethical behaviour

1 Organisational Code of Conduct is complied with

2 Strategies for achieving high standards of ethical behaviour are developed and implemented

3 Reliability, integrity and respect for the rights of team members and clients are shown at all times

4 Confidentiality of information gathered in the investigation process is maintained where appropriate

5 Implications of unethical behaviour are outlined and alternative behaviours encouraged when necessary

6 Procedures of organisation for interaction with disadvantaged groups are applied

7 Statutory requirements underlying non discriminatory organisational procedures and individual actions are implemented and championed

8 Ethical standards are shown in every aspect of investigation

5 Summarise and recommend

1 Verbal and written reports are made on conduct of investigation with suggestions for future improvements and reasons for any successful outcomes

2 Organisational systems are updated regularly

3 External organisations and bodies are informed of outcomes if applicable and documented

4 Patterns of incidents and irregularities are noted

5 Suggestions are made for incorporation into planning and decision making in the organisation

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Specialist input in an investigation may Include

• document examination • fingerprinting • photography • surveillance • forensic examination • legal advice - director of public prosecutions and government

solicitor • advice on evidentiary matters • recovery issues • execution of search warrants • audit matters • systems design; data analysis; areas of other technical expertise

Briefings may include • written, oral, formal or informal

Requirements for success may include

• effective administrative processes for all aspects of the investigation • appropriate resource allocation • correct evidence collection and management

Recommendations may include • amending internal and external policy and procedures • re-evaluating the resourcing of the investigation • referring the matter to other agencies



• the investigation being conducted in accordance with all legislative and judicial requirements and agency guidelines

• speedy identification of any problems with process or methods and recommendations made for improvements to agency procedures

• high ethical standards in place and underpinning all investigative activity

• consideration and follow up of all avenues of inquiry • initiation of action to recover all moneys lost where

appropriate • other offenders/offences being addressed in the investigation

or referred appropriately • completion and maintenance of records • identification of patterns that indicate fraud



Co-assessed units: PSPFRAU403A Gather, Manage and Present Evidence, and PSPFRAU404A Conduct Formal Interviews and Take Witness Statements

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Underpinning knowledge • administrative legislation relating to agency • legislation relating to investigation • agency guidelines for reporting and information management • procedures for investigation • ethical standards • legislation relating to the offences under investigation • Anti Discrimination legislation and procedures • Equal Opportunity legislation and procedures.

Underpinning skills • analytical • report writing • project management • interpersonal.



Context/s of assessment this competency should be assessed on-the-job where possible or in a simulated work environment

Evidence for assessment may be gathered by: • questioning to ascertain whether investigation completed on

time and within negotiated budget • questioning to ascertain that where appropriate, all possible

actions have been taken to recover lost moneys • discussion with supervisors as to whether suggestions were

made for investigation of further offenders/offences • review of running sheets, reports prepared and briefings

completed internally and externally • questioning to establish understanding of importance of

careful file management and observation of recording and filing systems to ascertain whether completed

• questioning of investigator regarding understanding of the theoretical and practical knowledge of ethical standards. Application of these concepts in the investigation should include accommodation of disadvantage and disability











PSPFRAU406A Analyse Data FRAUD PREVENTION, DETECTION AND INVESTIGATION


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Unit PSPFRAU406A Analyse Data

Unit Descriptor This unit covers activities involved in analysing and matching data across a range of systems.



1 Analyse data

1 Quantitative and/or qualitative analysis undertaken dependent upon the nature of the data and intended purpose of the analysis

2 Analysis meets any relevant industry standards, precedents and techniques

3 Trends identified and analysed in light of environmental and cultural factors relevant to the particular situation

4 Recommended actions are based upon analysis of data in the context of the objectives and priorities of the organisation’s fraud control strategy and plan

5 Proactive approach is taken to identify and assess the need for new or changed systems and processes for analysing data to more effectively meet objectives

2 Document outcomes of analysis

1 Documentation is clear, concise and accessible to all relevant staff

2 Links between the outcomes are proposed as a result of the data analysis and the fraud control strategy are clear to audience

3 Timely and relevant reports are completed and disseminated to appropriate staff and management

4 Result of data analysis in terms of identifying and assessing risk, monitoring and reviewing fraud control procedures is incorporated into ongoing review of fraud control strategy and plan

FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU406A Analyse Data


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Considerations when selecting data collection techniques may

include

• desired outcomes • privacy issues • political imperatives • client and community concerns

There are boundary issues with compliance in data collection.

Data sources may Include • program files • agency systems • other agencies • law enforcement agencies • standards setting organisations.



integrated of: • use of appropriate data analysis techniques • arrival at correct conclusions from data analysis • results of analysis being used to enhance fraud investigation • timely completion of reporting requirements



Co-assessed units: Nil Underpinning knowledge • methods of analysis

• relevant legislation including privacy and freedom of information legislation

• data collection and management systems • agency structure, services and environment • agency fraud control strategy

Underpinning skills • analytical • reporting writing • communication



PSPFRAU406A Analyse Data FRAUD PREVENTION, DETECTION AND INVESTIGATION


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Evidence may be gathered through: • questioning about effectiveness of data analysis undertaken

and its usefulness to fraud control activities such as investigations

• questions regarding knowledge about the underlying principles of data structures and analysis

• review of reports produced as a result of data analysis • discussion with management and relevant staff regarding the

usefulness of reports produced for specific fraud control activities











FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU407A Deliver Training in Fraud Control Awareness


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Unit PSPFRAU407A Deliver Training in Fraud Control Awareness

Unit Descriptor This unit covers training focused on fraud prevention, detection or investigation activities.



1 Prepare for fraud control awareness training

1 Objectives for training session reflect the identified training needs of the participants and are clearly stated

2 Training methods selected are appropriate for identified outcomes, participants’ needs and availability of equipment and resources

3 Provision is made for participants to contribute to the training session based on their experience

2 Deliver training in fraud awareness

1 Objectives of the training session, structure of the activities and other relevant details are clearly explained to participants and feedback elicited

2 Methods used and presentation of information are appropriate to the specified objectives of the training session, the needs of the participants and the size and location of the group

3 Materials and presentation techniques used in training are adapted to the particular audience and are effective and interesting

4 Case studies are used for illustrative purposes where appropriate

5 Content of training materials is validated by experience before use, where appropriate

6 Materials are presented in such a way as to establish a positive response in the organisation and its clients regarding fraud control

7 Structure of training session facilitates the creation of opportunities for discussion of broad conceptual, ethical and legal issues surrounding fraud control

8 Examples of incidents and results of non-compliance are included as appropriate in training materials

9 Models of excellence of fraud control in the public and private sectors are highlighted

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10 Examples of successful cooperative arrangements are included in training materials

3 Review fraud awareness training session outcomes

1 Participants are encouraged to provide feedback on all aspects of the fraud awareness training sessions

2 Suitability of the training approach, the content and outcomes are reviewed as a guide for further activities

3 Own performance is reviewed against training objectives and in response to participants’ responses and comments

4 Advice is provided to appropriate people regarding possible future activities or amendments to organisational awareness strategy and programs, including identification of high risk areas for fraud activities

Range of Variables


Training may include • in formal situations • on-the-job coaching • addressing special interest groups or community groups • explaining procedures and guidelines • part of a broader induction program for agency staff



evidence is required of: • involvement of investigators in the delivery of on-the-job

training aimed at improving investigative skills of less experienced members of staff

• those involved in training understanding the link between ongoing training and effective fraud control

• investigators delivering formal training sessions as required • investigators having input into design of training programs

delivered by specialists • delivery of training according to recognised standards • recognition of the special needs of adult learners • feedback from trainees being incorporated into further

training • agency requirements underpinning all training.

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Co-assessed units: Nil Underpinning knowledge • processes of fraud control and investigation

• adult learning principles • agency structure and core business

Underpinning skills • presentation • communication • interpersonal.




Evidence may include: • review of training plans and materials • observation of training sessions • review of participant feedback material • discussion with management as to the desired and achieved

outcomes of training delivered • questioning of investigator about concepts of adult learning

and the effective use of training materials and aids • discussion to ascertain that links made between fraud control

and training achieve desired outcomes for agency











PSPFRAU501A Communicate Fraud Control Awareness



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Unit PSPFRAU501A Communicate Fraud Control Awareness

Unit Descriptor This unit covers fraud awareness raising to improve compliance.



1 Design fraud control awareness activities

1 Need for activities is determined, taking into account identified client needs, feedback from clients and staff and priorities identified in the organisation’s fraud control plan

2 Ideas for new or improved activities are initiated, gathered and assessed, taking into account the human, financial and physical resources required

3 Approval for fraud awareness activities is obtained from appropriate sources in accordance with organisational guidelines

4 Appropriate individuals and groups are targeted, formal and informal networks are established and used regularly as communication channels

5 Precedents in fraud control are incorporated into fraud control awareness activities

6 Effective training programs are implemented where appropriate

7 Fraud control awareness activities are linked in an integrated and cohesive manner with organisational ethical and fraud control guidelines, codes of conduct and include relevant aspects of corporate policy

8 Fraud control awareness activities are based on a knowledge of the organisation’s corporate objectives, core business, the culture of the organisation and a knowledge of the organisation’s client base

2 Promote compliance

1 Incidents and effects of non-compliance are well publicised

2 Relevant information is provided in a clear way

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Element Performance Criteria 3 Develop and nurture

cooperative client relationships

1 Clear expectations of clients and contractors are established and documented

2 Opportunities for establishing contacts and networks with external and internal clients are anticipated in consultation with appropriate work colleagues and managers

3 Changes in organisational focus are monitored for effects on organisation-client relationships and appropriate action taken to inform clients of changes

4 Feedback on organisational activities is sought and relayed to appropriate people within the organisation

5 Organisation’s fraud control philosophy, policy and procedures are imparted in a way which facilitates stakeholder understanding

6 Where appropriate, clients are advised when and how they may modify their practices to meet organisational standards

4 Conduct fraud

awareness sessions

1 Fraud awareness sessions are planned and are feasible within existing resource and time constraints

2 Intended outcomes are identified and are based on realistic expectations of the target audience

3 Sessions are varied, refined and adapted as indicated by audience response or by changes in the organisation’s fraud control strategy and procedures

4 Adult learning techniques are utilised

5 Fraud control awareness information is linked with codes of conduct and ethical and fraud control guidelines of the organisation together with its broader corporate goals

5 Evaluate success of

awareness raising activities

1 Fraud control awareness activities are assessed against predetermined objectives

2 Results of evaluation are documented and used as the basis for planning future activities

3 Opportunities for new fraud awareness activities are identified and acted on when appropriate

4 Evidence of decrease in level of fraud activities as a result of the activity is sought




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Means of information dissemination may include

• computer based information • newsletters • written policy manuals and procedures • internal instructions and guidelines • videos, pamphlets, posters • case studies, hypothetical examples • staff orientation processes • training and awareness sessions • conferences and seminars • liaison meetings with clients and stakeholders

Information may include program guidelines, contractual information

Mechanisms to encourage staff to minimise fraud may include

• awareness raising and training activities • promulgating agency attitude to fraud and ethical behaviour • using administrative remedies • establishing accessible and confidential reporting channels • publicising agency fraud control practice both within the agency

and to clients of the agency.

Needs analysis may include consultation with staff, clients, fraud control networks

Networks may include contact with peers or colleagues in or outside own agency

Awareness raising may • formal training sessions, through addressing industry • associations and consulting groups

Stakeholders may include • internal or external to the organisation • agency staff and senior management • contractors and consultants • other agencies • related program staff • client organisations • industry associations • law enforcement agencies

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evidence is required of: • a sound understanding of the agency fraud control policy and

its relationship to agency business • an understanding of fraud and how it relates to the specific

functions and activities of the agency together with an understanding of ethical standards required by the agency of its staff and contractors and suppliers

• ability to tailor fraud control awareness information to a variety of audiences



Co-assessed units: Nil Underpinning knowledge • jurisdictional fraud control requirements

• agency fraud control strategy and fraud risk management methodology

• agency structure and core business activities • fraud risk factors in the organisation • identified instances of fraud • adult learning principles

Underpinning skills • communication • presentation • interpersonal




Evidence may be collected through: • review of documentation and plans for fraud control

awareness activities • observation of fraud control awareness sessions conducted • questions regarding underpinning knowledge about agency

fraud control strategy, fraud risk assessment methodology and adult learning principles

• feedback from target audience




Vol 1Sec 2 Page 412











FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU502A Anticipate and Detect Possible Fraud Activity


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Unit PSPFRAU502A Anticipate and Detect Possible Fraud Activity

Unit Descriptor This unit covers the activities required to undertake strategic analysis and detection of fraudulent activities.


Element Performance Criteria 1 Hypothesise fraud

situation

1 Hypotheses are formulated and guidelines for input into information system design specified

2 Data and information collected from a variety of sources including fraud records, audit records, fraud risk assessment, past investigations and other organisations

2 Initiate projects to test newly identified risk areas

1 New projects are initiated and parameters defined in accordance with fraud control plan

2 Significance and value of the project are justified and are consistent with the fraud control strategy and plan

3 Previous and ongoing activities in the relevant areas are reviewed for their contributions to the outcomes of the project

4 Project activities reflect current knowledge, methods and techniques for the identification of risks

3 Analyse trends in fraud activities and investigations

1 All project and investigation outcomes are reviewed to identify emerging patterns of behaviour being reflected in data

2 Conclusions are drawn from data and statistical information as well as qualitative sources including information gathered and reports from previous investigations

3 Risks are identified as a result of a project’s analysis of trends inside and outside the organisation

4 Discussion with colleagues and other experienced organisational staff used as additional source of information on trends

5 Networks are used to provide useful contacts and information for investigation

6 Performance reports produced which recommend investigations

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4 Recommend course of action

1 All relevant elements are considered during evaluation, prior to recommending course of action

2 Investigation targets are identified, and suggestions for future areas of investigation are referred to management

3 Advice is provided regarding appropriate controls required to address fraud identified

4 Management issues are encompassed into response to policy along with acknowledging how public focus and political concerns impact on the management of issues. These concerns are balanced with demands for initiatives in operational areas and contributions to strategic plan

5 Appropriate suggestions for actions are referred and reports prepared provide the basis for management to support future projects with adequate resources

6 Data and recommendations are reliable and practical and provide management with workable suggestions

7 Operational briefings and other presentations are prepared and given as required

8 Opportunities to explain operational issues are taken up

9 Information is given in terms that clearly explain the nature of possible risk, with possible solutions outlined

10 Recommendations are made for changes to organisational controls to target potential trouble spots

Range of Variables The Range of Variables provides information about the context in which the unit of competency is carried out. It allows for differences between States and Territories and the Commonwealth, and between organisations and workplaces. It allows for different work requirements, work practices, and knowledge. The Range of Variables also provides a focus for assessment and relates to the unit as a whole. Evaluation criteria may include • political implications of fraud control and their impact on

government policy • public interest factors • revenue limitations • strategic direction of the agency • the variety of agency functions in which fraud may occur • changes on agency operations • information gathering or accessing powers and limitations • various sources of information or data • likely outcome • workloads

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Methods used to anticipate or detect possible fraud may

include

• the analysis of information about fraud received in the agency • analysis of fraud cases reported and/or investigated • analysis of data matching across program areas • incidence of and reasons for any discrepancy

Identification of fraud risks may include

• the analysis of trends in data or from the analysis of information coming from inside or outside the agency

Internal and external networks may provide

• useful contacts and information for investigation and for the development of analysis and detection

Projects may include • large data matching/analysis exercises • information gathering operations • targeting particular types of fraud • targeting new or changed operations within the agency • targeting specific areas identified from larger scale trend analysis • testing program methodology • targeting specific groups in agency programs

Actions may include • the preparation of operational briefing material • initiation of a particular investigation • recommendation for legislative change • administrative change • change to agency policy • improved awareness through education • referral to another agency • seeking opinion from prosecution agencies



evidence is required of: • the timely detection of fraud and the identification of fraud

trends • effective utilisation of staff and other personnel in the

investigation of trends



Co-assessed units: Nil Underpinning knowledge • agency structure and core business

• agency fraud control plan • external reporting guidelines • best practice initiatives in fraud control

Underpinning skills • analytical • problem solving • hypothesising • interpersonal • communication • negotiation

PSPFRAU502A Anticipate and Detect Possible Fraud Activity



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Resource implications • this of competency should be assessed in the workplace, but in the event that there is no access to the workplace a simulated workplace can be used but such simulation must replicate workplace conditions in terms of: performing the task; managing a number of different tasks; coping with irregularities and breakdowns in routine; dealing with the responsibilities and expectations of the workplace, including working with others; and transferring competency to new situations

• trends and identified control breakdowns may be used as a teaching tool



Evidence for assessment may be gathered through: • review of reports produced • number of possible fraudulent activities identified and follow

up action initiated • questions regarding underpinning knowledge of fraud control

strategy • discussion with management and appropriate staff regarding

effectiveness of suggested actions











FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU503A Coordinate Investigations


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Unit PSPFRAU503A Coordinate Investigations

Unit Descriptor This unit covers the effective coordination of the investigative process, conducted internally or by an outside organisation.



1 Plan investigation

1 Objectives and outcomes are identified, documented and communicated to staff

2 Need for evidence matrix is assessed and matrix is developed if required due to size/type of investigation

3 Assessment is made of possible avenues of inquiry

4 Assessment is made of information needed, witnesses required and outcomes desired based upon a knowledge of the laws of evidence

5 Resource requirements are identified and authorised after considering other organisational needs

6 Potential for recovery action is assessed and liaison occurs with appropriate authorities to determine when recovery action should begin and what is involved

7 Communications strategy is established in consultation with team

8 Continuous review mechanisms are put in place to work in with staff and organisational requirements

9 Objectives are clarified and milestones are established to achieve a quality outcome, taking into account demands on resources

10 Project management techniques are implemented

11 Individual plans of action are drawn up by team members to achieve objectives

2 Organise resources

1 Personnel are allocated to investigation based upon consideration of their particular strengths in relation to the requirements of the investigation

2 Specialist resources are located internally and externally to facilitate successful outcome

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3 Requirement for additional specialists is monitored to show need exists and that expertise is not available internally

3 Organise administrative support

1 Administrative requirements are organised from commencement of investigation

2 Responsibility for allocation of tasks delegated to staff

3 Briefing dates are scheduled

4 Direct the

investigation

1 Advice and support are provided to the team

2 Team members are regularly consulted on progress of investigation in both informal situations as well as in scheduled reviews

3 Staff are counselled and coached using situations encountered on-the-job

4 Deadlines and timelines are monitored and shortfalls anticipated

5 Future investigation needs are identified from data gathered during investigation

6 Extra resources and/or external expertise are authorised when internal experience is not sufficient or if required by guidelines

7 Consultation is conducted with other organisations when investigation impacts on their organisation

8 Evidence collection and witness/suspect handling are conducted in accordance with organisational guidelines and legislative and judicial requirements

9 Obstacles encountered during investigation are discussed and solutions found

10 Investigation is progressed according to plan and finalised within budget and time restrictions

5 Review activities

1 Activities are reviewed against objectives and outcomes of the investigation

2 Precedents and problems are noted for future investigations



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3 Achievements are acknowledged through formal and informal means

4 Plan is revised in response to receipt of new information after consultation with investigative team and incorporating suggestions where practicable

6 Finalise and report

1 Final stage of investigation is supervised to ensure conclusion in court or other body if appropriate

2 Weaknesses in investigation process are highlighted for future investigations

3 Disciplinary/recovery actions are initiated where appropriate

4 If matter is not finalised, follow up actions are planned to progress to next stage or to take no further action

5 Other organisations and relevant bodies are informed when investigation outcomes impact on them

6 Reports are made to management on outcomes relevant to future fraud prevention particularly on how organisational procedures assisted or impeded investigation


Investigations may include • complete investigations or parts of investigations carried out in-house, outsourced or referred to the relevant law enforcement agency (for example police, Independent Commission Against Corruption, and Criminal Justice Commission)

Briefings may include • written, oral, formal or informal

Operational plans may include • logistics, objectives, resources, timing and costs

Resources requiring administration may include

• coordination of specialist staff

Key activities may include • monitoring the collection and handling of evidence which is vital to the outcome of investigation

• updating information systems and recording

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evidence is required of: • management of the ongoing process of the investigation,

particularly for compliance with legislative, judicial and agency requirements

• implementation of project management skills that contribute to achieving stated objectives of the investigation and effective utilisation of resources

• management of contracted out services and specialist staff where required

• understanding of the role of investigation in the process of fraud prevention and control



Co-assessed units: This unit should be assessed in conjunction with unit PSPFRAU405A Evaluate Progress of Investigation.

Underpinning knowledge • relevant legislative and jurisdictional requirements • Part 1C of the Crimes Act, the Judges Rules and the Anunga

Rules (Commonwealth jurisdiction)

Underpinning skills • project management • reporting • communication • interpersonal





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Evidence for assessment may be gathered through: • observation of the effectiveness of monitoring and feedback

given during the progress of the entire investigation • questioning about the effectiveness of the processes used

during the investigation • discussion with outside specialists used during investigation as

to whether their contribution was effectively employed and managed

• consultation with management as to information received about problems and suggestions for solutions to overcome these during the investigation

• questions regarding underpinning knowledge of investigative processes and legal requirements

• discussion with team members about improvements in their investigative skills and knowledge during the investigative process.











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Unit PSPFRAU504A Conduct Fraud Risk Assessment

Unit Descriptor This unit covers the implementation of the fraud risk management process which may be the responsibility of organisational staff or contractors.



1 Conduct fraud risk assessment

1 Risk assessment is conducted in accordance with predetermined methodology

2 Risk assessment is conducted based upon an understanding of the environment and core business of the organisation

3 Any gaps in the predetermined methodology are identified and reported to appropriate people, and where appropriate options to meets these gaps are proposed

4 Impacts of possible change in organisational business are allowed for in conduct of risk assessment

5 Data is assessed for validity and reliability

6 Consultation and data matching are used to identify patterns

7 Risk assessment includes both qualitative assessment and quantitative representation of risks

2 Review processes involved in the fraud risk assessment

1 Processes are regularly reviewed in accordance with the objectives of fraud risk assessment strategy and government policy

2 Appropriate advice is provided to relevant sections such as internal audit regarding issues arising out of fraud risk assessment

3 Options to overcome identified obstacles are discussed with management, affected or relevant staff and agreed options implemented

4 Review of processes includes putting a plan of action in place for strategy change

5 Assessments are regularly made regarding the effectiveness of fraud control strategy and reports are prepared for various audiences

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Range of Variables


Risk assessment may include • fraud risks identified in isolation or as part of a broader risk management strategy

• a risk assessment methodology developed in-house or its development outsourced

• a risk assessment undertaken in-house or outsourced • fraud risk assessments conducted across the agency as a whole and

including all recent major changes to the structure and nature of the service delivered by the agency

• fraud risk assessments undertaken in a number of ways including a single process covering all functions and areas of an agency, using a sample of areas, or in a rolling program

Change may include • the introduction of outsourcing, policy changes, community concerns, or statutory changes affecting the area of operation, introduction of quality management systems and other changes that impact on internal controls

Factors critical to success may include

• management support • building positive relationships with other staff

Stakeholders may include • agency staff • senior management • contractors and consultants • standards setting organisations

Advice may relate to • need to alert key people when problems arise • fraud risk controls and compliance measures • areas in which controls may be excessive



evidence is required of: • the ability to manage contractors if the fraud risk assessment

is outsourced • understanding of the fraud risk methodology • understanding of the relationship of the fraud risk

methodology to the fraud control strategy • an ability to clearly differentiate between the inherent risks

and the effectiveness of controls in place


Co-assessed units: Nil

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Underpinning knowledge • jurisdictional fraud control requirements • agency fraud control policy and fraud risk management

methodology • agency structure and core business activities • current fraud control plan • fraud risk factors in the organisation.

Underpinning skills • analysis • negotiation • consultation • evaluation • communication • problem solving • planning.




Evidence for assessment may be gathered through: • reviewing reports concerning the risk assessment • feedback from senior management and staff about the

conduct of the risk assessment











FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU505A Develop Fraud Control Plan


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Unit PSPFRAU505A Develop Fraud Control Plan

Unit Descriptor This unit covers planning actions in response to the organisation’s fraud control strategy, either the preparation of a specific Fraud Control Plan based on a fraud risk assessment or as an extension of the organisation’s documentation of their fraud control strategy.



1 Identify areas for action

1 Areas are identified for action through the fraud risk assessment process or some other process for identifying fraud vulnerability

2 Initiatives required to control identified vulnerabilities are developed in conjunction with appropriate staff

3 Areas within the organisation responsible for actions to minimise fraud are clearly identified

4 Consultation with appropriate staff is undertaken to develop a shared understanding of responsibilities

5 Timeframe for implementation of actions is specified based upon an understanding of the nature of risk and resource ramifications

2 Identify qualitative and quantitative performance indicators

1 Training and development awareness and training programs are initiated in consultation with responsible staff

2 Organisational initiatives in publicising fraud prevention are appropriate to the organisational culture, core business and client groups

3 Feedback mechanisms are established from fraud performance indicators to the organisation’s fraud control strategy and process for identifying risks and fraud vulnerability risk assessment methodology

4 Performance information relates to the objectives of the program and enables an assessment of the extent to which fraud control objectives are being achieved

5 Advice is sought from relevant internal and external specialist personnel

6 Staff are involved in the development of performance indicators

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7 Feedback loops are established from fraud performance against indicators to the organisation’s fraud control plan

8 Processes are established to identify fraud risks and vulnerability

3 Document plan

1 The plan is clear and concise

2 Non-confidential components are accessible to staff, the Minister and clients of the organisation

3 Confidential components are documented and stored appropriately

4 Areas identified for action reflect the risks targeted by the risk assessment process

5 The plan clearly articulates the responsibilities of each area in the organisation for fraud control

6 The plan reflects a comprehensive fraud control strategy for the organisation

7 The plan links to internal audit to reduce overlap or duplication

8 The plan meets any jurisdictional fraud control requirements

9 Review of the plan meets organisational and jurisdictional needs and requirements

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Range of Variables


Components of a fraud control plan may include as a minimum

• overview of agency’s attitude to fraud and the means by which it encourages ethical behaviour

• responsibilities in relation to fraud control and its relationships with other agencies

• outlines of how risks are identified and assessed • descriptions of the processes which are vulnerable to fraud and

actions proposed to overcome those vulnerabilities • responsibilities within the agency for actions identified within the

plan and an implementation timetable • procedures for the preparation, maintenance and review of the

agency’s fraud control plans • agency fraud awareness and training strategy • agency conduct and disciplinary standards A fraud control plan may be undertaken in-house or outsourced

Stakeholders may include • agency staff • senior management • contractors and consultants • standards setting organisations

Information sources may include

• internal and external sources

Relevant legislation and guidelines may include

• legislation from relevant jurisdictions covering agency responsibilities in fraud control and guidelines such as Fraud Control Policy of the Commonwealth and Fraud Control: developing an effective strategy (NSW)

Specialist personnel may include

• consultants and contractors • internal and external audit • personnel from law enforcement and prosecution agencies • personnel from standards setting organisations



evidence is required of: • the ability to manage consultants if the development of the

fraud control plan is outsourced • the ability to identify areas for action based upon an analysis

and synthesis of objectives and information from the fraud control strategy, the processes established to identify fraud vulnerability and agency corporate plans



Co-assessed units: This unit should be assessed in conjunction with unit PSPFRAU504A Conduct Fraud Risk Assessment.

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Underpinning knowledge • jurisdictional fraud control requirements • agency fraud control strategy and agency processes to measure

fraud vulnerability • agency structure and core business activities • fraud risk factors in the organisation, agency clients, and any

history of fraud in or against the agency

Underpinning skills • analytical • communication • problem solving • consultation • evaluation • planning • negotiation




Evidence for assessment may be gathered through: review of documentation produced • evaluation of the effectiveness of the performance indicators

identified • discussions with management and relevant colleagues to check

for ease of implementation of the areas for action identified • discussions with senior management about the extent to

which the fraud control plan is integrated with other agency plans and is accessible to all staff











FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU506A Implement Fraud Control Activities


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Unit PSPFRAU506A Implement Fraud Control Activities

Unit Descriptor This unit covers controls which reduce or eliminate the risk of fraud, and awareness raising and training activities.



1 Assess options and select actions

1 Existing systems and procedures are assessed for compliance with fraud control plan and strategy, and broader organisational objectives

2 Resource implications and efficiency and effectiveness of options are assessed

3 Possible courses of action are determined based on an assessment of relevant resources and personnel available and integration with organisational activities

4 Relevant staff and management agree on key features of the fraud control activities within their area of responsibility

5 Desired outcomes are specified in consultation with appropriate people

6 Mechanisms to monitor implementation are identified through consultation with appropriate people

7 Preferred options are recommended to senior management and agreed to by those responsible for implementation

2 Set down procedures and clear expectations for staff

1 Key tasks and deadlines are specified and a project timeline prepared when appropriate

2 Standards articulating ethical conduct are prepared

3 Procedures are documented, tested and disseminated through most effective channels

4 Opportunities for identifying possible new risks and threats are included in the procedures

5 Refinements and adjustments to procedures are made on the basis of regular reviews and evaluation

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3 Implement performance evaluation and monitoring systems

1 Relevant information and methods of comparing progress of implementation procedures to objectives of fraud control plan are agreed between those involved

2 Quality of work, extent of progress, resource usage and other critical features are assessed and variations or adjustments to the fraud control plan are recommended

3 Appropriate authorities are kept informed of progress of implementation and of problems as they arise

4 Regular reporting activities provide advice regarding impact of procedures on effectiveness of fraud control strategy


Stakeholders may include • agency staff and senior management • agency clients • contractors and consultants • industry associations • internal/external audit

Effective channels for dissemination of information

on fraud control activities may include

• internal manuals and guidelines • internal audits, directives and reports • public documents • training and awareness sessions • consultation with industry organisations, clients, specialist personnel

or contractors, community groups and standards setting organisations

Fraud control activities may include

• controls which reduce or eliminate the risk of fraud • awareness raising and training activities



evidence is required of: • compliance of activities with fraud control plan and fraud

control strategy • consultation with staff or personnel responsible for relevant

activities or components of the activities specified • widespread dissemination of activities in the agency

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Co-assessed units: Nil Underpinning knowledge • jurisdictional fraud control requirements

• agency fraud control strategy • best practice initiatives in fraud control • client base and any history of fraud against the agency • control testing and evaluation • agency structure and core business activities • fraud risk factors in the organisation.

Underpinning skills • communication • planning • analysis • reporting • evaluation • negotiation




Evidence for assessment may be gathered through: • evaluation of the consistency of the implementation of the

activities with the fraud control strategy and plan • review of documentation produced











PSPFRAU507A Coordinate Development and Implementation of Fraud Information Systems



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Unit PSPFRAU507A Coordinate Development and Implementation of Fraud Information Systems

Unit Descriptor This unit covers the activities required for managing the development of data information systems relevant to fraud control. The system(s) may be developed by internal staff or external contractors or consultants.



1 Establish objectives of data collection

1 Requirements of data collection system in terms of possibilities and constraints are determined through consultation with clients and key stakeholders

2 Options to satisfy requirements are assessed in consultation with key people taking into consideration cost, time for development and operation, ease of use, and organisation’s objectives and priorities in fraud detection activities

3 Most suitable option is determined and specifications developed in consultation with key staff

2 Ensure that data collection matches requirements

1 Techniques of data collection and analysis are agreed

2 Specifications or design of interfaces reflect awareness of user characteristics and needs, and facilitate the use of the information management systems

3 Opportunities to improve systems to better meet user needs are taken up in response to changed organisational focus and in response to targeted areas for fraud detection

3 Implement appropriate data collection/matching systems

1 Strategies are developed and maintained to explore improved access to and use of networks for communication and information access and retrieval

2 Mechanisms for more efficient delivery of information from remote and regional sources are sought and implemented where appropriate

3 Increasing efficiency of network access and use is balanced against security, legal and privacy issues

4 Systems developed are matched against standards for compliance

FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU507A Coordinate Development and Implementation of Fraud

Information Systems


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5 Contributions made in response to requests for input into policy and procedural change to improve accessibility of information are based on a knowledge of organisation’s core business, trends in fraud activities, and the nature and limitations of the information systems in use


Data collection techniques take into account

• desired outcomes, privacy issues, political imperatives and community concerns

Clients may include • internal or external to the organisation

Stakeholders may include • relevant government Ministers • agency staff and senior management • agency clients • community and lobby groups • contractors and consultants • suppliers and customers • industry associations • other agencies with an interest in fraud control • law enforcement agencies • prosecution agencies • internal/external audit • agencies providing data for analysis



evidence is required of: • the ability to manage projects and specialist staff or personnel • understanding of the requirements of a data collection system

that meets agency needs and that can be developed within specified time and resource constraints




PSPFRAU507A Coordinate Development and Implementation of Fraud Information Systems



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Underpinning knowledge • relevant legislation including privacy and freedom of information legislation

• data collection and management systems • agency structure, services and environment • agency fraud control strategy

Underpinning skills • computing • analytical • problem solving • liaison • communication • project management




Evidence for assessment may be gathered through: • review of specifications for data collection systems • questions regarding underpinning knowledge about data

collection systems and agency requirements • discussions with specialist staff to gauge whether their

expertise was managed effectively • consultations with management and other relevant staff about

suitability of data collection system for their needs in fraud control activities











FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU601A Develop Fraud Control Strategy


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Unit PSPFRAU601A Develop Fraud Control Strategy

Unit Descriptor This unit covers development of a fraud control strategy as an integral part of the broader corporate management strategy for an organisation.



1 Identify organisation and client needs and obligations

1 Obligations of the organisation are researched based upon the concept of fraud as both an ethical and a law enforcement issue that impedes effective performance of the organisation’s core business

2 All formal internal and external reporting requirements are identified

3 Organisational data analysis and information needs for fraud detection are identified in line with privacy, confidentiality and law enforcement policy and legislative requirements

4 Needs identification reflects a strategic management approach to the prevention of fraudulent activities

5 Organisational responsibility for the coordination, monitoring, implementation, ongoing review and promotion of organisation’s strategy are identified and agreed in consultation with senior management

6 Performance indicators are identified to facilitate benchmarking fraud control strategies

7 Best practice examples are utilised in the development of these benchmarks

8 Standards setting organisations are utilised where appropriate to assist in the identification of benchmarks appropriate to the organisation’s needs and core business

2 Identify and consult with stakeholders

1 Client entitlements such as right to privacy, confidentiality, freedom of information, are incorporated

2 Issues such as profile of clients, corporate culture and staffing profile are considered

3 Constraints of operating environment, such as staff shortages and budgeting constraints, are taken into consideration

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4 Client and community expectations are considered

5 Management perspectives understood through a series of consultations with those with relevant responsibilities in terms of the organisation’s business, and those with overall responsibility for oversight and implementation of fraud control in the organisation

3 Develop organisation’s fraud control strategy

1 Balance between strict compliance requirements and operational pressures are accommodated

2 Strategies for incorporating changes to identified risks incorporated into the strategy to enable constant updating of the strategy

3 Fraud control strategy incorporates key factors such as the organisational environment and core business

4 Strategy includes advice regarding recommended internal and external strategies to be adopted based on assessment of the relevant factors

5 External and internal quality assurance incorporated into the strategy

6 Responsibilities for maintaining quality assurance clearly articulated

7 Strategy is accepted by the relevant authorities within the organisation and meets the requirements of the relevant standards setting organisations

4 Implement fraud control strategy

1 Initiatives required to minimise fraud are developed in consultation with appropriate staff

2 Timeframe for implementation of strategy is identified based upon an understanding of resource ramifications

3 Areas within the organisation responsible for actions to minimise fraud are clearly identified

4 Consultations with appropriate personnel are undertaken to facilitate a shared understanding of responsibilities



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5 Analyse and review effectiveness of strategy

1 Review incorporates key features of the strategy and is underpinned by the need for the strategy to be holistic and comprehensive

2 Regular reviews are undertaken to accommodate lessons learnt during application of strategy

3 Feedback mechanisms are established

4 Reporting mechanisms are established to provide information to senior management about effectiveness of the strategy measured against objectives, and to provide advice regarding changes to management practices to enhance effectiveness of strategy

5 Results of analysis and review incorporated to improve fraud control


Obligations may include • promotion of effective delivery of service • management of public resources to protect against losses through

fraud, waste, mismanagement and abuse • promotion of ethical behaviour, and accountability and • evaluation

Needs analysis may include • through consultation with staff, peers, clients, fraud prevention network

Stakeholders may include • relevant government Ministers • agency staff and senior management • agency clients • community and lobby groups • contractors and consultants • suppliers • industry associations • other agencies with an interest in fraud control • law enforcement agencies • prosecution agencies • internal/external audit

Requirements to be incorporated may include

• guidelines from standards setting organisations relevant to the jurisdiction

Quality assurance processes may include

• internal review • external review

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Effective channels for dissemination of the strategy

may include

• public documents • internal documents, for example fraud control plan • training and awareness sessions • contact with press networks • consultation with industry organisations, clients, community groups

and watchdogs



evidence is required of: • an understanding of the concepts of fraud risk management • the relationship between the fraud control strategy and the

corporate goals and management practice of the agency • consultations that have occurred with senior management

regarding the integration of the fraud control strategy with the broader corporate objectives

• the strategy incorporating essential attributes of an effective fraud control policy. This may vary from agency to agency but should include: be integrated into the broader policies of the agency, fraud reporting systems, external notification, investigation standards, fraud risk assessment, responsibility structures, employee and customer and community awareness, conduct and disciplinary standards



Co-assessed units: Nil Underpinning knowledge • agency corporate objectives and policy planning processes

• external reporting requirements • risk profile of the agency • risk management standards and techniques • control framework operating in the agency • jurisdictional fraud control requirements

Underpinning skills • liaison and consultation • analytical • strategic development.





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Evidence for assessment may be gathered through: • discussions with senior management about the extent to

which the fraud control strategy is integrated into the broader management policy

• review of documentation produced • discussion with those responsible for implementing the

strategy to check the features of the strategy are able to be translated into procedures and/or processes











PSPFRAU602A Manage Fraud Risk Assessment and Action Plan



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Unit PSPFRAU602A Manage Fraud Risk Assessment and Action Plan

Unit Descriptor This unit covers the management of the fraud risk assessment, where personnel conducting the fraud risk assessment may be internal staff or consultants.


Element Performance Criteria 1 Apply organisational

philosophy regarding risk

1 Appropriate people are consulted in the management of the fraud risk assessment process

2 Cultural, ethical and economic perspectives of the organisation are acknowledged and applied when making decisions regarding the development and implementation of the risk assessment process in the organisation

2 Select risk assessment

methodology

1 Selection of appropriate methodology is based upon an evaluation of a range of fraud risk management techniques, and the environment, culture and functions of the organisation

2 Methodology selected is compatible with the organisation’s environment, culture, structure and core business and is able to be applied across all the organisation’s programs and services

3 Activities of personnel are monitored as they implement the fraud risk assessment

3 Establish reporting and review mechanisms

1 Reporting mechanisms include the identification of appropriate actions to be implemented

2 Established review mechanisms acknowledge the need for flexibility and the ongoing nature of the fraud risk assessment process

3 Reporting mechanisms established allow for advice to be provided at opportune times to facilitate a flexible response by management to any deficiencies identified

4 Reporting mechanisms established meet the requirements of relevant standards setting organisations

FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU602A Manage Fraud Risk Assessment and Action Plan


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Risk assessment may include • fraud risks identified in isolation or as part of a broader risk management strategy

• fraud risk assessments conducted across the agency as a whole and including all recent major changes to the structure and nature of the service delivered by the agency

• fraud risk assessments undertaken in a number of ways including a single process covering all functions and areas of an agency, using a sample of areas, or in a rolling program

Factors affecting fraud risk management may include

• agency size • program type and size • outsourcing • program and service changes • statutory and policy changes • data exchange



evidence is required of: • how the fraud risk assessment methodology addresses the

agency relevant criteria for measuring risk • effective management of any consultants used to conduct the

fraud risk assessment



Co-assessed units: Nil Underpinning knowledge • agency corporate plan and nature of service provided by the

agency • external reporting requirements • risk profile of the agency • risk management standards and techniques • control framework operating in the agency.

Underpinning skills • negotiation • communication • consultation • organisational


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Evidence for assessment may be gathered though: • questioning to ascertain that the fraud risk assessment and

methodology is formulated as a result of an analysis of the organisation’s structure and culture

• review of reports produced about the fraud risk assessment process in the agency

• feedback from senior management and peers regarding appropriateness of fraud risk assessment methodology selected, and its relevance to cost considerations and the nature and structure of the agency











FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU603A Manage Fraud Control Awareness


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Unit PSPFRAU603A Manage Fraud Control Awareness

Unit Descriptor This unit covers activities required in promoting and disseminating the organisation’s approach to fraud control internally and to external clients and the broader community.



1 Disseminate fraud control strategy

1 Profile of fraud control is raised to highest level to indicate its key focus in the organisation

2 Standards for organisation are articulated

3 Ways in which the fraud control strategy contributes to the achievement of organisational corporate goals are articulated

4 Roles and responsibilities of key people in the organisation regarding implementation of fraud control measures are clearly articulated

5 Dissemination methods take account of various audiences and information is presented in a way that meets particular audience needs

2 Champion fraud control

1 Leadership and motivation is provided in highlighting the role of fraud control processes as integral to effective management practices

2 Methods underpinning the championing of the fraud control process are based on an in depth understanding of the organisation’s culture and structure, and the nature of both internal and external clients

3 Positive tone is set in organisation regarding fraud control through engendering trust and confidence in the fraud control activities

4 Appropriate guidelines for the establishment of formal and informal networks are established to nurture cooperative and ethical client relationships

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3 Market fraud control inside and outside the organisation

1 Potential activities to promote the fraud control process and its importance to the overall objectives of the organisation are identified and assessed in relation to the fraud control strategy in place

2 Implementation is coordinated with management and key stakeholders who play a role in prevention

3 Shared ownership of fraud processes is encouraged through ongoing consultation and information sharing

4 Promotion activities are organised to raise stakeholders awareness of both the ethical and financial aspects of fraud control and to facilitate endorsement of the concept and practice of fraud control

5 Trends monitored in order to ensure currency in organisation’s activities


Stakeholders may include • relevant government Ministers • agency staff and senior management • agency clients • community and lobby groups • contractors and consultants • suppliers and customers • industry associations • other agencies with an interest in fraud control • law enforcement agencies • prosecution agencies • internal/external audit.

Trends monitored through a variety of methods may include

• research of national and international material • surveys • data matching • internal and external networks

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evidence is required of: • the ability to synthesise and articulate broader policy issues, • the incorporation of constraints imposed by the culture of the

organisation and operational factors into fraud control issues and practices



Co-assessed units: This unit should be assessed in conjunction with unit PSPFRAU601A Develop Fraud Control Strategy

Underpinning knowledge • agency corporate plan and strategic directions of the agency • agency structure and core business activities • agency fraud control policy • external expectations placed on the agency by external

stakeholders such as government • organisational change practices.

Underpinning skills • negotiation • communication • leadership • presentation




Evidence for assessment may be gathered though: • review of documentation produced • range of activities initiated to promote fraud awareness • feedback from senior management and peers regarding profile

of fraud awareness in the agency

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FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU604A Manage Fraud Investigations Program


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Unit PSPFRAU604A Manage Fraud Investigations Program

Unit Descriptor This unit covers management of an organisation’s fraud investigations program where investigations may be conducted internally, contracted to private investigators or referred to police.



1 Articulate and authorise investigations strategy

1 Investigations strategy is linked to objectives of organisation’s fraud control strategy

2 Clear guidelines are developed upon which to base decisions about whether particular investigations should be conducted in-house or externally

3 Relationships with relevant external organisations are effectively managed

4 Clear and consistent plans are developed which allow staff to conduct successful investigations to meet organisational objectives

5 Staff training issues are considered in the development of the guidelines

6 Guidelines include documented organisational procedures for handling investigation

7 Strategy communicates role of staff in investigations including their responsibilities and rights

8 Timetable for evaluation and review is established

9 Consultative processes established as part of development and review are disseminated to relevant people

2 Evaluate process of investigations

1 Management reporting data is used to validate investigations processes against best practice, noting areas where improvements are needed as part of quality implementation

2 Legislative and judicial standards are compared with recommendations to improve consistency of organisational guidelines to external benchmarks

PSPFRAU604A Manage Fraud Investigations Program



Vol 1Sec 2 Page 448

Element Performance Criteria 3 Evaluate outcomes of

investigations

1 Resolution rate of investigations, reasons for lack of resolution and reports on areas for improvement are analysed

2 Strategic directions are altered to improve investigations resolution rate where necessary

4 Handle complaints

1 Strategies are established to handle a wide variety of

difficult situations which may impact on reputation of organisation

2 Internal reporting systems facilitate the timely reporting of potentially serious situations to senior management within an appropriate timeframe

5 Authorise

investigations

1 Authority levels reflect structure and reporting lines within the organisation, jurisdictional and legislative requirements

2 Decisions regarding the allocation of investigative tasks to internal or external investigation personnel are based on organisational guidelines

3 Any request for authorisation by senior management is accompanied by sufficient information to facilitate effective and timely decision making

6 Change strategic

direction of investigations

1 Broader policy directives are balanced with needs and demands within organisation

2 Any exemptions to established policy are authorised after full consideration of impact on organisation, legal ramifications and reasons for exemption

7 Build links at policy

level with other organisations and policy makers

1 Opportunities for liaison with other investigations managers are used to extend knowledge about the field and improve links within the profession

2 Staff are encouraged to build relationships with peers in other organisations

3 Opportunities to promote organisation and investigations profession are capitalised upon in the policy arena and with the public

4 Relationships with key law enforcement agencies and relevant standards setting organisations are established

FRAUD PREVENTION, DETECTION AND INVESTIGATION PSPFRAU604A Manage Fraud Investigations Program


Vol 1Sec 2 Page 449

Range of Variables


Guidelines may include • those produced by standards setting organisations relevant to the jurisdiction

Stakeholders may include • agency staff and senior management • law enforcement agencies • prosecution agencies • internal/external audit

Relevant external agencies may include

• law enforcement agencies • Director of Public Prosecutions • standards setting agencies relevant to the jurisdictions



evidence is required of: • an understanding of the relationship of the investigation

strategy to the agency fraud control plan and jurisdictional policy and legislative requirements

• an ability to liaise and manage investigation by outside agencies where for example, investigations are referred to a police service or contracted to an outside body



Co-assessed units: Nil Underpinning knowledge • agency fraud control plan

• agency structure and core business • investigation techniques • relevant legislation and policy covering the conduct of

investigations, as well as the procedural and offence provisions of specific legislation

Underpinning skills • project management • interpersonal • analysis • problem solving



PSPFRAU604A Manage Fraud Investigations Program



Vol 1Sec 2 Page 450


Evidence for assessment may be gathered through: • review of documentation produced • consultation with management to verify the integration of the

investigations strategy with the agency fraud control strategy • questioning to check for understanding of investigation

techniques and agency fraud control policy

• questioning to verify the ability to manage agency relationships












PSPFRA605A Review Fraud Control Activities


Vol 1Sec 2 Page 451

Unit PSPFRAU605A Review Fraud Control Activities

Unit Descriptor This unit covers review of the breadth of activities in fraud control in an organisation. The review cycle is determined according to organisational needs and any external reporting requirements, though this cycle could be interrupted in particular circumstances such as changes in service delivery or significant increases in fraudulent activities.



1 Assess the ability of fraud control activities to minimise fraud

1 Current fraud prevention activities are identified and assessed, taking into account the objectives of the organisation’s fraud control strategy, plan and procedures

2 Assessment takes into account core business and broader management activities of the organisation

3 Information is gathered from relevant areas across the organisation

4 Effectiveness of performance indicators in collecting fraud control information is assessed

5 Assessment is based upon knowledge of best practice initiatives in fraud prevention

6 Timetable for evaluation and review is established

7 Perspectives of staff and management, clients and reporting organisations are included in the assessment

8 Activities are assessed in terms of progress in areas relevant to the organisation

9 Mechanisms to assist staff minimise fraud are assessed for effectiveness

2 Provide advice and recommend action to improve effectiveness of fraud controls

1 Advice provided is based on significant knowledge of organisation’s culture, structures, programs and services, and constraints under which the organisation is operating

2 Options for action are recommended based on consultation with relevant stakeholders and balance strict compliance with operational and political pressures

3 As a result of consultation with the stakeholders, fraud control objectives that are found to be unrealistic are

PSPFRA605A Review Fraud Control Activities FRAUD PREVENTION, DETECTION AND INVESTIGATION


Vol 1Sec 2 Page 452

Element Performance Criteria revised, and advice provided to appropriate people regarding amendment to the fraud control strategy and procedures

4 Reports appropriate to various audiences are prepared regarding the effectiveness of fraud control activities in the organisation


Stakeholders may include • relevant government Ministers • agency staff and senior management • law enforcement agencies • prosecution agencies • internal/external audit

Audience for reports may include

• agency colleagues and management • government Ministers and • relevant standards setting organisations

Review of fraud control activities should

• enhance integrity in the agency • be cost effective and • meet an agency’s law enforcement needs



Evidence is required of: • the ability to review processes and assess key functions of

overall strategy • understanding of the role of fraud control in the broader

agency corporate planning environment



Co-assessed units: This unit should be assessed in conjunction with unit PSPFRAU601A. Develop fraud control strategy

Underpinning knowledge • agency structures, programs and services • agency fraud control strategy • legislative framework under which the agency operates • external reporting requirements • law enforcement needs • best practice initiatives in fraud control


PSPFRA605A Review Fraud Control Activities


Vol 1Sec 2 Page 453

Underpinning skills • analysis • reporting • evaluation • communication • problem solving




Evidence for assessment may be gathered through: • review of reports produced for a range of audiences • questioning about the effectiveness of the fraud control

activities in place in the agency and suggestions for improvement

• questions regarding the underpinning knowledge of fraud control policies and best practice initiatives











Pro

ject

Man

agem

ent

PROJECT MANAGEMENT PSPPM401A Develop a Project


Vol 1Sec 2 Page 457

PROJECT MANAGEMENT COMPETENCY STANDARDS

Unit PSPPM401A Develop a Project

Unit Descriptor This unit covers project planning for generally low risk projects which may be small scale and managed by one person or a person managing a small team.

When this unit is completed in conjunction with PSPPM402A and PSPPM403A, the three units together are equivalent to the eight private sector Project Management competency standards: BSX154L402A - BSX154L409A inclusive.

Key Area Project Management


1 Identify project goals and objectives

1 Project aims and objectives are clearly defined in the project plan and milestones and performance indicators required to achieve deliverables are identified

2 Stakeholders are identified and their requirements addressed in the project plan

3 The project is designed in accordance with the organisation’s policies and procedures and in consultation with specialists to meet user requirements

4 Indicators to monitor the performance of the project are developed, under guidance, and agreed by relevant parties

2 Undertake initial analysis

1 Research and analysis is undertaken to identify constraining factors and alternate options

2 Scoping of the project is undertaken to organisational standards and within guidelines

3 Options and solutions are identified, advice is sought and recommendations made in an analysis report which reflects the strategic direction of the organisation/work unit

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Vol 1Sec 2 Page 458


3 Undertake project planning and assess risks

1 Relevant specialists are consulted to advise on potential risks and options to manage risks are investigated and clearly recorded in the project plan

2 Project plans are developed in consultation with relevant parties and appropriate approvals are sought and recorded

3 Project outcomes are stated in measurable and achievable forms

4 Develop a strategy to achieve objectives

1 A strategy, which meets the organisation’s guidelines, is developed and presented to stakeholders to gain project support

2 Issued terms of reference are clarified and actioned to resource the project office, and roles and responsibilities of team members and stakeholders are clarified and agreed

3 Processes for monitoring, evaluating and reporting performance against project objectives are developed and implemented in accordance with organisational policy and practice


Policy and procedures may include

• government legislation (Federal, State and Local) affecting organisation’s administration ie. public sector management acts, financial management and accounting legislation and regulations

• government and organisational guidelines and procedures including project management, security, strategic plans, recruitment, risk management and procurement guidelines

Stakeholders may include • industry • other agencies • general public • relevant interest groups • functional areas • the organisation’s senior management • Ministers

PROJECT MANAGEMENT PSPPM401A Develop a Project


Vol 1Sec 2 Page 459

Constraining factors may include

• political • industrial • legislative • technical • financial • social • cultural • security/privacy • environmental • logistic support

Project plans may include • financial management • acquisition strategies • risk management • project implementation • HRD/HRM • resource management • intellectual property • quality assurance • milestones • evaluation criteria

Relevant specialists may include

• legal • technical • financial • other functional areas • other relevant agencies • logistics

Risk management methods may include

• acceptance • avoidance • minimisation

Documented information may include

• plans detailing objectives, milestones, resource requirements, outcomes, performance indicators and evaluation criteria

• acquisition strategies


Critical aspects of evidence documented information and/or examples of personal work which confirm that the performance criteria have been applied on-the-job within relevant contexts outlined in the range statements




Underpinning knowledge • market capability • project management principles • organisational project approval processes

Underpinning skills • negotiation techniques • planning methods

Resource implications no special requirements

PSPPM401A Develop a Project PROJECT MANAGEMENT


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PROJECT MANAGEMENT PSPPM402A Implement Projects


Vol 1Sec 2 Page 461

Unit PSPPM402A Implement Projects

Unit Descriptor This unit covers project management for generally low risk projects which may be small scale and managed by one person or a person managing a small team.




1 Apply knowledge of project management tools

1 A planning and monitoring system is applied and progress is reported to stakeholders

2 Financial management systems are applied to address accountability standards

3 A working knowledge of project management tools is used to achieve project outcomes

2 Implement acquisition activities

1 A contract is developed which is auditable in terms of scope of work, performance, deliverables, probity, fairness and value for money

2 Project change proposals are considered and changes recommended and documented in accordance with policy and procedures

3 Project plans and contracts are monitored, reviewed and amended as appropriate, and outcomes reported to stakeholders

4 Project progress is regularly reported in relation to agreed milestones to provide a measure of performance throughout the life of the contract

5 Disagreements and disputes are resolved to the satisfaction of stakeholders or referred to a higher authority

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Vol 1Sec 2 Page 462


3 Integrate project activities

1 All aspects of the project are continually monitored and action taken to integrate them

2 Consultation mechanisms are identified and applied when consulting staff and contractors to discuss progress to ensure effective outcomes

3 Programmed review of objectives and achievement is implemented

4 Arrange building / trialing / testing of project

1 Project outcomes, performance standards and project objectives are analysed against specifications, under broad guidance, and the results reported to stakeholders

2 An initial support package is produced and offered to those stakeholders who will be required to adopt the project outcomes

3 An understanding of environmental and cultural awareness is applied to identify options for stakeholders to take account of these factors

4 Operational and support authorities are consulted to research the requirement for testing and evaluation and the recommendations included in the project plan


Project management tools may include

• critical path method (CPM) • Bar and Gantt Charts • work breakdown structures • Program Evaluation and Review Technique (PERT) • data base project management packages • spreadsheets • recording systems - electronic and manual


• government legislation (Federal, State and Local) affecting organisational administration ie. public sector management acts, financial management and accounting legislation and regulations

• government and organisational guidelines and procedures including project management, recruitment, security, risk management, procurement guidelines and strategic plans

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Vol 1Sec 2 Page 463

Contracts may include • verbal orders • written orders • partly verbal and partly written orders • deeds of agreement • agreements and understandings of a non-legal nature

Stakeholders may include • industry • other agencies • general public • relevant interest groups • functional areas • principals • senior management • Ministers


Integration of project activities may include

• scope • time • cost • quality • Human Resources • communications • risk • procurement

Contract change proposals may include

• engineering • technical • administration • scope

Specifications may include • functional • technical • performance • material


• a contract • spreadsheet • progress reports • performance reports against milestones

PSPPM402A Implement Projects PROJECT MANAGEMENT


Vol 1Sec 2 Page 464


Critical aspects of evidence documented information and/or examples of personal work which confirms that the performance criteria have been applied on-the-job within relevant contexts outlined in the range statements




Underpinning knowledge • contract law • scope of project • procurement guidelines • the organisation’s culture • political climate

Underpinning skills • negotiation techniques • simple project management techniques














PROJECT MANAGEMENT PSPPM403A Close Projects


Vol 1Sec 2 Page 465

Unit PSPPM403A Close Projects

Unit Descriptor This unit covers project evaluation and reporting for generally low risk projects which may be small scale and managed by one person or a person managing a small team.




1 Implement project review activities

1 Evaluation of project achievement against objectives is undertaken and reported to stakeholders

2 Action to rectify problems in meeting client needs is recommended and documented

3 Information obtained from the evaluation of the project may be used to improve relevant policy and practice

2 Close project

1 Recommendations are made for the redeployment of staff and other resources, in accordance with human resource management policies and practices

2 Lessons learned are documented and reported to the stakeholders to assist in continuous improvement

3 Stakeholders are advised of procedures and authorities for initial support, where relevant



• Government legislation (Federal, State and Local) affecting organisational administration ie. public sector management acts, financial management and accounting legislation and regulations


PSPPM403A Close Projects PROJECT MANAGEMENT


Vol 1Sec 2 Page 466


Stakeholders may include • industry • other agencies • general public • relevant interest groups • functional areas • principals • the organisation’s senior management • Ministers

Documented information may include:

• transfer documents • project completion report • supplier performance reports • through life support plans






Underpinning knowledge • HRM policies • training options • project specifications and objectives

Underpinning skills • analytical skills • evaluation techniques




PROJECT MANAGEMENT PSPPM403A Close Projects


Vol 1Sec 2 Page 467











PSPPM501A Initiate Projects PROJECT MANAGEMENT


Vol 1Sec 2 Page 468

Unit PSPPM501A Initiate Projects

Unit Descriptor This unit covers initiation of projects which may be reasonably complex in terms of scope, degree of risk, political, cultural and social factors that apply, consequences of failure and degree of control of the project.

When this unit is completed in conjunction with PSPPM502A and PSPPM503A, the three units together are equivalent to the nine private sector Project Management competency standards: BSX154L501A - BSX154L509A inclusive.



1 Identify project opportunities and undertake scoping

1 Project aims, objectives and impacts are defined in the project plan and milestones required to achieve deliverables on time and within budget, are identified

2 Stakeholders are identified and canvassed to ensure that their requirements are addressed in the project plan

3 The project is initiated and designed in accordance with the organisation’s policies and procedures and in consultation with specialists to meet user requirements

4 Indicators to monitor the performance of the project are developed and agreed by relevant parties

5 A project definition study is undertaken, where necessary, to determine the scope of the project

2 Analyse project feasibility and recommend action

1 Research and analysis is undertaken to identify constraining factors and alternate options

2 Technical feasibility, supportability and cost effectiveness of the project is analysed and the outcome is reported to key stakeholders

3 Recommendations are assessed in an analysis report which reflects the strategic direction of the organisation/work unit

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Vol 1Sec 2 Page 469


3 Undertake contingency planning and analysis

1 Relevant specialists are consulted to determine the extent of financial, technical, security, scheduling, through life support and probity and other risks

2 Potential risks are investigated and identified in the project plan and a risk management process established to analyse information and options to manage risks

3 Projected outcomes are recorded in measurable and achievable forms

4 Project plans are developed and organisational approval is achieved by relevant parties

4 Develop and implement a strategy to achieve objectives

1 Stakeholders are lobbied, as appropriate, to negotiate endorsement for the project

2 A project strategy to ensure project outcomes are delivered within time and budget is developed within organisational guidelines and presented to stakeholders

3 Evaluation criteria are designed in accordance with policy and practice

5 Manage establishment of project

1 Terms of reference are written and agreed to by stakeholders and appropriate resources identified

2 Project scope and objectives are reviewed and analysed, in order to develop a strategy to establish work breakdown structures to implement the project

3 Specialist and technical support relevant to the project, is identified and maintained

4 Processes are established for monitoring, evaluating and reporting performance against project objectives

5 Project office, resources, equipment and management infrastructure are identified and established

6 Specific roles and responsibilities of team members and stakeholders are clarified and agreed and reporting requirements are identified



Vol 1Sec 2 Page 470

Range of Variables





Stakeholders may include • industry • other agencies • general public • relevant interest groups functional areas • principals • the organisation’s senior management • Ministers

Constraining factors may include

• political • industrial • legislative • technical • financial • social • cultural • security/privacy • environmental • logistic support

Risk management methods may include

• acceptance • avoidance • minimisation

Work breakdown structures may include

• establish how the work is to be performed and how cost and schedule data are tracked and reported

• identifies specific management responsibilities for tasks

Establishing a project office may include

• determining staffing levels • staff recruitment action and training • acquiring equipment and technical support • identifying resource requirements including travel, finance etc

Through life support may include

• maintenance • supply • technical data • personnel • training • facilities • packaging, handling • storage and transportation • support and test equipment • computing support

PROJECT MANAGEMENT PSPPM501A Initiate Projects


Vol 1Sec 2 Page 471

Project plans may include • financial management plans • acquisition strategies • fraud control plans • risk management plans • project implementation plans • transition plans • integrated logistics support • HRD/HRM plans • specifications • test and evaluation • training • intellectual property • industry impact • quality assurance • life cycle costs

Relevant specialists may include

• legal • technical • financial • other functional areas • other relevant agencies • logistics


• reports detailing strategy • statement of requirement • industry development proposals • project plans • resource plans • project team work plans • performance evaluation criteria • reports to industry • through life support proposals • project definition study






Underpinning knowledge • the project specifications • market capability • resource plans • the project approval process • scheduling packages • cost schedule control systems • recruitment procedures • integrated logistics support • work breakdown structures



Vol 1Sec 2 Page 472

Underpinning skills • risk management techniques including risk sharing and transfer

• negotiation techniques • project planning techniques • public relations strategies














PROJECT MANAGEMENT PSPPM502A Manage Projects


Vol 1Sec 2 Page 473

Unit PSPPM502A Manage Projects

Unit Descriptor This unit covers management of projects which may be reasonably complex in terms of scope, degree of risk, political, cultural and social factors that apply, consequences of failure and degree of control of the project.




1 Apply knowledge of project management tools

1 A planning and monitoring system is applied and progress is reported to stakeholders

2 Financial management systems are implemented to address accountability standards

3 Project management tools are selected and applied effectively to achieve project outcomes

2 Manage acquisition

1 A contract is developed which is auditable in terms of scope of work, performance, deliverables, probity, fairness and value for money

2 Project change proposals are negotiated, agreed and documented in accordance with policy and procedures

3 Project plans and contracts are monitored, reviewed and amended as appropriate, and outcomes reported to stakeholders

4 Project progress is reported in relation to agreed milestones to provide a measure of performance throughout the life of the contract

5 Disagreements and disputes are resolved to the satisfaction of stakeholders

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Vol 1Sec 2 Page 474


3 Co-ordinate project integration activities

1 All aspects of the project and related projects are integrated and links are established to ensure objectives are met

2 Consultation mechanisms are identified and staff and contractors are regularly consulted to discuss progress and ensure effective outcomes

3 Programmed review of objectives and achievement is planned and implemented

4 Arrange building / trialing / testing of project

1 Significant judgment is applied in the analysis of project outcomes against specifications, performance standards and project objectives, and reported to stakeholders

2 Support package arrangements are identified and offered to stakeholders who will be required to adopt the project outcomes

3 Environmental and cultural analysis is undertaken and outcome reported to stakeholders

4 Operational and support authorities are consulted to investigate the requirement for testing and evaluation, and funds are included in project plans



• government legislation (Federal, State and Local) affecting organisational administration ie public sector management acts, financial management and accounting legislation and regulations


Project management tools may include

• critical path method (CPM) • Bar and Gantt Charts • work breakdown structures • Program Evaluation and Review Technique (PERT) • data base project management packages • spreadsheets • cost schedule control systems • Logistics Support Analysis • life cycle cost analysis • recording systems - electronic and manual

PROJECT MANAGEMENT PSPPM502A Manage Projects


Vol 1Sec 2 Page 475

Contracts may include • verbal orders • written orders • partly verbal and partly written orders • deeds of agreement • agreements and understandings of a non-legal nature

Project plans may include • financial management plans • acquisition strategies • fraud control plans • risk management plans • project implementation plans • transition plans • integrated logistics support • HRD/HRM plans • specifications • test and evaluation process • training • intellectual property • industry impact • quality assurance • life cycle costs

Stakeholders may include • industry • other agencies • general public • relevant interest groups • functional areas • principals • senior management • Ministers

Contract change proposals may include

• engineering • technical • administration • scope • specifications


• scope • time • cost • quality • Human Resources • communications • risk • procurement


• a contract • spreadsheet • progress reports • performance reports against milestones

PSPPM502A Manage Projects PROJECT MANAGEMENT


Vol 1Sec 2 Page 476






Underpinning knowledge • contract law • scope of project • project management systems • procurement guidelines • the organisation’s culture • political climate • budgetary framework • critical analysis • business and commercial issues

Underpinning skills • negotiation techniques • project management techniques • problem solving techniques














PROJECT MANAGEMENT PSPPM503A Finalise Projects


Vol 1Sec 2 Page 477

Unit PSPPM503A Finalise Projects

Unit Descriptor This unit covers finalisation of projects which may be reasonably complex in terms of scope, degree of risk, political, cultural and social factors that apply, consequences of failure and degree of control of the project.




1 Review project activity

1 Evaluation reports are developed which clearly indicate the level of performance achieved are analysed, and action taken to rectify problems in meeting clients needs and service standards

2 Supplier performance is evaluated and documented in accordance with an evaluation framework

3 The extent to which clients needs were met has been evaluated and documented

4 Information obtained from the evaluation of the project has been used to improve relevant policy and practice

2 Co-ordinate project closure

1 Staff are redeployed in accordance with human resource management policies and practices and judgment is applied to re-assign other resources

2 Lessons learned are documented and reported to stakeholders to assist in continuous improvement

3 Stakeholders are advised of procedures and authorities for initial support, where relevant

PSPPM503A Finalise Projects PROJECT MANAGEMENT


Vol 1Sec 2 Page 478





Project plans may include • financial management plans • fraud control plans • risk management plans • integrated logistics support • human resource plans • resource management • test and evaluation • training quality • intellectual property • industry impact • quality assurance • life cycle costs • specifications • milestones • evaluation criteria

Stakeholders may include • industry • other agencies • general public • relevant interest groups • functional areas • principals


• transition plans • transfer documents • project completion reports • supplier performance reports • through life support plans • evaluation reports






PROJECT MANAGEMENT PSPPM503A Finalise Projects


Vol 1Sec 2 Page 479

Underpinning knowledge • human resource management policies • training options • project specifications and objectives • environmental policies • project management policies and procedures

Underpinning skills • analytical skills • evaluation techniques















Vol 1Sec 2 Page 480

Unit PSPPM601A Direct Project Activities

Unit Descriptor This unit covers the direction of project activities in situations where a person has strategic responsibility, accountability and decision making for the overall management of complex project(s).



1 Identify project scope in a strategic context

1 A project definition study is undertaken and the results are analysed to determine the scope of a project

2 Project is initiated in accordance with the organisation’s policies and strategic direction in consultation with clients

3 Conceptual and analytical skills are applied to develop a strategy to achieve project outcomes and client requirements

4 An effective risk management system is developed and applied to ensure project objectives are met within the organisation’s accountability framework

2 Acquire project resources

1 Project resources, equipment and infrastructure are identified, acquired and allocated

2 Project scope and objectives are analysed to determine the work breakdown structures to achieve project objectives on time and within budget

3 Processes for monitoring, evaluating and reporting performance against objectives are developed and applied

4 Roles and responsibilities of team members and stakeholders are identified and agreed

3 Manage integration of project activities

1 All aspects of the project and related projects are integrated and links established to ensure objectives remain appropriate

2 Staff and contractors are regularly consulted to ensure effective outcomes and progress is reported to stakeholders

3 Stakeholders motivations are understood and considered in the management of the project

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Vol 1Sec 2 Page 481


4 Progress is monitored to ensure time, performance, cost and quality of project is achieved and change proposals are investigated and negotiated in consultation with stakeholders

5 High level judgment is applied in order to resolve disagreements and disputes satisfactorily

4 Evaluate project activities

1 Finalisation plans are developed to ensure all outcomes are met and through life support will be maintained

2 Lessons learned are analysed and reported to stakeholders to assist in continuous improvement

3 Evaluation of project achievement against objectives is monitored in accordance with the evaluation framework and reported to stakeholders





Project plans may include • financial management processes • acquisition strategies • fraud control procedures • risk management strategies • integrated logistics support arrangements • human resource management/development strategies • resource requirements • work breakdown structures • test and evaluation procedures • intellectual property • industry impact • life cycle costs • specifications • engineering


Vol 1Sec 2 Page 482

Stakeholders may include • industry • other agencies • general public • relevant interest groups • functional areas • principals • the organisation’s senior management • Ministers


• scope • time • cost • quality • human resources • communications • risk • procurement


• statement of requirement • industry development proposals • project plans • transition plans • project completion report • supplier performance reports • through life support plans • reports detailing strategy • performance evaluation criteria • project team work plans






Underpinning knowledge • project management tools and techniques • human resource management policies • project specifications and objectives • project management systems • cost schedule control systems • Jurisdictional and organisational procurement guidelines • organisational project management policies • the organisation’s culture • political climate • public relations policies and strategies • business and commercial issues

Underpinning skills • negotiation techniques • risk management techniques including risk sharing and

transfer

PROJECT MANAGEMENT PSPPM601A Direct Project Activities


Vol 1Sec 2 Page 483















Vol 1Sec 2 Page 484

OCCUPATIONAL HEALTH & SAFETY PSPOHS201A Follow Defined Occupational Health and Safety Policy and Procedures


Vol 1Sec 2 Page 485

OCCUPATIONAL HEALTH & SAFETY COMPETENCY STANDARDS

Unit PSPOHS201A Follow Defined Occupational Health and Safety Policy and Procedures

Unit Descriptor This unit covers general occupational health and safety requirements relating to the work being undertaken in order to ensure own safety and that of others in the workplace.

The unit is based on the National Guidelines for Integrating OHS Competencies into National Industry Competency Standards (NOHSC:7025, 1998)

Key Area Occupational Health & Safety Element Performance Criteria

1 Follow workplace procedures for hazard identification and risk control

1 Hazards in the work area are recognised and reported to designated personnel according to workplace procedures

2 Workplace procedures and work instructions for controlling risks are followed accurately

3 Workplace procedures for dealing with accidents, fires and emergencies are followed whenever necessary within scope of responsibilities and competencies

2 Contribute to participative arrangements for the management of occupational health and safety

1 Occupational health and safety issues are raised with designated personnel in accordance with workplace procedures and relevant occupational health and safety legislation

2 Contribute to participative arrangements for occupational health and safety management in the workplace within organisational procedures and scope of responsibilities and competencies

PSPOHS201A Follow Defined Occupational Health and Safety Policy and Procedures

OCCUPATIONAL HEALTH & SAFETY


Vol 1Sec 2 Page 486


This competency is to be exhibited in accordance with all

relevant occupational health and safety legislation,

particularly

State/Territory/Commonwealth occupational health and safety Acts, regulations and codes of practice, including regulations and codes of practice relating to hazards present in the workplace or industry; general duty of care under occupational health and safety legislation and common law; provisions relating to roles and responsibilities of health and safety representatives and/or occupational health and safety committees; provisions relating to occupational health and safety issue resolution

This competency is to be exhibited in accordance with all relevant workplace procedures,

which are arrangements for how workplace activities are to be done. They may be formally documented or communicated

verbally. They may include procedures which are

general to the management of the enterprise, such as job procedures and work instructions; or, specific to occupational health and safety, such as specific hazards; emergency response; consultation and participation; occupational health and safety issue resolution; identifying hazards, for example, inspections; assessing risks; controlling risks; use of personal protective equipment; reporting occupational health and safety issues.

Hazard identification may include activities associated

with

checking equipment or the work area before work commences and during work; workplace inspections; housekeeping.

Participative arrangements may include

formal and informal meetings which include occupational health and safety; occupational health and safety committees; other committees, for example, consultative, planning and purchasing; health and safety representatives; suggestions, requests, reports and concerns put forward by employees to management.

Designated personnel may include

supervisors; managers; team leaders; management occupational health and safety personnel; other persons authorised or nominated by the enterprise or industry to perform specified work; approve specified work, inspect specified work; direct specified work.

Evidence Guide This Evidence Guide must be read in conjunction with the Assessment Guidelines for the National Public Services Training Package

Critical aspects of evidence • Demonstrated ability to recognise and report hazards to designated personnel

• Demonstrated ability to accurately follow workplace procedures relevant to controlling risks in the workplace

• Demonstrated ability to communicate about hazards and risks in the workplace



Co-assessed units: Competency in this unit underpins competency in other aspects of the workplace role of employees without supervisory responsibilities. It may be appropriate to assess parts of this unit in conjunction with units relating to the performance of such aspects of the role.

For example, assessment of a unit of competence relating to operation of plant and equipment could involve assessing that the person is able to recognise and report any hazards associated with that plant or equipment.

OCCUPATIONAL HEALTH & SAFETY PSPOHS201A Follow Defined Occupational Health and Safety Policy and Procedures


Vol 1Sec 2 Page 487

Underpinning knowledge • legal rights and responsibilities • the way occupational health and safety is managed in the

workplace and legal requirements • workplace hazards; preferred ways to control risks;

occupational health and safety procedures • occupational health and safety symbols and signs • workplace designated occupational health and safety

personnel

Underpinning skills • ability to analyse entire work environment and judge occupational health and safety interventions • ability to analyse relevant workplace data • ability to assess resources needed for risk control

Resource implications assessment of this unit requires access to: relevant occupational health and safety Acts, regulations and codes of practice; enterprise occupational health and safety policies and procedures; personal protective equipment; relevant work areas for identification of hazards and control measures

Method of assessment to ensure that the contingency management component (ability to deal with irregularities and breakdowns) of competency is adequately assessed, evidence needs to be gathered across a range of workplace operations and circumstances that the individual would be expected to deal with in the workplace. This could be either in an actual workplace or in a simulation of realistic workplace conditions. When assessing entry level workers, assessment techniques that allow collection of evidence from relevant workplace experience should be used Techniques for assessment could include: observation; simulation; case studies; interviews; written tests; workplace projects.

Context/s of assessment this unit should be assessed by a combination of workplace (or a realistic simulation) and off-the-job assessment. The context of assessment should ensure that evidence relating to the contingency management component (ability to deal with irregularities and breakdowns) of competency can be collected. Evidence must include observation in the workplace as well as off-the-job techniques such as interviews and simulations. Conditions for simulations should: accurately simulate the range of activities and circumstances that the individual would be expected to deal with in the workplace; allow for discussion; ensure that the relevant documents and resources are available. In particular, evidence of ability to follow emergency procedures and contribute to participative arrangements may be gathered through simulations. The assessor should have recognised expertise in managing occupational health and safety in the industry or work in an assessment team with such a person









1 = use routine approaches 2 = select from routine approaches 3 = establish new approaches





Vol 1Sec 2 Page 488

Unit PSPOHS401A Implement and Monitor the Organisation’s Occupational Health and Safety Policies, Procedures and Programs

Unit Descriptor This unit covers implementation and monitoring of the organisation’s occupational health and safety policies, procedures and programs in the relevant work area to achieve and maintain occupational health and safety standards.


Key Area Occupational Health & Safety

Elements Performance Criteria 1 Provide information

to the work group about occupational health and safety and the organisation’s occupational health and safety policies, procedures and programs.

1 Relevant provisions of occupational health and safety legislation and codes of practice are accurately and clearly explained to the work group.

2 Information on the organisation’s occupational health and safety policies, procedures and programs is provided in a readily accessible manner and is accurately and clearly explained to the work group.

3 Information about identified hazards and the outcomes of risk assessment and risk control procedures is regularly provided and is accurately and clearly explained to the work group.

2 Implement and

monitor participative arrangements for the management of occupational health and safety

1. Organisational procedures for consultation over occupational health and safety issues are implemented and monitored to ensure that all members of the work group have the opportunity to contribute.

2. Issues raised through consultation are dealt with and resolved promptly or referred to the appropriate personnel for resolution in accordance with workplace procedures for issue resolution.

3 The outcomes of consultation over occupational health and safety issues are made known to the work group promptly.

3. Implement and

monitor the 1 Existing and potential hazards in the work area are

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organisation’s procedures for identifying hazards and assessing risks

identified and reported so that risk assessment and risk control procedures can be applied.

4. Implement and monitor the organisation’s procedures for controlling risks

1. Work procedures to control risks are implemented and adherence to them by the work group is monitored in accordance with workplace procedures.

2. Existing risk control measures are monitored and results reported regularly in accordance with workplace procedures.

3. Inadequacies in existing risk control measures are identified in accordance with the hierarchy of control and reported to designated personnel.

4. Inadequacies in resource allocation for implementation of risk control measures identified and reported to designated personnel.

5. Implement the

organisation’s procedures for dealing with hazardous events

1 Workplace procedures for dealing with hazardous events are implemented whenever necessary to ensure that prompt control action is taken.

2 Hazardous events are investigated to identify their cause in accordance with investigation procedures.

3. Control measures to prevent recurrence and minimise risks of hazardous events are implemented based on the hierarchy of control if within scope of responsibilities and competencies or alternatively referred to designated personnel for implementation.

6. Implement and

monitor the organisation’s procedure for providing occupational health and safety training

1 Occupational health and safety training needs are identified accurately, specifying gaps between occupational health and safety competencies required and those held by work group members.

2. Arrangements are made for fulfilling identified occupational health and safety training needs in both on and off-the-job training programs in consultation with relevant parties.

7. Implement and

monitor the organisation’s

1 Occupational health and safety records for work area are accurately and legibly completed in accordance with




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procedure for maintaining occupational health and safety records

workplace requirements for occupational health and safety records and legal requirements for the maintenance of records of occupational injury and disease.

2. Aggregate information from the area’s occupational health and safety records is used to identify hazards and monitor risk control procedures within work area according to organisational procedures and within scope of responsibilities and competencies.




particularly

State/Territory/Commonwealth occupational health and safety Acts, regulations and codes of practice, including regulations and codes of practice relating to hazards present in the workplace or industry; general duty of care under occupational health and safety legislation and common law; requirements for the maintenance and confidentiality of records of occupational injury and disease; requirements for provision of occupational health and safety information and training; provisions relating to health and safety representatives and/or occupational health and safety committees; provisions relating to occupational health and safety issue resolution.

This competency is to be exhibited in accordance with all relevant workplace procedures,

which are arrangements for how workplace activities are to be done. They may be formally documented or communicated

verbally. They may included procedures which are

general to the management of the enterprise, such as: job procedures and work instructions, maintenance of plant and equipment, purchasing of supplies and equipment, counselling/disciplinary processes; or specific to occupational health and safety, such as: providing occupational health and safety information, consultation and participation, emergency response, housekeeping, specific hazards, identifying hazards, for example, inspections, incident investigation, assessing risks, controlling risks, personal protective equipment, occupational health and safety training and assessment, occupational health and safety record keeping, reporting occupational health and safety issues, occupational health and safety issue resolution.

Information may include for the induction of new works; about the nature of work, tasks and procedures; about hazards and risk management procedures; to assist in work tasks; as part of providing direct supervision, for example, to inexperienced workers; to communicate legislation and codes of practice, for example, relating to hazards in the work area; for consultation with health and safety representatives and occupational health and safety committees.

Participative arrangements may include

formal and informal meetings which include occupational health and safety; occupational health and safety committees; other committees, for example, consultative, planning and purchasing; health and safety representatives; suggestions, requests, reports and concerns put forward by employees to management.

Identifying hazards and assessing risks may occur through activities such as

Audits; workplace inspections; housekeeping; checking work area and/or equipment before and during work; job and work system assessment; reviews of occupational health and safety records, including registers of hazardous substances, dangerous goods, etc; maintenance of plant and equipment; purchasing of supplies and



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equipment, for example, review of Material Safety Data Sheets and manufactures/supplier information; identifying employee concerns.

Controlling risks may include actions such as

measures to remove the cause of a risk at its source; application of the hierarchy of control, namely: elimination of the risk, engineering controls, administrative controls, personal protective equipment, consultation with works and their representatives.

Hazardous events may include accidents; fires and explosions; emergencies such as chemical spills; bomb scares; violent incidents, for example, armed robberies.

Procedures for dealing with these may include: evacuation, chemical containment, first aid, accident/incident reporting and investigation.

Occupational health and safety training may include

induction training; specific hazard training; specific task or equipment training; emergency and evacuation training; training as part of broader programs, for example, equipment operation.

Occupational health and safety records may include

occupational health and safety audits and inspection reports; health surveillance and workplace environmental monitoring records; records of instruction and training; manufacturers’ and suppliers’ information, including Material Safety Data Sheets and dangerous goods storage lists; hazardous substances registers; maintenance and testing reports; workers’ compensation and rehabilitation records; first aid/medical post records.


Critical aspects of evidence • Evidence is required of knowledge, consistent with the elements of competence, or all applicable occupational health and safety Acts, regulations and codes of practice

• Understanding of, and ability to apply, organisational management systems and procedures to occupational health and safety

• Understanding of, and ability to apply, risk management procedures (that is, undertake hazard identification, risk assessment and risk control in accordance with the hierarchy of control)

• Knowledge of how characteristics of the workforce impact on the management of occupational health and safety, and an ability to apply that understanding.



Co-assessed units: Competency in this unit underpins competency in other aspects of the workplace role of employees with supervisory responsibilities. It may be appropriate to assess parts of this unit in conjunction with units relating to the performance of such aspects of the role.

For example, assessment of a unit relating to supervising a work system could involve assessing that the person is able to identify and report any existing or potential hazards of the system.




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Underpinning knowledge • provisions of relevant occupational health and safety legislation

• principles and practice of effective occupational health and safety management

• workplace hazards, range and selection of control measures • organisational occupational health and safety management

systems and policies and procedures needed for legislative compliance

• impact of characteristics and composition of the workforce on occupational health and safety management

• relevance of occupational health and safety management to other organisational management policies, procedures and systems

Underpinning skills • ability to analyse entire work environment and judge occupational health and safety interventions

• ability to analyse relevant workplace data • ability to assess resources needed for risk control

Resource implications • assessment of this unit requires access to relevant occupational health and safety Acts, regulations and codes of practice

• enterprise occupational health and safety policies and procedures

• personal protective equipment • relevant work areas for identification of hazards and control

measures

Method of assessment • to ensure that the contingency management component (ability to deal with irregularities and breakdowns) of competency is adequately assessed, evidence needs to be gathered across a range of work procedures and in a range of workplace circumstances

• this could be either in an actual workplace or in a simulation of realistic workplace conditions

• techniques for assessment could include: observation, simulation, case studies, interviews, written tests, workplace projects

Context/s of assessment this unit should be assessed by a combination of workplace (or a realistic simulation) and off-the-job assessment. The context of assessment should ensure that evidence relating to the contingency management component of competency can be collected. Evidence must include observation in the workplace as well as off-the-job techniques such as interviews and simulations. Conditions for simulations should accurately simulate the range of circumstances that the individual would be expected to deal with in the workplace; allow for discussion; ensure that the relevant documents and resources are available. In particular, evidence of ability to deal with a range of emergencies and hazardous events may be gathered through simulations. The assessor should have recognised expertise in managing occupational health and safety in the industry or work in an assessment team with such a person.



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Unit PSPOHS601A Establish, Maintain and Evaluate the Organisation’s Occupational Health and Safety System

Unit Descriptor This unit covers establishment, maintenance and evaluation of the organisation’s occupational health and safety system in order to ensure that the workplace is, so far as is practicable, safe and without risks to the health of employees.


Key Area Occupational Health & Safety


1 Establish and maintain the framework for the occupational health and safety system in the area of managerial responsibility

1 Occupational health and safety policies are developed which clearly express the organisation's commitment with respect to occupational health and safety within the area of managerial responsibility and how relevant occupational health and safety legislation will be implemented, consistent with overall organisational policies

2 Occupational health and safety responsibilities and duties which will allow implementation and integration of the occupational health and safety system are clearly defined, allocated and included in job descriptions and duty statements for all relevant positions

3 Financial and human resources for the operation of the occupational health and safety system are identified, sought and/or provided in a timely and consistent manner

4 Information on the occupational health and safety system and procedures for the area of managerial responsibility is provided and explained in a form which is readily accessible to employees

2 Established and maintain participative arrangements for the management of occupational health and safety

1 Appropriate consultative processes are established and maintained in consultation with employees and their representatives in accordance with relevant occupational health and safety legislation and consistent with the organisation's overall process for consultation

2 Issues raised through participation and consultation are health with and resolved promptly and effectively in accordance with procedures for issue resolution

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Element Performance Criteria 3 Information about the outcomes of participation and

consultation is provided in a manner accessible to employees

3 Establish and maintain procedures for identifying hazards

1 Existing and potential hazards within the area of managerial responsibility are correctly identified and identification confirmed in accordance with occupational health and safety legislation, codes of practice and trends identified from the occupational health and safety records system

2 A procedure for ongoing identification of hazards is developed and integrated within systems of work and procedures

3 Activities are appropriately monitored to ensure that this procedure is adopted effectively throughout the area of managerial responsibility

4 Hazard identification is addressed at the planning, design and evaluation stages of any change in the workplace to ensure that new hazards are not created

4 Establish and maintain procedures for assessing risks

1 Risks presented by identified hazards are correctly assessed in accordance with occupational health and safety legislation and codes of practice

2 A procedure for ongoing assessment of risks is developed and integrated within systems of work and procedures

3 Activities are monitored to ensure that this procedure is adopted effectively throughout the area of managerial responsibility

4 Risk assessment is addressed at the planning, design and evaluation stages of any change within the area of managerial responsibility to ensure that the risk from hazards is not increased

5 Establish and

maintain procedures for controlling risks

1 Measures to control assessed risks are developed and implemented in accordance with the hierarchy of control, relevant occupational health and safety legislation, codes of practice and trends identified from the occupational health and safety records system

2 When measures which control a risk at its source are not immediately practicable, interim solutions are implemented until a control measure is developed




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3 A procedure for ongoing control of risks, based on the hierarchy of control, is developed and integrated within general systems of work and procedures

4 Activities are monitored to ensure that the risk control procedure is adopted effectively throughout the area of managerial responsibility

5 Risk control is addressed at the planning, design and evaluation stages of any change within the area of managerial responsibility to ensure that adequate risk control measures are included

6 Inadequacies in existing risk control measures are identified in accordance with the hierarchy of control, and resources enabling implementation of new measures are sought and/or provided according to appropriate procedures

6 Establish and maintain organisational procedures for dealing with hazardous events

1 Potential hazardous events are correctly identified

2 Procedures which would control the risks associated with hazardous events and meet any legislative requirements as a minimum are developed in consultation with appropriate emergency services

3 Appropriate information and training is provided to all employees to enable implementation of the correct procedures in all relevant circumstances

7 Establish and maintain an occupational health and safety training program

1 An occupational health and safety training program is developed and implemented to identify and fulfil employees' occupational health and safety training needs as part of the organisation's general training program

8 Establish and maintain a system for occupational health and safety records

1 A system for keeping occupational health and safety records is established and monitored to allow identification of patterns of occupational injury and disease within the area of managerial responsibility



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9 Evaluate the organisation's occupational health and safety system and related policies, procedures and programs

1 The effectiveness of the occupational health and safety system and related policies, procedures and programs is assessed according to the organisation's aims with respect to occupational health and safety

2 Improvements to the occupational health and safety system are developed and implemented to ensure more effective achievement of the organisation's aims with respect to occupational health and safety

3 Compliance with occupational health and safety legislation and codes of practice is assessed to ensure that legal occupational health and safety standards are maintained as a minimum




particularly

State/Territory/Commonwealth occupational health and safety Acts, regulations and codes of practice, including regulations and codes of practice relating to hazards present in the workplace or industry; general duty of care under occupational health and safety legislation and common law; requirements for the maintenance and confidentiality of occupational injury and disease; requirements for provision of occupational health and safety information and training; provisions relating to health and safety representatives and/or occupational health and safety committees; provisions relating to occupational health and safety issue resolution.




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Establish and maintain the framework for occupational

health and safety may include

policy development and updating;

determining the ways in which occupational health and safety functions will be managed. This may include distinct occupational health and safety management activities, or inclusion of occupational health and safety functions within a range of management functions and operations such as: maintenance of plant and equipment; purchasing of materials and equipment; designing operations, work flow and materials handling; planning or implementing alterations to site, plant, operations or work systems;

mechanisms for review and allocation of human, technical and financial resources needed to manage occupational health and safety, including defining and allocating occupational health and safety responsibilities for all relevant positions;

mechanisms for keeping up to date with relevant information and updating the management arrangements for occupational health and safety, for example, information on health effects of hazards, technical developments in risk control and environmental monitoring and changes to legislation;

mechanisms to assess and update occupational health and safety arrangements relevant to legislative requirements;

a system for communicating occupational health and safety information to employees, supervisors and managers within the enterprise.

Establish and maintain participative arrangements for

management of occupational health and safety may cover

occupational health and safety committees and other committees, for example, consultative, planning and purchasing;

health and safety representatives;

employee and supervisor involvement in occupational health and safety management activities, for example, occupational health and safety inspections, audits, environmental monitoring, risk assessment and risk control;

procedures for reporting hazards, risks and occupational health and safety issues by managers and employees;

inclusion of occupational health and safety in consultative or other meetings and processes.

Establish and maintain procedures for identifying

hazards may include developing and updating

procedures for

workplace inspections, including plant and equipment; audits; maintaining and analysing occupational health and safety records, including environmental monitoring and health surveillance reports; maintenance of plant and equipment; reviews of materials and equipment purchases, including manufacturers and suppliers information; employee reporting of occupational health and safety issues.

Establish and maintain procedures for assessing risks

may include developing and updating procedures for

determining the likelihood and severity of adverse consequences form hazards; occupational health and safety audits; workplace inspections; maintenance of plant and equipment; purchasing of materials and equipment; planning or implementing alterations to site, operations or work systems; analysis of relevant records and reports, for example, injuries and incidents, hazardous substances inventories/registers, audit and environmental monitoring reports and occupational health and safety committee records.



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Establish and maintain procedures for controlling risks

may include developing and updating procedures for

assessing the occupational health and safety consequences of materials, plant or equipment prior to purchase; obtaining expert advice;

appropriate application of measures according to the hierarchy of control, namely: ; elimination of the risk ; engineering controls ; administrative controls; personal protective equipment;

designing safe operations and systems of work;

inclusion of new occupational health and safety information into procedures;

checking enterprise compliance with regulatory requirements.

Establish and maintain organisational procedures for

hazardous events may include developing and updating

procedures for

making inventories of, and inspecting, high risk operations; inspecting systems and operations associated with potentially hazardous events, for example, emergency communications, links to emergency services, fire fighting, chemical spill containment, bomb alerts and first aid services.

Establish and maintain an occupational health and safety

training program may include

arrangements for ongoing assessment of training needs, for example, relating to supervisors and managers; specific hazards; specific tasks or equipment; emergencies and evacuations; training required under occupational health and safety legislation; allocation of resources for occupational health and safety training, including acquisition of training resources, development of staff training skills and purchase of training services; induction training; training for new operations, materials or equipment.

Establish and maintain a system for occupational health

and safety records may cover

identifying records required under occupational health and safety legislation, for example worker's compensation and rehabilitation records; hazardous substances registers; Material Safety Data Sheets; major accident/injury notifications; certificates or licences; manufacturers and suppliers occupational health and safety information; occupational health and safety audits and inspection reports; maintenance and testing reports; workplace environmental monitoring and health surveillance records; records of instruction and training; and first aid/medical post records.

Evaluating the organisation's health and safety system may

include arrangements for

reviewing the effectiveness of the occupational health and safety management system; regular review of operating procedures; regular analysis of occupational health and safety records; audits against occupational health and safety legislative requirements.


Critical aspects of evidence • Competence may be demonstrated working individually or under the guidance of, or as a member of, a team with specialist occupational health and safety staff, managers or consultants

• Evidence is required of detailed knowledge of all relevant occupational health and safety Acts, regulations and codes of practice and how they will be implemented within the area of managerial responsibility

• Understanding of the principles and practice of effective occupational health and safety, including the significance of organisational management systems and procedures for occupational health and safety, and an ability to establish and maintain appropriate arrangements for occupational health and safety within those systems and procedures

• Ability to establish and/or maintain the organisation's occupational health and safety management system




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• Detailed understanding of how the characteristics of the workforce impact on the design and maintenance of occupational health and safety management systems, and an ability to apply that understanding

• Ability to identify when expert advice is needed, to obtain that advice and to act on it appropriately



Co-assessed units: Competency in this unit underpins competency in other aspects of the workplace role of employees with managerial responsibilities. It may be appropriate to assess parts of this unit in conjunction with units relating to the performance of such aspects of the role. For example, assessment of a unit relating to managing an operational area could involve assessing that the person is able to assess the effectiveness of risk control measures in place for that operation or area.

Underpinning knowledge • provisions of relevant occupational health and safety legislation

• principles and practice of effective occupational health and safety management

• management arrangements relating to regulatory compliance • enterprise hazards and risks, control measures and relevant

expertise required • characteristics and composition of workforce and their impact

on occupational health and safety management • relevance of enterprise management systems to occupational

health and safety management

Underpinning skills • ability to analyse working environment and design appropriate occupational health and safety management systems

• ability to analyse relevant data and evaluate occupational health and safety system effectiveness

• ability to assess resources to establish and maintain occupational health and safety management systems

Resource implications • assessment of this unit requires access to relevant occupational health and safety Acts, regulations and codes of practice

• information relevant to the management of the enterprise, for example, planning, operations, maintenance, purchasing and budgeting

• enterprise occupational health and safety management information, including policies and procedures

• work areas in the area of managerial responsibility

Method of assessment • to ensure that the contingency management component (ability to deal with irregularities and breakdowns) of competency is adequately assessed, evidence needs to be gathered across a range of occupational health and safety management systems, operations and workplace circumstances. This could be either in an actual workplace or in a simulation of realistic workplace conditions

• Techniques for assessment could include observation; simulation; case studies; interviews; written tests; workplace projects



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Context/s of assessment this unit should be assessed by a combination of workplace (or a realistic simulation) and off-the-job assessment. The context of assessment should ensure that evidence relating to the contingency management component (ability to deal with irregularities and breakdowns) of competency can be collected. Evidence must include observation in the workplace as well as off-the-job techniques such as interviews and simulations. Conditions for simulations should: accurately simulate the range of operations and circumstances that managers or owners could be expected to manage in the workplace; allow for discussion; ensure the relevant information and documents are available in particular, evidence of ability to manage a range of emergencies and hazardous events may be gathered through simulations; the assessor should have recognised expertise in managing occupational health and safety in the industry or work in an assessment team with such a person.











WORKPLACE INSPECTION PSPWPI501A Evaluate Workplace Legislative Compliance


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WORKPLACE INSPECTION COMPETENCY STANDARDS Unit PSPWPI501A Evaluate Workplace Legislative Compliance

Unit Descriptor This unit covers the competency to determine compliance, breaches, risks to workers or the work environment, act to minimise risks to workers, the public and/or the work environment and record non-compliance.

Key Area Workplace Inspection

Elements Performance Criteria 1. Identify issues

relevant to the organisation’s jurisdiction

1 Jurisdictional boundaries and powers are confirmed

2 Identification of defined areas is carried out in accordance with organisational requirements

3 Issues relating to workers, work environment and/or public are identified

2. Assess workplace for

non-compliance 1 Issues relating to workers, public and/or work environment are assessed and prioritised against legislative requirements and in line with the organisation’s policies and procedures

2 Non-compliance/possible breaches are identified, assessed and recorded in accordance with legislative and organisational requirements

3 Any issues beyond own level of competence are identified and referred to the appropriate sources for follow up action

3. Advise on control

measures 1 A range of control measures is identified in accordance with organisational policies and procedures having regard to current standards

2 A practicable solution to achieve compliance in accordance with legislative requirements is determined

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Elements Performance Criteria 4. Implement

compliance activity 1 Compliance activity is implemented in accordance with organisational policy and procedures.

2 Effectiveness of selected compliance activity is evaluated and reported/documented in accordance with organisational policy and procedures


Defined areas may include • construction sites

• factories

• offices

• rural industries

• mines and quarries

• any other area as defined under the organisation’s legislation

Issues may include • plant

• manual handling/ergonomics

• noise

• hazardous substances

• dangerous goods

• workplace relations

• workers compensation

• injury management/rehabilitation

• work environment such as heat, confined spaces

• hazardous processes and work systems

• other work environment issues defined by the organisation’s legislation

• policies and procedures

• electrical safety

• OH&S management systems

• occupational health

Workplace management practices may include

• systems of work

• hazard management

• workplace relations

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Appropriate sources to refer to may include

• consultants

• other inspectors/officers

• technical experts

• manufacturers, suppliers and designers

• technical standards

• scientific standards

• other jurisdictions

• other organisations

• supervisors/managers Control measures for OH&S

may include • elimination

• substitution

• isolation

• engineering controls

• administrative controls

• Personal Protective Equipment (PPE)

Control measures for Workplace Relations may

include

• assessment

• identification

• application

• enforcement Compliance activity may

include • provision of advice/directions/instructions

• issue of notices such as improvement, prohibition, infringement/ penalty, seizure notices

• initiation of prosecution proceedings



• strengths and weaknesses of possible control measures and the reasons for choosing practicable solution



Co-assessed units: Co-assessed units are units that may be assessed together to increase the efficiency and the realism of the assessment process. Consider co-assessing this unit with:

PSPWPI502A Facilitate Improvement in Workplace Legislative Compliance

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Underpinning knowledge • principal legislation such as Occupational Health & Safety, Workers Compensation, Injury Management and Workplace Relations

• performance standard in the legislation

• impact of hazards/issues on persons

• industry practices where applicable such as awards and enterprise agreements

• organisational policies and procedures related to compliance activities

• principles of risk management including hierarchy of controls

• technical features associated with hazards and potential risks as these relate to jurisdictional issues

Underpinning skills • communication skills to provide advice on legislation relevant to compliance using complex exchanges of oral information and to interpret, analyse and explain complex and formal documents such as legislation and its application to clients’ situations

• mediation/negotiation, conflict/dispute resolution

• analytical skills to interpret test results

• use of equipment and technology

Resource implications simulated workplace for off-the-job assessment using scenarios, case studies or role plays; access to a variety of workplaces

Consistency of performance evidence needs to be gathered over time in a range of compliance contexts












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Unit PSPWPI502A Facilitate Improvement in Workplace Legislative

Performance

Unit Descriptor This unit covers the competency to facilitate the introduction, management and evaluation of change in the work environment to improve workplace occupational health and safety and/or workers compensation and/or injury management and/or workplace relations.



1 Facilitate the development of workplace improvement strategies

1 Stakeholders are identified and consulted when facilitating workplace improvements

2 Future trends and stakeholder needs are identified consistent with the organisation’s priorities

3 Processes for improving workplace legislative compliance are facilitated in collaboration with stakeholders

2 Facilitate implementation of workplace improvements

1 Advice is provided to stakeholders on the requirements for effective workplace improvements in line with organisational policy and procedures

2 Guidance and support are provided to assist implementation of workplace improvements in accordance with organisational policy and procedures

3 Review effectiveness of workplace improvements

1 The mechanisms for monitoring workplace improvements are evaluated with stakeholders

2 The outcomes of monitoring and evaluation are communicated to internal and/or external stakeholders

3 Impact of workplace improvement strategies on stakeholders is monitored and evaluated and results are reflected in future improvement activities

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Future trends may be influenced by

• implementation of new work practices

• Government initiatives

• budgetary reform

• organisational restructure

• technology transfer to the workplace

• emerging issues

• research & development changes

• legislative changes, staffing changes

• review of workplace performance relating to occupational health and safety and/or workers compensation and/or Injury Management and/or Workplace Relations

• changes in the workplace

Stakeholder needs may include • management of specific workplace risks

• meeting business goals and objectives

• compliance with legislative requirements

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Stakeholders may include External

• employers

• employees

• government

• contractors

• manufacturers

• installers, suppliers & designers, importers

• erectors

• owner/occupiers, employer associations

• employee associations

• person in control of site

• community

• insurers

Internal

• managers

• specialist staff

• supervisors

• other inspectors/officers

• support staff

Workplace legislative compliance may include

• Occupational Health and Safety (OHS) and/or Workers Compensation (WC) and/or Injury Management (IM) and/or Workplace Relations (WR) performance

Processes for improvement may include

• education and information

• enforcement

• advice

• encouragement and support

• practicable solutions

Mechanisms for monitoring workplace improvements may

include

• performance indicators

• productivity effectiveness measures

• follow up visits

• level of compliance with notices

• government statistics

• perception standards

• industry feedback

• progress reports

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Critical aspects of evidence integrated demonstration of all elements and their related performance criteria; and

ability to communicate and influence in order to facilitate change in the workplace




PSPWPI501A Evaluate Workplace Legislative Compliance

Underpinning knowledge • risk management principles

• change management processes

Underpinning skills • application of risk management principles

• analytical skills

• communication skills

• coaching

• problem solving


• reading and explaining complex and formal documents such as legislation and their application to clients’ situations

• advice and discussion using complex exchanges of oral information

• research skills


Consistency of performance evidence will need to be gathered over time in a range of actual workplace improvement contexts












WORKPLACE INSPECTION PSPWPI503A Investigate Possible Breaches of Workplace Legislation


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Unit PSPWPI503A Investigate Possible Breaches of Workplace

Legislation

Unit Descriptor This unit covers the competency to conduct investigations in a range of workplace contexts specifically relating to occupational health and safety, workers compensation, injury management and workplace relations legislation



1 Conduct initial assessment of situation

1 Type of investigation is identified

2 Situations are assessed with regard to personal safety and the safety of others and safeguards are put in place

3 Persons are contacted according to organisational policies and procedures

4 Integrity of situation is established and maintained in accordance with organisational policy and procedures

2 Initiate and conduct investigations

1 Directions/instructions are issued to persons involved, in accordance with organisational policy and procedures

2 Resources required for the investigation are identified and accessed

3 Investigations are conducted in accordance with organisational policy and procedures

3 Examine the situation 1 Details of the situation and all those involved in possible breach are recorded in line with organisational policies and procedures

2 Potential evidence is located, collected, packaged, labelled and stored to ensure preservation for further examination in line with the rules of evidence and organisational policy and procedures

3 If no breach has occurred or no action is to be taken, the reasons and justification is documented in accordance with organisational policy and procedures

4 If breach is confirmed, action recommended is appropriate, timely and within the officer’s discretion under the legislation and organisational policy and

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Elements Performance Criteria procedures

5 A record of all evidence is maintained in accordance with legislative requirements and organisational policy and procedures

4 Identify potential witnesses and record initial statements

1 Potential witnesses are identified and details recorded

2 Statements are taken and recorded in accordance with the organisation’s policies and procedures

5 Assess investigation material and information gathered

1 Information and evidence gathered is reviewed against legislation and other relevant material in accordance with the organisation’s policies and procedures

2 Information and evidence gathered is evaluated/ weighted for relevance and strength of proof

3 Further proofs are identified, prioritised and scheduled for action

4 Further evidence is obtained when required

6 Conduct formal

interviews 1 Interview is conducted in accordance with legal

requirements and organisational policy and procedures

2 Information is reviewed and clarified to ensure its relevance and sufficiency prior to concluding the interview

3 A record of interview is completed that meets legal and organisational requirements

7 Complete investigation report

1 Report is compiled in accordance with the organisation’s policies and procedures

2 Report is forwarded to appropriate personnel for review and action according to the organisation’s policies and procedures

3 Additional information/evidence identified from review is gathered and compiled in report

4 Final report is forwarded through appropriate channels for processing



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Type of investigation/situation may include

• non-compliance with legislation

• workplace fatality

• injury/incident

• dangerous occurrence

• workplace relations issues

• workers compensation issues

• complaints

• public safety

• workplace illnesses

• intervention

• safety of workers and public Safeguards may include, but

not limited to • clear brief as to who has access to situations

• physical barriers may be required

• limit entry to essential personnel

• delegation of authority to control entry

• record all persons who enter/depart the situation and reasons

• personal protective equipment

• trauma counselling Incident situation and

investigation may be affected by

• preservation of life/property

• prevailing weather, which may require additional resources to preserve and protect incident situation

• climatic conditions

• human interference

• dangerous or unpleasant conditions may involve injured or deceased persons

• stressed or traumatised individuals

• cultural issues Circumstances surrounding

situation may include • sequence of events

• possible causes

• people involved

• property involved

• victims

• witnesses

• damage



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• injury

• organisation personnel involved

• other organisations involved

• current status of investigation

• action taken to date

• adjoining properties and activities Persons contacted may include

• technical and scientific experts

• witnesses

• victims

• police and emergency services

• media

• coroners

• employee representative

• OHS committee

• company representatives

• management

• health and safety representative

• health and safety officer Evidence may be recorded by

• receipts

• photography

• audio and visual recording

• notebook

• identification of samples

• seized property logs Physical evidence may include

• plant

• containers

• fibres

• samples

• tool marks

• chemical and biological

• identifying numbers

• record books

• dangerous good and hazardous substances Documentary evidence may

include • employer/employee documentation

• safety management records

• company records

• expert reports



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• time and wage records

• work method statements

• standard operating procedures

• log books

• maintenance records

• contracts

• training records

• policy documents

• workers compensation claims information

• register of injuries

• First Aid treatment book Methods of collection may

include • photographing/videoing

• utilising items in sampling kit

• appropriate environmental monitoring Methods of packaging may

include • metal and plastic containers

• plastic bags

• paper bags

• glass vials

• items in sample kit Relevant details from persons

may include • name

• contact details

• roles and responsibilities

• other details in accordance with the organisation’s operating procedures

• knowledge of and training in work practices Arrangements to protect

integrity of evidence may include

• control site access and egress

• cover evidence

• removal of evidence to ensure its protection



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Details of situation may include • time

• date

• location

• jurisdiction

• damage to property

• injury to persons

• personnel present

• physical details of situation

• evidence

• other details in accordance with the organisation’s procedures Resources may include

• technical experts

• experienced investigators

• legal

• equipment (camera, sample kits)

• other organisations Appropriate channels may

include • Coroner’s court

• Special Investigation Unit

• Department of Public Prosecution

• internal review committees/units and management

• legal units

• Crown Law

• prosecuting authorities



application of legislative requirements and organisational policies and procedures in all investigations




PSPWPI501A Evaluate Workplace Legislative Compliance.

PSPGOV502A Develop, Provide, Promote and Evaluate Client Services.

PSPREG410A Give Evidence



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• powers of inspectors under jurisdictional legislation

• functions and roles of other professionals and experts

• legislative requirements

• organisational investigations procedures


• communication

• negotiation

• analytical

• observation

• team work

• planning and organising

• interviewing and questioning

• recording statements


Consistency of performance evidence will need to be gathered over time in a range of investigation contexts

Context/s of assessment a real life incident, exercise or simulation, or series of tasks are required to demonstrate competency in this unit - this may involve setting scenarios to be completed either individually or as a member of a team











PSPWPI601A Improve Compliance through Industry Partnerships WORKPLACE INSPECTION


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Unit PSPWPI601A Improve Compliance through Industry

Partnerships

Unit Descriptor This unit covers the competency to establish and maintain effective industry partnerships to improve workplace Occupational Health & Safety and/or Workers Compensation and/or Injury Management and/or Workplace Relations performance, achieve legislative compliance and educate and assist stakeholders to improve workplaces.



1 Identify industry partners

1 Options for industry partnerships are evaluated in terms of likely effectiveness and potential partners are determined in accordance with organisational policy and procedures

2 Communication is established with partner/s to explore viability of partnership

3 Nature and duration of partnership is negotiated and established

4 Respective roles and activities of partnership are defined and agreed upon within organisational guidelines

2 Undertake partnership activities

1 Plan for cooperative partnering is developed and agreed

2 Options and specific proposals for improving performance in workplace legislative compliance are developed and incorporated

3 Options/proposals are implemented in accordance with partnering plan and organisational guidelines

3 Monitor and review partnering activities

1 Effectiveness of partnering activities is evaluated

2 Evaluation results are used to modify outcomes of joint activities

3 Value and effectiveness and outcomes of partnering arrangements are communicated to internal and external clients

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Potential industry partners may include

• industry reference groups

• industry peak bodies and associations

• employer groups and associations

• employee groups and associations

• other government organisations

• individual organisations

• community groups

• individual workplaces

Workplace legislative compliance may include

• Occupational Health and Safety and/or Workers Compensation and/or Injury Management and/or Workplace Relations

Options and specific proposals for improving workplace

legislative compliance may include

• industry codes or practice

• agreed industry strategies

• guidance materials

• task force

• memoranda of understanding

• joint learning/training initiatives

• community partnerships

Roles and activities of partnership may include

• enforcement activities

• establishment & implementation of Occupational Health & Safety and/or Workers Compensation and/or Injury Management and/or Workplace Relations policy and procedures

• safety management systems

• case management

• auditing

• education/training

• promotion/marketing

• awareness raising

• joint targeted compliance campaigns

• development of codes of practice

PSPWPI601A Improve Compliance through Industry Partnerships WORKPLACE INSPECTION


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Internal clients may include • team members

• industry teams

• management

• executive management


• advisory council

• OHS council

• the organisation’s board

• organisation staff

• commission

External clients may include • minister

• employer groups

• employee groups

• peak industry bodies

• other government organisations

• members of parliament

• community

• media

• insurers

• self insurers

• rehabilitation providers

• labour relations bodies



rationale for evaluation and choice of potential partners




PSPWPI604A Represent and Promote the Organisation

WORKPLACE INSPECTION PSPWPI601A Improve Compliance through Industry Partnerships


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Underpinning knowledge • Occupational Health and Safety and/or Workers Compensation and/or Injury Management and/or Workplace Relations legislation

• codes of practice related to Occupational Health and Safety and/or Workers Compensation and/or Injury Management and/or Workplace Relations

• industry/organisational standards

• organisational policy and procedures

• industry framework

• technological changes

• management changes

• industrial relations context

• safety management systems

• principles of cultural diversity, equity and social justice

Underpinning skills • communicating in a group setting

• interpersonal relations

• negotiating

• working with others in a team

• communicating in writing

• reading and explaining complex and formal documents such as legislation and their application to clients’ situations

• providing advice, and discussion using complex exchanges of oral information

• ability to maintain confidentiality

• recognition of cultural diversity


Consistency of performance evidence needs to be collected across a range of events over a period of time in a number of partnership contexts












PSPWPI602A Investigate Complex Issues WORKPLACE INSPECTION


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Unit PSPWPI602A Investigate Complex Issues

Unit Descriptor This unit covers the competency to research, plan and conduct investigations of Occupational Health and Safety and/or Workers Compensation and/or Injury Management and/or Workplace Relations matters which may be complex and/or have potential to attract a high level of community interest.



1 Research the scope of the investigation

5 Research on industry/enterprise or issue to determine degree of complexity is conducted initially and throughout the investigation

6 Inter-organisation relationships are identified to determine jurisdiction

7 The scope of the investigation is determined in accordance with research data, and planning and implementation of the investigation is congruent with this scope

2 Determine investigation issues

3 Major investigation issues and stakeholders are identified

4 Barriers to investigation are identified and solutions are implemented

5 Potential for external interest or involvement is determined and dealt with in accordance with organisational policy and procedures

3 Plan and conduct investigation

4 Steps required to conduct the investigation are determined

5 Resources required to conduct the investigation are identified and obtained

6 The investigation timeframe is established in accordance with the organisation’s guidelines

7 Investigation is conducted in accordance with the organisation’s policy and procedures

WORKPLACE INSPECTION PSPWPI602A Investigate Complex Issues


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4 Analyse information gathered during the investigation

1 Information is analysed to identify relevant issues, inter-relationships, trends and potential impact on stakeholders and on similar industries

2 Findings of the analysis are determined and documented in accordance with the organisation’s policy and procedures

5 Compile report 1 Results of analysis of information are reported according to the organisation’s policy and procedures

2 The findings from analysing information are used to provide advice or develop policies or solutions which meet client needs or organisation requirements


Complexity may include • technical, legal, social

• administrative

• size – where the number of offences may be a factor in managing the investigation

• involvement of other jurisdictions or other systems

• level of public or political interest

• international legislation

• number of parties involved

External interests may be • media

• political

• union

• community

• international/national industry

• enterprise

• academic

• Government organisations



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Stakeholders may include • community



• Coroner


• managers

• family members

• politicians

• peers

• union

• Commissioner

• employers

• designers

• manufacturers

• suppliers

• importers

• installers

Barriers may be • political and community – stakeholder sensitivity

• resources

• geographical location

• economic implication

• cultural

• language

• availability of research data

• availability of technical design information relevant to the investigation



justification for scope and congruency decisions, and estimated impact on similar industries




PSPWPI601A Improve Compliance through Industry Partnerships

WORKPLACE INSPECTION PSPWPI602A Investigate Complex Issues


Vol 1Sec 2 Page 525

Underpinning knowledge • principal legislation such as Occupational Health & Safety, Workers Compensation, Injury Management and Workplace Relations

• performance standard in the legislation

• impact of hazards/issues on persons

• industry practices where applicable such as awards and enterprise agreements

• organisational policies and procedures related to compliance activities

• principles of risk management including hierarchy of controls

• technical features associated with hazards and potential risks as these relate to jurisdictional issues

• investigation methodology and techniques

• investigation management tools

• basic understanding of the Australian legal system

• aspects of civil, criminal, administrative law and jurisdictions


• powers and restrictions to investigate

• rules of evidence, types of evidence

• reporting procedures which provide a written and/or electronic audit trail

• confidentiality and privacy issues • procedures re – lines of reporting

• storage of evidence

Underpinning skills • investigation skills for legislative compliance

• ethical conduct

• professionalism

• comprehension of complex written information

• writing reports and recommendations requiring precision of expression

• planning

• report writing

• communication, interpersonal and conflict/dispute resolution

• time management, planning, process mapping, decision making

• ability to adapt to changing circumstances and make decisions




Vol 1Sec 2 Page 526

Consistency of performance evidence needs to be collected across a range of events over a period of time in a number of investigation contexts

Context/s of assessment a real life incident, exercise or simulation or series of tasks are required to demonstrate competency in this unit - this may involve setting scenarios to be completed either individually or as a member of a team











WORKPLACE INSPECTION PSPWPI603A Manage Emerging Issues


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Unit PSPWPI603A Manage Emerging Issues

Unit Descriptor This unit covers the competency to identify, assess and respond to emerging issues, which may impact on workplace Occupational Health and Safety and/or Workers Compensation and/or Injury Management and/or Workplace Relations.



1 Identify issues 1 The environment is monitored to determine emerging issues

2 Formal and informal research is conducted to identify emerging issues

3 Issues are clarified and confirmed with stakeholders in accordance with legislation and organisational policy and procedures

2 Assess potential impact

1 Scope and magnitude of the impact is estimated and recorded

2 Nature and consequence of the potential impact is determined and used to develop a response strategy

3 Develop a response strategy

1 Response options are identified and prioritised in accordance with legislation and organisational policy and procedures

2 A response strategy is chosen that best addresses the impact in consultation with industry stakeholders

3 Performance measures to evaluate the effectiveness of the chosen response strategy are established

4 The chosen response strategy is implemented

4 Evaluate effectiveness

of the response 1 An evaluation plan is developed and documented

2 The response strategy is evaluated against the predetermined performance measures

3 The response strategy is modified on the basis of the evaluation if required

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4 The results of the evaluation are communicated to relevant stakeholders


Emerging issues that impact on workplace Occupational Health

& Safety and/or Workers Compensation and/or Injury

Management and/or Workplace Relations may include

• changes in work practices

• industry developments

• changes in work hire arrangements

• technological change

• political imperatives

• accident and incident data

• community concerns

• legislative changes

• emergency incidents

• court rulings

Environments may include • industry

• workplace

• political

• social

• international

• national

• statewide

• community

Research may include • methods

• work practices

• resources required

• statistical analysis

• industry networks

• observations

• operational experience

• information exchange




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Stakeholders may include • community




• managers

• politicians

• union

• Commissioner

• Minister

• employers

• employees

• designers

• manufacturers

• installers

• suppliers

• importers

• hirers

Response options may include • educational activities

• advice

• enforcement activities

• consultation

• targeted compliance campaigns

• community awareness program

• media release/campaign

• development and/or distribution of publications

• recommend legislative changes

• commissioned research

• political

• information technology Evaluation plan may include

• validity and reliability of performance measures and evaluation process

• resources

• data collection

• reporting mechanisms

PSPWPI603A Manage Emerging Issues WORKPLACE INSPECTION


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knowledge of response options and justification that response strategy chosen addresses the issue(s) identified





Underpinning knowledge • Occupational Health and Safety, Workers Compensation, Injury Management and/or Workplace Relations Legislation

• evaluation procedures


• industry standards

• codes of practice

Underpinning skills • research • analysis

• evaluation

• communication with a range of audiences requiring adaptation of style and language

• questioning to confirm understanding

• interpretation of complex information

• written reports requiring formal structure and language

• computer literacy






Vol 1Sec 2 Page 531











PSPWPI604A Represent and Promote the Organisation WORKPLACE INSPECTION


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Unit PSPWPI604A Represent and Promote the Organisation

Unit Descriptor This unit covers the competency to represent and promote the organisation in different settings by using a range of communication strategies to achieve desired outcomes.



1 Represent the organisation

1 A professional image of the organisation is promoted in accordance with the organisation’s policy and procedures

2 Information on issues, policies and practices is adapted for different audiences in terms of its range, depth and form of presentation, and communicated in writing and orally

3 Advice is developed and provided within the area of responsibility in accordance with organisational policy and procedures

4 Feedback is obtained on the client’s level of understanding and additional information or explanation clarifies issues if required

2 Use communication strategies to achieve desired outcomes

1 Communication strategies are tailored to the audience and the context

2 Communication strategies and content are adjusted in response to feedback from clients

3 When additional personnel are needed to assist with a strategy, they are briefed on the expected outcomes and their role/responsibilities in achieving them

4 Clients are advised of processes and timelines for receiving information when issues are referred to others for interpretation / advice on complex matters

3 Build and maintain networks and relationships

1 Time is allocated to establish and maintain networks and work relationships

2 Information, key people and networks are identified and accessed to assist in achieving work outcomes

3 Communication channels are established/maintained and information and ideas exchanged to provide

WORKPLACE INSPECTION PSPWPI604A Represent and Promote the Organisation


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Elements Performance Criteria benefits for clients and the organisation


Groups to which the organisation is promoted may

include

• formal and informal gatherings

• internal and external clients

• professional networks

• managers

• political groups

Desired outcomes may include • improved compliance with legislation

• greater awareness of occupational health and safety and/or injury management and/or workers compensation and/or workplace relations issues

• improved networks

• enhanced information sources

• improved image of the organisation

• promotion and marketing of the services provided by the organisation


• presentations

• promotions

• marketing

• answering and conveying descriptions, explanations and instructions

• consulting and advising

• structured interviewing

• discussions

• negotiating

• conflict resolution

• chairing and/or participating in meetings

• briefings

• counselling

• advocacy

Networks include • formal and informal information groups which are directly related to work activities or make a valuable contribution to effective performance

PSPWPI604A Represent and Promote the Organisation WORKPLACE INSPECTION


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knowledge of communication techniques suitable for different audiences





Underpinning knowledge • organisational policy, procedures and legislation

• organisational code of conduct

• industry awareness.

Underpinning skills • communication with a range of audiences requiring adaptation of style and language

• questioning to confirm understanding

• interpretation of complex written materials

• presentation

• mediation

• negotiation/conflict resolution

• chairing/facilitating groups


Consistency of performance evidence needs to be collected across a range of events over a period of time in a number of situations where the individual represents and promotes the organisation












WORKPLACE INSPECTION PSPWPI605A Audit Management Systems


Vol 1Sec 2 Page 535

Unit PSPWPI605A Audit Management Systems

Unit Descriptor This unit covers the competency to undertake audits of workplace Occupational Health and Safety and/or Workers Compensation and/or Injury Management and/or Workplace Relations and other management systems.



1 Plan, organise and undertake audit

1 The resources required to conduct the audit are identified and obtained

2 The relevant parties are consulted and informed of audit plans in accordance with the organisation’s policy and procedures

3 The environment is assessed for personal safety

4 The environment is assessed to ensure that it permits the audit to be fair, valid and reliable.

5 The audit arrangements and requirements are explained to the persons involved in the audit and to the relevant parties and their understanding of the purpose and processes confirmed

6 Documents are sighted and all other evidence specified in the audit procedure is gathered in accordance with the organisation’s policy and procedures and confidentiality is maintained

2 Evaluate audit results 1 Evidence gathered is evaluated for reliability, validity, authenticity, sufficiency, currency, and consistency in the achievement of the specific standards

2 The assessment decision is made in accordance with the purpose and objectives of the audit

3 Guidance is sought if in doubt, from a more experienced auditor(s)

3 Record audit results 1 The audit results are recorded and processed in accordance with organisational auditing procedures

2 Access to the audit records is provided only to authorised personnel

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3 Confidentiality of the audit outcome is maintained

4 Provide advice on

audit results 1 Audit results are discussed and confirmed with the

persons involved in the audit

2 Feedback including advice on corrective action(s) required is given to persons involved in the audit

3 Any audit decision that may be disputed is reported in accordance with the organisation’ s policy and procedures


Audit may include • assessment

• examination/test

• structured inspection of workplaces to validate management systems

• national/state or other relevant assessment instruments

• results of internal and external monitoring

Audits may be conducted by • an auditor working on his/her own

• a team comprising subject technical knowledge expert(s) and a lead auditor

• an auditor working in conjunction with an experienced auditor, trainer and/or supervisor

Relevant parties may include • the auditors

• key members/ representatives of the organisation being audited

• nominated contact person(s)

• managers concerned with the unit/section being audited

• audit manager

• audit team leader

• audit team members

• project manager

• employer association

• employee association

• community groups

• industrial commission



Vol 1Sec 2 Page 537

• insurance companies

• employer

• employee

• principal contractor

Documents may include • electronic databases

• videos

• intra/internet sites

• training/learning programs

• photographs

• written information

Resources required to conduct the audit may include

financial, such as:

• budget allocations

• travelling/subsistence allowances

• motor vehicle hire

physical, such as:

• motor vehicles

• measuring equipment

• photographic equipment

• computer equipment

• office location

• personal protective equipment

• telephone equipment

• stationery

• documentation (eg standards)

• electronic recording equipment

• office communication equipment.

Audit plan may address • the scope, purpose and objectives of the audit

• competency of auditor(s)

• record keeping and processing arrangements

• evaluation and review mechanisms

• quality assurance methods

• legislation


• standards

• guidance materials

• benchmarks



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Audit procedure may specify • recording procedure

• audit methods used

• evidence required

• location

• timing of audit

Evidence may include • documented instruction relating to the performance of tasks

• sets of oral/written/computer based questions

• checklists

• logbooks

• working guides

• manuals

• technical reports

• Standard Operating Procedures/work method statements

• policies and procedures

• employer/employee records

• contractor records

• third party records

• use of technology

• outcome of interviews

• outcome of focus groups

Assessment methods may include

• direct observation of performance

• practical tasks

• written/oral/computer-based questioning

• consideration of third party reports

• consideration of authenticated prior achievements

• use of measuring and testing equipment

• combination of methods

• statistical data relating to safety and health injury / disease and/or workplace relations



Vol 1Sec 2 Page 539



justification/explanation of the assessment decision and recommended corrective action





• legislation, codes, standards

• management systems

• powers of inspector, jurisdiction

• use of audit/assessment tools

• industry practices and procedures

• quality management principles

• organisational auditing procedures

• management system principles


• working with a variety of professionals

• attention to detail

• implementing methodical and systematic approach

• use of recording, testing and specialised evidence collection equipment

• auditing skills

• communication involving complex exchanges of oral information reading and analysing complex and formal documents

Resource implications simulated workplace for off-the-job assessment using scenarios, case studies or role plays; access to a variety of workplaces; access to audit equipment and tools

Consistency of performance evidence needs to be collected across a range of events over a period of time in a number of auditing contexts




Vol 1Sec 2 Page 540











WORKPLACE INSPECTION PSPWPI606A Contribute to the Development and Revision of Legislation and Related Documents


Vol 1Sec 2 Page 541

Unit PSPWPI606A Contribute to the Development and Revision of Legislation and Related Documents

Unit Descriptor This unit covers the competency to participate as an individual or as a team member in the development and revision of legislation, regulations, policy, procedures, standards, codes of practice and guidance material.



1 Provide guidance to stakeholders

1 Information and advice on the relevant acts, regulations, policies, procedures, codes of practice, standards & guidelines is provided in accordance with organisational policy and procedures

2 Documentation is provided that supports the information and advice given.

3 Advice on organisational policy reflects consideration of all relevant issues and is communicated in a manner that addresses the requirements of stakeholders

2 Participate in development and evaluation activities

1 Work is completed to evaluate the effectiveness of relevant legislation, policies, procedures, codes of practice and standards in accordance with organisational requirements

2 Trends are identified, analysed and communicated to stakeholders to be used as input in the development and revision of legislation, policies, procedures, codes of practice and standards

3 Organisational policy development and revision activities are undertaken in accordance with organisational requirements

3 Communicate progress and outcomes to stakeholders

1 Progress report(s) are provided to relevant stakeholders in accordance with agreed timelines

2 Comments are collected, analysed and communicated to others involved in the development and revision processes

3 Final report and recommendations are communicated to relevant stakeholders for action and/or implementation in accordance with organisational requirements

PSPWPI606A Contribute to the Development and Revision of Legislation and Related Documents

WORKPLACE INSPECTION


Vol 1Sec 2 Page 542


Stakeholders may include • organisational staff

• unions

• Minister

• other Government departments

• employer organisation

• Ministerial and other advisory councils

• advisory boards

• organisational board of management

• management

• industry

• community

• non-government organisations

• safety committees

• health & safety representatives

Relevant issues may include • Government policy

• community expectations

• workplace relations processes

Legislation and policy may also include

• procedures

• industry standards


• guidance notes

Reports may include • formal

• informal

• written

• verbal

WORKPLACE INSPECTION PSPWPI606A Contribute to the Development and Revision of Legislation and Related Documents


Vol 1Sec 2 Page 543


Critical aspects of evidence integrated demonstration of all elements and their related performance criteria;

communication with stakeholders is adjusted to meet the needs of different target audiences; and

explanation of why/how the supporting documents support advice given




PSPMNGT609A Formulate Business Strategies

BSBFLM511 Develop a Workplace Learning Environment Underpinning knowledge • Occupational Health and Safety legislation

• Workers Compensation legislation

• Workplace Relations legislation

• industry

• technical

• organisational structure

• organisational policy and procedures Underpinning skills • communication including advice and discussion involving

complex exchanges of oral information

• reading and explaining complex and formal documents such as legislation, regulations, policy etc

• negotiation

• conflict resolution

• analytical

• team work Resource implications simulated workplace for off-the-job assessment using scenarios,

case studies or role plays; access to a variety of workplaces

Consistency of performance evidence needs to be collected across a range of events over a period of time in a range of situations involving the formulation, revision and development of organisational policies, procedures, legislation, codes of practice and industry standards


PSPWPI606A Contribute to the Development and Revision of Legislation and Related Documents

WORKPLACE INSPECTION


Vol 1Sec 2 Page 544











COURTS PSPCRT401A Carry out court orderly functions


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COURTS COMPETENCY STANDARDS

Unit PSPCRT401A Carry out court orderly functions Unit Descriptor This unit covers court orderly functions in a range of courts

/ jurisdictions. It includes courtroom preparation, orderly functions while court is sitting (including use of court technology), and carrying out any action in accordance with court outcomes.

Key Area Courts

ELEMENT PERFORMANCE CRITERIA

1. Prepare the courtroom

1.1 Security search is conducted and doors to cells and secure areas are locked in accordance with standard operating procedures

1.2 Court layout, and equipment and technology requirements are arranged in accordance with the requirements of the court and legal practitioners

1.3 Courtroom amenities, clocks and calendars are checked and adjusted as required

1.4 On completion of sitting, courtroom is restored in accordance with organisational policy and procedures

5. Follow court procedures and protocols

2.1 Court forms and documents are prepared and used in accordance with organisational policy and procedures and legislative requirements

2.2 Proclamations are made in accordance with court procedures and protocols and organisational standards for oral presentations

2.3 Modes of address used, manner and movement in the courtroom, and instructions to court users and the public are made in accordance with court procedures and protocols and organisational requirements

2.4 Procedures for special court requirements are followed in accordance with legislative requirements and organisational policy and procedures

PSPCRT401A Carry out court orderly functions COURTS


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6. Manage court appearances

3.1 Persons are called and non-appearances are reported to the court in accordance with court procedures and protocols

3.2 Persons required to be accompanied to and from their station in the courtroom, are escorted in accordance with court procedures and protocols and operational safety requirements

3.3 Oaths are administered if required, in accordance with legislative and organisational requirements for the type of proceedings and client preference for the particular oath or affirmation

3.4 Court technology is used at the direction of the presiding official and contingencies are managed in accordance with organisational policy and procedures and the direction of the court

7. Take action in accordance with court outcomes

4.1 Action relating to reports ordered by the court are taken in accordance with legislative and organisational policy and procedures

4.2 Action relating to defendants’ release is taken in accordance with outcome and conditions ordered by the court

4.3 Action relating to placing persons in custody are taken in accordance with standard operating procedure for the court concerned

4.4 Documentary requirements of court outcomes are identified and completed in accordance with legislative and organisational requirements

RANGE STATEMENT The Range Statement provides information about the context in which the unit of competency is applied. The contextual variables listed allow 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 and relates to the unit as a whole. Equipment and technology may

include: • whiteboard

• electronic whiteboard

• electronic equipment for slides, videos etc

• remote viewing equipment

• video conferencing equipment

• overhead projectors

• computers

• document readers

• tape recorder for electronic recording of interviews



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Courtroom amenities may include:

• seating

• lighting

• air conditioning

• water and drinking cups

• court forms / documents Restoring courtroom may

include: • returning all files

• informing appropriate personnel that court has finished for the day

• turning off lights, air conditioning etc

• securing the courtroom Court forms and documents

may include: • cause list

• client information sheet

• witness forms

• juror’s forms

• statistical forms Instructions to court users may

include: • when to stand or be seated

• silence in court

• no eating or drinking

• not to approach dock Special court requirements

may include: • victim of crime present

• restraining orders / domestic violence order matters

• use of door panels for closed court Persons to be escorted may

include: • presiding official

• defendants

• jurors

• witnesses

• victims / complainants Oaths may include: • Oath

• Affirmation

• Jewish Oath

• Mohammedan Oath

• Interpreter’s Oath

• Interpreter’s Affirmation Contingencies may include: • equipment breakdown

• technology not functioning as required

• problems with information to be displayed Reports may include: • bail assessment report

• pre-sentence report

• psychiatric report

• police apprehension report

• suppression order report

• reporting conditions



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Release may include: • payment of fine/s

• disqualification from driving

• appointments to be made for assessments

• on bail (in custody / not in custody)

• guarantor required for bail or bond

• community service order Placing persons in custody

may include: • procedures for non-custody court

• back-up officers

• other personnel to attend eg police, corrective services

• escort and supervision

• safety search

• transport

• completing documentation Documentary requirements of court outcomes may include:

• paperwork for release on bail or community service orders

• guarantor’s details and documents to be signed

• remand/adjournment slips

• small claims proformas

• notice of payment forms

• care and protection forms

• adoption forms

• jury documentation

EVIDENCE GUIDE The Evidence Guide specifies the evidence required to demonstrate competency in this Unit. Evidence must relate directly to the Elements, Performance Criteria and Range Statement. This Evidence Guide must be read in conjunction with the Assessment Guidelines for the National Public Services Training Package.

Critical aspects of evidence • Integrated demonstration of all elements and their related performance criteria;

• Physical requirements of courtrooms;

• Knowledge and application of court protocols and procedures; and

• Knowledge of procedures in relation to court outcomes Interdependent assessment of units Pre-requisite units: Nil

(Pre-requisite units are units that must be achieved prior to this unit.) Co-requisite units: Nil (Co-requisite units are units that must be assessed together) Co-assessed units: Co-assessed units are units that may be assessed together to increase the efficiency and the realism of the assessment process. Consider co-assessing this unit with:

• PSPREG401B Exercise regulatory powers

• PSPCRT402A Manage witnesses

• PSPCRT403A Handle exhibits and declarations



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Knowledge requirements • Organisational policy and procedures relating to court orderly functions

• Court layout, procedures and protocols

• Modes of address and court terminology

• Legislative requirements relating to the court orderly function

• Operational safety procedures relating to court orderly functions

• Documentary requirements relating to the court orderly function

Skills requirements • Oral presentation skills to announce persons in court

• Communication skills to elicit information from persons attending court


• Literacy skills to complete court forms and documentation

• Numeracy skills to complete statistical returns

• Operation of court equipment and technology

• Occupational health and safety skills related to working in a court environment

Resource implications Resources required to conduct assessment include:

• procedures and protocols


• court documentation / forms

• court technology

• courtroom environment Consistency of performance Evidence needs to be gathered over time in a range of contexts to

ensure the person can achieve the unit outcome and/or apply the principles in different situations or change of environment

Context/s of assessment The conditions and environment required for valid assessment will include:

• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when performing the court orderly function, including coping with difficulties, irregularities and breakdowns in routine

• a variety of courts, courtrooms and proceedings Assessment methods suitable for valid and reliable assessment may include case studies, folios, scenarios, observation, questioning, demonstration or role plays



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Solve problems

Use technology


1 = undertake tasks effectively 2 = manage tasks 3 = evaluate and re-shape tasks For example, in this competency you may be:

• Collecting, analysing and organising information – to prepare court documentation

• Communicating ideas and information – to ensure parties understand court procedure

• Planning and organising activities – to setup courtrooms before and after court sittings

• Working with teams and others – to manage appearances of court users

• Using mathematical ideas and techniques – to complete statistical information

• Solving problems – when dealing with safety issues in court

• Using technology – to display evidence or information


COURTS PSPCRT402A Manage witnesses


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Unit PSPCRT402A Manage witnesses Unit Descriptor This unit covers the competency to handle witnesses

attending court to give evidence face-to-face or via closed circuit television.

Key Area Courts


2. Facilitate court appearances of witnesses

1.1 The presence of witnesses in the courtroom meets legislative and organisational requirements for the type of proceedings

1.2 Witnesses are identified, and their details recorded and provided to the court in accordance with organisational policy and practice and legislative requirements

1.3 Non-appearance of witnesses is reported to the court in accordance with court procedures

1.4 Witnesses are called, escorted to the witness box and sworn in, if required, in accordance with legislative and organisational requirements for the type of proceedings, using an oath/affirmation in line with the witness’ wishes

1.5 Witnesses apprehensive of giving evidence in front of an accused are provided with appropriate screening where this is available, at the direction of the judge and in accordance with organisational procedures

1.6 Administrative duties relating to witnesses’ appearances are completed in accordance with organisational procedures and timelines

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8. Maintain the integrity of court proceedings in a remote witness room

2.1 Witness room is prepared and equipment checked to ensure it is fully operational

2.2 Witness and other personnel authorised to be present, are positioned in accordance with organisational procedures so they are visible to the court, and those permitted to speak can be clearly heard

2.3 Security of witnesses, witness rooms and any exhibits is maintained at all times and any attempted security breach is reported to the court immediately in accordance with standard operating procedures

2.4 Functions in the witness room are performed according to set role in accordance with standard operating procedures and legislative requirements

2.5 At the end of the evidence and examination witnesses are delivered into the care of a responsible person and all exhibits returned in accordance with standard operating procedures and legislative requirements

RANGE STATEMENT The Range Statement provides information about the context in which the unit of competency is applied. The contextual variables listed allow 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 and relates to the unit as a whole.

Requirements for witnesses to leave court may include:

• proclamation at the commencement of a trial after jury is empanelled

• at the direction of the presiding official Providing witness details may

include: • prior to them being called to give evidence

• at an adjournment or break in proceedings

• as they enter court to give evidence Swearing in of witnesses may

include: • checking identification and swearing in interpreter first

• using Oath, Affirmation, Jewish Oath, Mohammedan Oath, Interpreter’s Oath, Interpreter’s Affirmation

Screening may include: • one-way mirror screen Administrative duties may

include: • determining eligibility of prosecution witnesses for payment of

witness fees

• organising sign-off and payment of witness fees

• recording information eg in witness book Witness room may include: • conference room where vulnerable witnesses give evidence via

closed circuit television Other personnel in witness

room may include: • court companion

• support person

• interpreter

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Set role may include: • Sheriff’s Officer or Court Officer maintaining integrity of court proceedings and ensuring that witnesses follow any direction of the presiding official

• security – ensuring no unauthorised person enters the room and the witness does not leave the room without the authorisation of the presiding official

• remaining with witnesses at all times especially in the event of interrupted transmissions or equipment failure

• not taking on a “support person” role ie not comforting a distraught witness or requesting adjournment

• not interrupting, intervening, coaching or intimidating witnesses

• not offering explanations, interpretation or guidance to witnesses

• not speaking to witnesses about the case or their evidence



• Knowledge of legislation and court procedures relating to witnesses; and

• Dealing with non-routine situations involving witnesses such as breaches in protocol or security that may impact on court proceedings



• PSPCRT401A Carry out court orderly functions Knowledge requirements • Role and function of Sheriff’s Officer or Court Officer in

relation to witnesses giving evidence face-to-face and via closed circuit television

• Legislative requirements of witnesses

• Court procedures and protocols relating to witnesses

• Standard operating procedures relating to witnesses

• Documentary and administrative requirements relating to witnesses appearing in court

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Skills requirements • Oral presentation skills to call witnesses and administer oaths/affirmations when required

• Communication skills to elicit witness information and deal with legal representatives and judge’s associate




• Operation of court technology in witness/conference rooms




• legislation relating to witnesses

• court documentation relating to witnesses

• courtroom and witness room environment

• court technology as in witness/conference rooms Consistency of performance Evidence needs to be gathered over time in a range of contexts to



• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when managing witnesses, including coping with difficulties, irregularities and breakdowns in routine

• witness room in technologically advanced court and courtroom without access to advanced technology









Solve problems

Use technology



For example, in this competency you may be:

• Collecting, analysing and organising information – to record witness details and prepare court documentation

• Communicating ideas and information – to legal representatives or judge’s associate

• Planning and organising activities – to prepare witness room and escort vulnerable witnesses

• Working with teams and others – in witness room, so all persons are in place and witness (and interpreter) can be heard clearly in court

• Using mathematical ideas and techniques – for payment of witness fees

• Solving problems – when dealing with breaches in protocol or security

• Using technology – in the witness room or court as needed


COURTS PSPCRT403A Handle exhibits and declarations


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Unit PSPCRT403A Handle exhibits and documents tendered Unit Descriptor This unit covers the competency to deal with court exhibits

and documents tendered to the court. It includes security of exhibits and witness statements before during and after proceedings and knowledge of legislative requirements relating to exhibits and declarations.

Key Area Courts


3. Handle exhibits 1.1 Exhibits are received and recorded in accordance with organisational policy and procedures and legislative requirements

1.2 Court exhibits are secured during short adjournments, overnight and at the conclusion of a trial in accordance with organisational policy and procedures and legislative requirements

1.3 Exhibits are passed for examination as required at the direction of the court, in accordance with standard operating procedures

1.4 Hazardous exhibits are handled by self and others using procedures and personal protective equipment in accordance with organisational safety requirements

1.5 Court documentation relating to exhibits is completed in accordance with legislative requirements and organisational policy, procedures and timelines

9. Deal with documents tendered to the court

2.1 Court registry is checked for documents tendered by the parties and administrative requirements are completed in accordance with organisational policy and procedures and legislative requirements

2.2 Documents are kept separate and secured in accordance with organisational policy and procedures and legislative requirements

2.3 When required, documents are delivered to court in accordance with organisational policy and procedures and legislative requirements

2.4 Administrative arrangements for tendered documents are implemented in accordance with the outcomes of the committal process

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Exhibits may include: • summonsed exhibits

• exhibits tendered during trial

• exhibits not to be tendered immediately and marked for identification

Security of exhibits may include:

• in locked courtroom

• locked in court exhibit room

• separated from other exhibits and clearly identified with the name of the trial

Passing exhibits may include: • between presiding official, bar table and witness box

• to jury

• to witness in witness room Hazardous exhibits may

include: • biological fluids

• other biological items

• stained items

• weapons (guns, knives) Court documentation may

include: • exhibit lists

• endorsement of receipt of exhibits forms Documents tendered by the

parties may include: • Crown papers

• prosecution witness statements

• medical records

• materials tendered in answer to a subpoena Outcomes of committal

process may include: • remand for declarations to be filed

• remand to answer charge

• remand for trial

• remand for sentence

• plea to a lesser charge

• dismissal



• Knowledge of legislation and procedures relating to exhibits and documents tendered to the court

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• PSPCRT401A Carry out court orderly functions Knowledge requirements • Legislative requirements related to exhibits and documents

• Court procedures and protocols relating exhibits and documents

• Organisational policy and procedures relating to exhibits and documents

• Documentary and administrative requirements relating to exhibits and documents

• Procedures for handling hazardous exhibits Skills requirements • Communication skills to ensure persons handling hazardous

exhibits understand procedures and need for personal protective equipment


• Literacy skills to complete court forms, documentation and administrative requirements

• Numeracy skills to record trial and courtroom numbers and to mark or tag exhibits

• Occupational health and safety skills related to working in a court environment and handling potentially hazardous exhibits



• legislation relating to exhibits and documents

• court documentation relating to exhibits and documents

• potentially hazardous exhibits

• courtroom environment and exhibit room Consistency of performance Evidence needs to be gathered over time in a range of contexts to



• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when dealing with exhibits and documents including coping with potentially hazardous exhibits


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Solve problems

Use technology




• Collecting, analysing and organising information – to complete court documentation

• Communicating ideas and information – to persons handling hazardous exhibits in court

• Planning and organising activities – to complete paperwork and deliver documents to court

• Working with teams and others – to ensure safety

• Using mathematical ideas and techniques – for numbering exhibits

• Solving problems – when dealing with breaches in protocol or security

• Using technology – to complete documentation as needed


COURTS PSPCRT404A Serve process


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Unit PSPCRT404A Serve process Unit Descriptor This unit covers service or attempted service of process as

requested by a court, tribunal, agency or other party. It includes knowledge of rules and legislative requirements for different jurisdictions and process to be served.

Key Area Courts


4. Complete preliminary requirements prior to serving process

1.1 Documents are checked prior to service to confirm correctness, validity, and administrative details

1.2 Documents incorrectly received are forwarded to correct location for service in accordance with organisational policy and procedures

1.3 Details of process to be served is entered into data system in accordance with organisational policy and procedures

10. Serve or attempt to serve process

2.1 Service of process is attempted in accordance with organisational policy and procedures, legislative requirements for the type of process served, the jurisdiction and prescribed timeframes

2.2 Where process must be served personally, the person or entity is identified and the nature of the document identified, if necessary under the rules, as it is served

2.3 Where service may be non-personal, process is served in accordance with legislative requirements

2.4 If process is not served immediately, additional attempts are made and records kept of these additional attempts in accordance with organisational policy and procedures, legislative requirements and prescribed timeframes

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11. Complete administrative requirements

3.1 Signatures acknowledging service of process are obtained in accordance with legislative requirements

3.2 Reports of service are completed, and affidavits are prepared, sworn, and dispatched with any annexures in accordance with organisational policy and procedures, legislative requirements and prescribed timeframes

3.3 Refusals to sign are detailed in affidavits of service in accordance with organisational policy and procedures

3.4 Reports or notices of non-service are prepared and dispatched in accordance with organisational policy and procedures, legislative requirements and prescribed timeframes

3.5 Data system is updated with method of service or non-service of process in accordance with organisational policy and procedures


Administrative details may include:

• sufficient copies

• fees paid or accounted for

• address for service

• sealed by the court

• signed by the Registrar (Court) Process may be served on: • individuals

• companies

• corporations

• registered and unregistered firms

• a ship or property on board a ship Service of process may

include: • identifying self and showing official identification if required

• establishing the identity of the required recipient

• identifying the nature or content of the process to be served



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Process may include: • originating process

• statements of claim

• notices to occupiers

• examination summons

• garnishment notices

• garnishee orders

• subpoenas

• notices of motion

• applications for dissolution of marriage

• family court maintenance or property distribution applications

• bankruptcy notices or petitions

• victim’s compensation

• summonses for jury prosecution

• industrial relations summonses

• residential tribunal summonses

• interstate process

• foreign process Jurisdiction may include: • Local courts (civil claims)

• Magistrates courts

• County courts

• District courts

• Supreme courts

• High court

• Federal court

• Family court

• Coroner’s Court

• Tribunals

• Federal Magistrates Service

• Admiralty Act and Rules and Acts relating to:

• bankruptcy

• victim’s compensation

• companies

• proceeds of crime

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Non- personal service may include:

• leaving the process with someone over a required age (eg 16) at the address specified on the process

• service to someone representing the person or entity such as:

• solicitor

• governor of a prison

• parent or guardian of minor

• guardian or tutor of disabled or incompetent person

• directors of a company

• chairperson, president or officer of a corporation

• staff working at a registered or unregistered firm

• a person apparently in charge of a ship or property Persons before whom affidavits

must be sworn may include: • Justice of the Peace

• Commissioner of Affidavits

• Notary Public

• solicitors

• persons authorised under the relevant legislation



• Knowledge of legislative requirements and organisational policy and procedures relating to service of process; and

• Management of contingencies such as recipients refusing to accept or sign for documents


• PSPREG401B Exercise regulatory powers Knowledge requirements • Legislation and rules relating to service of process

• Organisational policy and procedures relating to service of process

• Rules for swearing affidavits



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Skills requirements • Communication skills to identify intended recipients and deal with contingencies


• Literacy skills to interpret requirements of process to be served, complete affidavits and maintain records

• Numeracy skills to check required fees are paid

• Occupational health and safety skills related to maintaining operational safety while serving process


• policy and procedures relating to service of process

• legislation and rules relating to service of process

• selection of different processes to be served

• notices, reports and affidavits Consistency of performance Evidence needs to be gathered over time in a range of contexts to



• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when conducting evictions, including coping with difficulties, irregularities and breakdowns in routine













• Collecting, analysing and organising information – to complete preliminary requirements before serving process

• Communicating ideas and information – orally to recipients or in writing through notices and reports

• Planning and organising activities – to serve process

• Working with teams and others – to swear affidavits

• Using mathematical ideas and techniques – for checking payment of fees

• Solving problems – while dealing with contingencies

• Using technology – for data input and maintaining records as required


PSPCRT405A Handle monies received in satisfaction of warrants or orders

COURTS


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Unit PSPCRT405A Handle monies received in satisfaction of warrants or orders

Unit Descriptor This unit covers collection, receipt, security and banking of monies received in satisfaction of orders or warrants issued in either criminal or civil jurisdictions. It includes the competency to deal with difficult collection situations and knowledge of the policies, procedures and legislation related to handling civil monies.

Key Area Courts

Element PERFORMANCE CRITERIA

1 Receive monies 1.1 Authorisations for the collection of monies in satisfaction of an order or warrant are obtained / confirmed in accordance with organisational policy and procedures and legislative requirements

1.2 Risk assessment is made in accordance with organisational guidelines to ensure collection can be conducted safely

1.3 Monies are collected and receipted in accordance with organisational policy and procedures and legislative requirements

1.4 Contingencies are dealt with and safety of self and others is protected in accordance with organisational policy and procedures

1.5 Security of monies and receipt books is maintained in accordance with duty of care procedures

2 Deposit monies received

2.1 Monies received are secured and/or banked in accordance with organisational policy and procedures and designated timelines

2.2 Receipts and bank records are maintained in accordance with organisational policy and procedures and legislative requirements

2.3 Payments are processed and records completed in accordance with organisational policy and procedures and designated timelines

COURTS PSPCRT405A Handle monies received in satisfaction of warrants or orders


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Monies may include: • fines

• fees

• judgments

• cash

• cheques

• credit card transactions

• electronic funds transfer

• money orders Organisational policy and procedures may include:

• work instructions

• Standard Operating Procedures

• guidelines, manuals or handbooks

• financial audit Act/s guidelines Contingencies may include: • physical or verbal threats

• angry or aggressive clients

• dogs

• weather (windy / wet) Duty of care procedures may

include: • segregation of duties

• safeguarding of assets

• internal controls

• signing for receipt books

• external security providers Records may include: • receipts

• books of account

• daily banking summaries

• accounts reconciliation

• receipt registers

• accountable documents

• workplace records

PSPCRT405A Handle monies received in satisfaction of warrants or orders

COURTS


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• Knowledge of organisational policy and procedures and legislative requirements of handling monies received in satisfaction of warrants or orders; and

• Situations that include dealing with contingencies sometimes experienced when collecting monies to satisfy warrants or orders

Interdependent assessment of units Pre-requisite units: Nil (Pre-requisite units are units that must be achieved prior to this unit.) Co-requisite units: Nil (Co-requisite units are units that must be assessed together)

• Co-assessed units: Nil (Co-assessed units are units that may be assessed together to increase the efficiency and the realism of the assessment process.)

Knowledge requirements • Organisational policy and procedures relating to control of monies received in satisfaction of warrants or orders

• Operational safety procedures

• Financial guidelines

• Duty of care requirements relating to handling monies received in satisfaction of warrants or orders

Skills requirements • Communication skills to elicit required payments and to deal with difficult clients


• Literacy skills to maintain records

• Numeracy skills to complete financial records

• Operation of technology for credit card transactions or electronic funds transfer

• Occupational health and safety skills related to working in the court or in the field collecting monies to satisfy warrants or orders


• policy and procedures relating to control of monies received in satisfaction of warrants or orders


• financial guidelines

• forms or records

• access to technology for financial transactions Consistency of performance Evidence needs to be gathered over time in a range of contexts to


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• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when handling monies received in satisfaction of warrants or orders, including coping with difficulties, irregularities and breakdowns in routine

• varied collection situations eg at court, at client’s property Assessment methods suitable for valid and reliable assessment may include case studies, folios, scenarios, observation, questioning, demonstration or role plays








Solve problems

Use technology




• Collecting, analysing and organising information – to complete transaction records

• Communicating ideas and information – while identifying authority and payment required from clients

• Planning and organising activities – to implement collection procedures

• Working with teams and others – to collect and bank monies

• Using mathematical ideas and techniques – for accounts reconciliation


• Using technology – for electronic financial transactions and records as required


PSPCRT406A Compile and use official notes COURTS


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Unit PSPCRT406A Compile and use official notes Unit Descriptor This unit covers the competency to keep notes and use

them to give evidence in court, prepare statements and compile reports, including incident reports. It includes knowledge of the essential elements of note taking, statement and report preparation, and legislative and organisational requirements for the structure and content of official reports.

Key Area Courts


5. Record and retain original notes

1.1 Official notebooks are used to record original notes relating to incidents and occurrences in a format and timeframe that meets organisational and legislative requirements

1.2 The time notes are made, and their content and sequencing meets organisational requirements

1.3 Official notebooks contain identifying information and are retained and kept secure for the length of time required by law and in accordance with organisational policy and procedures

12. Use notes to make statements

2.1 Notes are used to refresh memory and provide factual basis for statements

2.2 Statements are organised in chronological order and contain all required details in accordance with legal and organisational requirements

2.3 Format of statements meets legal and organisational requirements

13. Use notes to give evidence

3.1 Notes are used prior to giving evidence to refresh memory and enable answers to be concise and factual

3.2 Authority is requested of presiding official to refer to notes while giving evidence in court in accordance with court procedure and protocols

3.3 Evidence is factual, correctly sequenced and accurately reflects information in notes

3.4 Presentation standards meet organisational guidelines and the requirements of the court

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14. Compile reports 4.1 Information for reports is collected, analysed and organised into a logical sequence in accordance with the purpose and audience of each report

4.2 Format/s for reports meet organisational requirements for structure, style and content

4.3 Incident reports are compiled in accordance with organisational policy and procedures and legislative requirements, and contain all required information and outcomes

4.4 Administrative requirements for reports are met in accordance with organisational requirements for information management


Format for original notes may include:

• dates, times and signatures at beginning / end of notes

• time notes started

• no blank lines

• writing in ink, not pencil

• no corrective fluid

• time notes completed Content and sequencing of

notes may include: • only facts

• no opinions

• chronological sequence Identifying information may

include: • name

• identification number

• date of issue Required details for statements

may include: • times

• dates

• places

• events

• parties

• statements taken Statements may include • original notes

• said comments to statement writer



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Answers when giving evidence may include:

• yes

• no

• can’t recall

• facts only

• no opinions Presentation standards may

include: • dress eg wearing uniform

• manner

• preparedness

• clarity of speech

• concise answers Reports may include: • incidents

• lost and found property

• occupational safety issues

• maintenance faults

• purchase submissions Requirements for reports may

include: • complete

• concise

• clear

• correct

• honest Incident report format may

include: • date and time of incident

• date and time of report

• persons involved

• occurrence

• body of report

• outcomes Administrative requirements

may include: • report number

• cross-referencing to other reports

• file number

• number of copies and where each is lodged



• Knowledge of organisational and legislative requirements of official notes and reports; and

• Giving evidence in situations of examination and cross-examination under pressure

COURTS PSPCRT406A Compile and use official notes


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• PSPCRT404A Serve process Knowledge requirements • Key requirements and reasons for note-taking for official

purposes

• Essential elements of a report

• Legislative and organisational requirements for the structure and content of official reports

• Requirements of giving evidence

• Legal requirements to provide copies of statements Skills requirements • Communication skills to interpret notes and give evidence


• Literacy skills to take notes and compile reports

• Numeracy skills for chronological sequencing of events and assigning report / file numbers

• Use of technology for preparing reports

• Occupational health and safety skills related to note taking on the job or working in an office environment


• policy and procedures relating to note taking, official reports and giving evidence in court


• formats for a range of reports

• information technology for preparing reports

• courtroom environment for giving evidence Consistency of performance Evidence needs to be gathered over time in a range of contexts to



• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when taking notes, compiling reports and giving evidence, including coping with difficulties, irregularities and breakdowns in routine

• a number of reports to cover the range normally encountered in the workplace




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Solve problems

Use technology




• Collecting, analysing and organising information – for a report

• Communicating ideas and information – from notes

• Planning and organising activities – to prepare for a court appearance

• Working with teams and others – to give factual, concise evidence

• Using mathematical ideas and techniques – for chronologically sequencing events

• Solving problems – by interpreting notes in order to give evidence

• Using technology – to prepare reports as required


COURTS PSPCRT501A Perform court duties


Vol 1Sec 2 Page 573

Unit PSPCRT501A Perform court duties Unit Descriptor This unit covers the competency to perform duties in a

range of courts / jurisdictions. The court orderly function is not included here. It is addressed in detail in unit PSPCRT402A.

Key Area Courts


6. Confirm the requirements of the court

1.1 The court /jurisdiction is identified, and its sittings confirmed

1.2 Types of proceedings and matters to be heard are identified and any special requirements confirmed with the presiding official

1.3 Parties to be in attendance are identified in accordance with requirements specific to the court and the matters to be heard

1.4 Court layout, and equipment and technology requirements are identified in accordance with the requirements of the court and legal practitioners

15. Perform court duties 2.1 Court duties are performed in accordance with general protocols and procedures

2.2 Terminology used in and about court precincts is applied in accordance with general court protocols

2.3 Duties specific to the court’s jurisdiction are performed in accordance with legislative and organisational procedures and protocols

16. Complete court documentation

3.1 Records required prior to court commencement and/or at conclusion are completed in accordance with legislative and organisational requirements

3.2 Documentary requirements of court outcomes are identified and completed in accordance with legislative and organisational requirements

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Courts may include: • Local courts

• Magistrates courts

• County courts

• District courts

• Supreme courts

• High court

• Federal court

• Family court

• Coroner’s Court

• Tribunals

• Federal Magistrates Service Jurisdiction may include: • for magistrates courts – civil jurisdiction, small claims,

investigation summons, committals, callover procedures, trial court procedures

• for juvenile/youth courts – jurisdiction to deal with juvenile offences, adoptions, care and protection

• for Coroner’s courts – jurisdiction to deal with disappearances as well as deaths

• for Supreme and District courts – jurisdiction to deal with criminal trials, basha inquiries, competency hearings, Deitrich applications, plus criminal court of appeal, plus civil matters

• for High court –

• for Federal court – Types of proceedings may

include: • Call Over procedures

• pre-trial conferences

• committal procedures

• small claims

• investigation/examination summonses

• jury trials

• judge only trials



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Matters to be heard may include:

• civil matters

• directions hearings

• arraignments

• bail applications

• committal hearings

• criminal trials

• voir dires

• interlocutory proceedings

• in camera hearings

• competency hearings

• interpleaders

• rescue

• appeals

• parole applications

• juvenile offences

• adoptions

• care and protection matters

• family court matters

• inquests

• failure to appear

• breach of bail hearings

• breach of security hearings

• contempt hearings

Special requirements may include:

• legislative conditions relating to who may be present

• closed court

• whether note-taking is permitted

• use of tape recorders in court

• vulnerable witnesses

• special furniture or equipment

• juries to be sworn separately or as a whole Parties may include: • presiding official/s

• judge’s associate

• officers of the court

• parties to the proceedings

• prosecutor

• legal representatives

• court reporter

• jury panel

• witnesses

• corrective services personnel

• police

• parents

• guardians

• social workers

• family and community services personnel

• interpreter/s

• victims of crime

• counsel assisting the Coroner

• coronial services officers

Court layout requirements may include:

catering for

• multiple defendants and their legal representatives

• juveniles

• use of technology

• vulnerable witnesses

• potentially dangerous defendants Equipment and technology may

include: • whiteboard

• electronic whiteboard

• electronic equipment for slides, videos etc

• remote viewing equipment

• video conferencing equipment

• overhead projectors

• computers



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• document readers

• tape recorder for electronic recording of interviews Court duties may include: • court orderly duties

• proclamations for opening, end of day and closing court

• court security

• responsibility for exhibits

• set up and correct functioning of court technology

• execution of process General protocols and

procedures may include: • correct mode of address for judges, magistrates and other court

users, in and out of court

• procedures for entering and leaving a courtroom, and escorting presiding officer, complainant, witnesses, juries

• standard operating procedures for dealing with disorderly conduct in court

• security procedures

• procedures for recording of information

• file handling procedures

• procedures for handling juries, witnesses, exhibits, etc

• procedures for dealing with vulnerable witnesses

• protocols relating to the public Terminology may include: • action

• adjournment

• affidavit

• affirmation

• associate

• bail

• bar table

• bench

• cause list

• claim

• closed court

• complaint

• court

• court monitor

• Crown

• defendant

• depositions

• dock

• duty

• estreatment

• ex parte

• information

• jury box

• judge / justice / magistrate

• nolle prosequi

• oath

• precincts

• process

• prosecutor

• recognisance

• remand

• sheriff

• sine die

• statement

• summons

• tipstaff

• under oath

• voir dire

• warrant

• witness

• witness box

This list provides examples only and is not meant to be exhaustive or prescriptive



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Duties specific to the court’s jurisdiction may include:

• placing a person in custody when ordered by the court

• receiving driving licences after disqualification

• making appointments for drug assessment, driving assessment etc

• dealing with emotionally distressed people attending inquests

• ensuring only relevant people are admitted to the courtroom especially in juvenile courts

• working with private security guards or escort services for defendants in custody

Legislation may include: State, Territory and Commonwealth Acts relating to: • courts

• crime

• fines

• bail

• residential tenancies

• children’s protection

• juvenile offenders

• family law

• bankruptcy

• admiralty

• coroners

Records may include: • cause list

• client information sheets

• statistical data forms

• witness details

• exhibit lists

• claims forms for witnesses, jurors

• payment forms

• cover sheets for declarations

• inquest logs Documentary requirements of court outcomes may include:

• paperwork for release on bail or community service orders

• guarantor’s details and documents to be signed

• remand/adjournment slips

• small claims proformas

• notice of payment forms

• care and protection forms

• adoption forms

• warrants



• Knowledge of the range of courts in the state, territory or commonwealth, their jurisdictions and the types of matters they deal with; and

• Knowledge and application of court protocols and procedures



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• PSPCRT502A Manage jurors Knowledge requirements • Court hierarchy and jurisdictions

• Relevant court proceedings and terminology

• Court layout, procedures and protocols

• Requirements of, and offences under enabling legislation

• Operational procedures Skills requirements • Oral presentation skills to announce persons in court

• Communication skills to elicit information from persons attending court




• Operation of court technology




• legislation

• court documentation

• court technology

• courtroom environment Consistency of performance Evidence needs to be gathered over time in a range of contexts to



• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when performing court duties, including coping with difficulties, irregularities and breakdowns in routine

• a variety of courts, courtrooms and proceedings Assessment methods suitable for valid and reliable assessment may include case studies, folios, scenarios, observation, questioning, demonstration or role plays



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Solve problems

Use technology





• Communicating ideas and information – to ensure parties understand court procedure

• Planning and organising activities – to setup courtrooms before and after court sittings

• Working with teams and others – to manage witnesses and jurors


• Solving problems – when dealing with difficult situations / people in court

• Using technology – for remote witnesses or to display evidence


PSPCRT502A Manage jurors COURTS


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Unit PSPCRT502A Manage jurors Unit Descriptor This unit covers the competency to handle jurors, before,

during and after they are selected for jury duty to ensure the integrity of the jury process. It includes underpinning knowledge of the jury selection process, legislative requirements of jurors, and general procedures and protocols relating to jurors.

Key Area Courts


7. Support the jury selection process

1.1 Jurors are directed to assembly point and preliminary procedures are completed in accordance with legislative and administrative requirements

1.2 Jury panel information is provided and retrieved in accordance with statutory requirements and organisational policy and procedures

1.3 Jurors are escorted to court and directed to the jury box in accordance with court procedures and protocols

1.4 Selected jurors are provided with orientation to the jury room, briefed on general protocols and relevant documentation completed

1.5 Jurors not empanelled are directed from the courtroom and further commitments to attend court are confirmed in accordance with the court’s requirements

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17. Ensure the welfare and security of jurors during trials

2.1 Juror’s needs are addressed and the integrity of jurors is preserved through maintenance of an impartial and courteous relationship in accordance with legal requirements and organisational policy and procedures

2.2 Jury security procedures are implemented in accordance with standard operating procedures, in the court and court precincts, during jury deliberations and when jurors leave the courthouse for meals

2.3 Questions from jurors are dealt with in accordance with legislative requirements and organisational policy and procedures

2.4 Jury views are facilitated in accordance with legislative requirements and organisational policy and procedures

2.5 Procedures for jury deliberations are followed in accordance with legislative requirements and the number of officers on duty

18. Complete post-trial duties after jury is discharged

3.1 Items used and produced by jurors during deliberations are dealt with in accordance with organisational policy and procedures

3.2 Jurors are briefed on support or counseling available to them in accordance with organisational policy and procedures

3.3 Jurors are escorted from court precinct in accordance with standard operating procedures and any special requirements

3.4 Jury room is restored in accordance with legislative and organisational policy and procedures

3.5 Administrative duties relating to the jury are completed in accordance with organisational procedures and timelines



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Preliminary procedures may include:

• roll call

• checking identification against jury summons

• correcting details – eg spelling of names, change of name or address etc

• identifying public servants (who may be ineligible for payment)

• dealing with administrative problems

• providing information to jurors

• confirming requirements

• describing court layout, where parties sit and where jurors will go during empanelling

• procedures for oath/affirmation

• identifying exempt jurors

• identifying jurors who wish to make application to the judge to be excused from service

• notifying judge of number of applications for being excused and number of prospective jurors

Provision of jury panel information may include:

• to presiding judge alone

• to Crown

• to Defence Counsel/s

• immediately prior to selection

• being returned immediately after jury selection Procedures in relation to jury

selection may include: • personal applications to be excused

• excusing jurors who know witnesses

• names or identification numbers called

• challenges to jurors before they take their seat in the jury box

• procedure for those challenged to leave the court

• security of jury cards once a trial is in process

• ban on use of tape recorders during selection Orientation may include: • court layout

• how to gain entry to the jury room

• emergency exit procedures

• arrangements for lunch or evening adjournments

• arrangements for leaving and re-entering court on succeeding days

• procedure for emergencies that prevent juror from attending court on time

• procedures for messages to jurors in case of emergencies

• jury room to be locked while jury is in court and after evening adjournment



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Documentation may include: • selected jurors form

• jury telephone contact form

• jury attendance sheet

• jury statistics returns General jury protocols may

include: • role and selection of foreperson

• use of jury communication forms

• no mobile telephones or pagers in court

• surrender of mobile phones and pagers during jury deliberations

• jurors not to be approached by other people while in court or jury room

• no contact with counsel or witnesses during adjournments

• avoiding unnecessary contact with public Jury security procedures may

include: • escorting jurors

• keeping jury room closed/locked

• ensuring jurors are not approached during meals and breaks

• protecting identities of jurors

• ensuring jurors are not photographed

• not allowing criminal trial jurors to separate during meals when deliberating

• transport arrangements for jury views

• keeping jurors apart from other court members during jury views

• the role of showers Questions from jurors may

include: • sitting times for court and when they will be required

• those relating to the trial or the principles and practices of law that must be in writing and referred to the presiding judge

• requests for items such as street directory, dictionary, whiteboard etc that must be referred to the presiding judge

Jury deliberations may include: • access to exhibits tendered during trial (subject to judge’s direction)

• access to electronic equipment

• information requests

• questions for the judge

• questions where the judge determines the court must re-convene to hear the questions and their answers

• majority verdict in the case of civil trials Items used or produced by

jurors may include: • written material that must not be retained by jurors

• juror’s notebooks

• whiteboarded information that must be removed

• trial paperwork

• exhibits

• reference books or other requested items

• juror’s identification tags



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Escorting juries from court precinct may include:

• avoiding public areas

• notifying security control of special circumstances Administrative duties may

include: • completion of jury cards

• payment to jurors

• completion of forms, court returns, statistical returns, covering reports

• dealing with court files



• Knowledge of the jury selection process, the legislative requirements and general procedures and protocols relating to jurors; and

• Dealing with non-routine situations that require judgments to be made to preserve the integrity of jurors and ensure their security


• PSPCRT501A Perform court duties Knowledge requirements • Jury selection process

• Role and function of juries

• Legislative requirements of jurors

• General procedures and protocols relating to jurors

• Standard operating procedures relating to jury management

• Court procedures relating to juries

• Documentary and administrative requirements relating to juries

Skills requirements • Oral presentation skills to brief jurors and announce persons in court

• Communication skills to provide appropriate information to jurors and confirm personal details







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• legislation relating to juries

• court documentation relating to juries

• courtroom and jury room environment

• location for jury view Consistency of performance Evidence needs to be gathered over time in a range of contexts to



• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when managing juries, including coping with difficulties, irregularities and breakdowns in routine

• civil and criminal trial juries

• jury room in technologically advanced court and one without access to advanced technology









Solve problems

Use technology


1 = undertake tasks effectively; 2 = manage tasks; 3 = evaluate and re-shape tasks For example, in this competency you may be:


• Communicating ideas and information – to ensure juries understand the procedures and protocols applying in court, and support available to them after a trial

• Planning and organising activities – to escort jurors on a jury view

• Working with teams and others – to manage jurors alone or with other court officers


• Solving problems – when dealing with requests from jurors

• Using technology – in the jury room or court as needed


PSPCRT503A Execute process COURTS


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Unit PSPCRT503A Execute process Unit Descriptor This unit covers execution or attempted execution of

warrants, orders or writs, as directed by a court and may include civil and/or criminal execution. It includes underpinning knowledge of legislation and organisational policy and procedures relating to execution of process and operational safety.

Key Area Courts


8. Complete preliminary requirements prior to execution of process

1.1 On receipt, warrants are endorsed with the time and date, and where multiple warrants are issued against the same judgment debtor/defendant, priorities for execution are determined in accordance with legislative requirements of the issuing jurisdictions

1.2 Details of process to be executed are entered into data system in accordance with organisational policy and procedures

1.3 Warrants are checked prior to execution to confirm requirements, details of judgment debtors/defendants, accompanying documents and time and date of issue

1.4 Where possible, risk assessment and any assistance required to execute process, are determined in advance

1.5 Stays of action are dealt with in accordance with legislative requirements

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19. Execute or attempt to execute process

2.1 Attempts are made to locate the judgment debtor/defendant and make a demand for payment in accordance with organisational policy and procedures and legislative requirements

2.2 Attendance at the location occurs as instructed by the court, and identification of the judgment debtor/defendant is made in accordance with organisational policy and procedures

2.3 If the judgment debtor/defendant is absent, or has left the address, information is gathered on possible whereabouts, and whether goods belonging to the judgment debtor are available for seizure

2.4 If the debt is not satisfied and property belonging to the judgment debtor/defendant is identified, it is seized in accordance with organisational policy and procedures and legislative requirements

2.5 Safety of self and others is maintained and the need for assistance is determined and arranged in accordance with organisational procedures

2.6 If claims of ownership of the seized property are made by other than the judgment debtor/defendant, this information is recorded and claimants advised of the process to progress their claim

2.7 The value and types of seized property comply with organisational policy and procedures and legislative requirements

2.8 Custodian and/or removal and storage, maintenance, and sale of seized property are arranged in accordance with organisational policy and procedures and legislative requirements



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3.1 If process is unable to be executed, relevant documentation is completed and follow-up action determined in accordance with organisational policy and procedures and legislative requirements

3.2 If seizures are effected, inventories and/or other required documents are completed, signed and provided in accordance with organisational policy and procedures and legislative requirements

3.3 Monies seized or received in satisfaction of a writ are dealt with in accordance with organisational policies and procedures and legislative requirements

3.4 Data system is updated and organisational records completed in accordance with organisational requirements and timeframes


Process may include: • warrants

• orders

• writs eg writ for levy of property, writs of execution Warrants include: • writs and orders

Accompanying documents may include:

• application of debt

• verifying affidavit

• notice to judgment debtor of writ of execution Stays of action may include: • loss of priority

• withdrawal from possession and return of writ

• expiry of writ and return of property

• expiry of writ and disposal of property

• notice of disposal

• record of disposal Assistance required may

include: • police and other agencies

• locksmiths

• legal advisers

• harbour master

• removalists

• towing contractors

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Information on whereabouts may include:

• new address

• name of rental agent of premises

• how long since judgment debtor resided at address Claimant information may

include: • full details of alleged owner

• nature of ownership

• documentary evidence of ownership

• need to forward claim in writing Type of property able to be

seized in satisfaction of a writ or warrant may include:

• goods and chattels

• land or real estate in which the judgment debtor’s right title and interest may be sold

• monies, bank notes, cheques, bills of exchange, promissory notes, bonds or other securities

Type of property exempt from seizure may include:

• wearing apparel, bedding, bedroom or kitchen furniture, tools of trade, plant and equipment, professional instruments, reference books in use by the debtor or their family, depending on the rules of the court jurisdiction and legislative requirements

Value of goods seized may include:

• amount of writ/s plus costs, fees and charges sufficient to satisfy writ/s



• Knowledge of legislative requirements and organisational policy and procedures relating to execution of process; and

• Management of contingencies such as being refused entry, refusal to sign documents, or missing debtors


• PSPCRT504A Carry out possessions/evictions Knowledge requirements • Legislation relating to execution of process

• Organisational policy and procedures relating to execution of process, in particular, seizure

• Operational safety procedures relating to seizure



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Skills requirements • Communication skills to deal with judgment debtors, defendants and creditors


• Literacy skills to interpret warrants and maintain records

• Numeracy skills to estimate value of goods to be seized

• Risk assessment relating to persons occupying property

• Occupational health and safety skills related to maintaining operational safety while executing process


• policy and procedures relating to execution of process

• legislation relating to execution of process

• warrants, orders and writs

• a range of goods to value

• inventories, notices, records and receipts Consistency of performance Evidence needs to be gathered over time in a range of contexts to



• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when conducting evictions, including coping with difficulties, irregularities and breakdowns in routine









Solve problems

Use technology




• Collecting, analysing and organising information – to complete preliminary requirements for execution of process

• Communicating ideas and information – to judgment debtors, defendants and creditors

• Planning and organising activities – to execute process

• Working with teams and others – such as Police, if necessary

• Using mathematical ideas and techniques – for estimating the value of goods to be seized


• Using technology – for data input and maintaining records as required


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Unit PSPCRT504A Carry out possessions/evictions Unit Descriptor This unit covers the competency to carry out

possessions/evictions under writs and warrants. It includes management of contingencies and underpinning knowledge of legislative requirements and organisational policy and procedures relating to evictions/possessions.

Key Area Courts


9. Complete preliminary requirements prior to carrying out possessions/evictions

1.1 Writs/warrants are checked prior to execution to confirm their validity, expiry date and detailed requirements

1.2 Where relevant, notices to vacate are prepared and delivered and possession/eviction dates and times are confirmed with the occupant, where possible, in accordance with legislative requirements and timeframes

1.3 Possession/eviction dates and times are confirmed with personnel to be present, and their responsibilities outlined in accordance with legislative requirements

1.4 Risk assessments are conducted to identify potential safety issues and assistance is arranged according to the level of identified risk in accordance with organisational policy and procedures and legislative requirements

1.5 Arrangements are made for payment of possession/eviction fees in accordance with organisational policy and procedures

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21. Carry out possessions/evictions

2.1 If the plaintiffs or their representatives are unable to attend, the possession/eviction is re-scheduled in accordance with legislative requirements and timeframes

2.2 All persons on the premises without right are requested to leave in accordance with legislative requirements and organisational policy and procedures

2.3 If occupants refuse to leave they are forcibly removed in accordance with legislative powers, and contingencies are dealt with using standard operating procedures

2.4 Where assistance is required to remove occupants, this is obtained in accordance with organisational policy and procedures

2.5 Once all required persons, goods and chattels are outside the property line, possession is given to the plaintiffs or their representatives in accordance with the conditions of the writ or warrant


3.1 Signature/s of the plaintiffs or their representatives are obtained on a receipt of possession which is retained with the writ/warrant in accordance with legislative and organisational requirements

3.2 Possession/eviction fees are receipted in accordance with organisational policy and procedures

3.3 Organisational records are completed and reporting requirements are met in accordance with organisational policy, procedures and timeframes


Validity may include: For example:

• 12 months from date of issue for writs of possession

• 28 days from date of issue for residential tribunal warrants Responsibilities of plaintiffs

may include: • provision of a locksmith to gain access and secure premises

• payment of possession/eviction fees

• negotiating the removal of occupants’ belongings after possession/eviction

• signing receipt for possession

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Assistance may include: • additional Sheriff’s Officers

• Police

• manual labour Occupants may include: • defendants identified as having to vacate

• occupants who are allowed to remain even though others have been identified as needing to be evicted

Dealing with contingencies may include:

• use of defendant interaction techniques

• disengaging

• calling the Police Payment of fees may include: • by plaintiff

• by landlord

• part-payment, with the balance subsidised Reporting requirements may

include: details of:

• warrant number

• file number

• date of issue

• date received

• date executed

• amount owing

• time taken to execute



• Knowledge of legislative requirements and organisational policy and procedures relating to possessions/evictions; and

• Management of contingencies such as occupants refusing to vacate premises


• PSPCRT503A Execute process Knowledge requirements • Legislation relating to possessions/evictions and execution of

process

• Organisational policy and procedures relating to possessions/evictions

• Operational safety procedures

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Skills requirements • Communication skills to coordinate possession/eviction date and to deal with difficult occupants


• Literacy skills to interpret writs and warrants and maintain records

• Numeracy skills to ensure required fees are paid

• Risk assessment relating to persons occupying property

• Occupational health and safety skills related to maintaining operational safety while conducting possessions/evictions


• policy and procedures relating to possessions/evictions

• legislation relating to possessions/evictions and execution of process

• writs and warrants

• notices, records, receipts and returns Consistency of performance Evidence needs to be gathered over time in a range of contexts to



• an environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered when conducting possessions/evictions, including coping with difficulties, irregularities and breakdowns in routine









Solve problems

Use technology




• Collecting, analysing and organising information – to complete preliminary requirements for possessions/evictions

• Communicating ideas and information – to defendants, plaintiffs or their representatives

• Planning and organising activities – to carry out possessions/evictions

• Working with teams and others – such as Police, if necessary

• Using mathematical ideas and techniques – for organising payment of possession/eviction fees


• Using technology – for maintaining records or returns as required
