Unit of competency details

PSPREG401C - Exercise regulatory powers (Release 3)


Usage recommendation:
Is superseded by and equivalent to PSPREG003 - Apply regulatory powersUnit code updated. Content and formatting updated to comply with the new standards. All PC transitioned from passive to active voice. Unit title changed to better reflect unit outcomes. Assessment Requirements created drawing upon specified assessment information from superseded unit. 06/Mar/2016

Release Status:
ReleaseRelease date
3 (this release) 01/Nov/2012
(View details for release 2) 07/Mar/2012
(View details for release 1) 24/Sep/2008

Accredited courses that have this unit in the completion mapping

Training packages that include this unit

CodeTitleSort Table listing Training packages that include this unit by the Title columnRelease
SFI11 - Seafood Industry Training PackageSeafood Industry Training Package 2.0-2.2 
RGR08 - Racing Training PackageRacing Training Package 2.0 
PSP12 - Public Sector Training PackagePublic Sector Training Package 1.0 
MAR13 - Maritime Training PackageMaritime Training Package 1.0 
MAR - Maritime Training PackageMaritime Training Package 2.0-4.0 
CPP07 - Property Services Training PackageProperty Services Training Package 13.0-14.5 

Qualifications that include this unit

CodeTitleSort Table listing Qualifications that include this unit by the Title columnRelease
SFI40411 - Certificate IV in Fisheries ComplianceCertificate IV in Fisheries Compliance 1-2 
RGR50408 - Diploma of Racing Services (Track Management)Diploma of Racing Services (Track Management) 1-3 
RGR50308 - Diploma of Racing Services (Steward)Diploma of Racing Services (Steward) 1-3 
RGR50208 - Diploma of Racing Services (Racing Administration)Diploma of Racing Services (Racing Administration) 1-3 
RGR40708 - Certificate IV in Racing Services (Track Maintenance)Certificate IV in Racing Services (Track Maintenance) 1-2 
RGR40608 - Certificate IV in Racing Services (Steward)Certificate IV in Racing Services (Steward) 1-2 
RGR40508 - Certificate IV in Racing Services (Racing Administration)Certificate IV in Racing Services (Racing Administration) 1-3 
PSP52012 - Diploma of Government (Rail Safety Regulation)Diploma of Government (Rail Safety Regulation) 
PSP52008 - Diploma of Government (Rail Safety Regulation)Diploma of Government (Rail Safety Regulation) 1-2 
PSP42312 - Certificate IV in Government (Trade Measurement)Certificate IV in Government (Trade Measurement) 
Items per page 10 | 20 | 50 | 100
Displaying items 1 - 10 of 28


SchemeCodeClassification value
ASCED Module/Unit of Competency Field of Education Identifier 090999 Law, N.e.c.  

Classification history

SchemeCodeClassification valueStart dateEnd date
ASCED Module/Unit of Competency Field of Education Identifier 090999 Law, N.e.c.  05/Jul/2004 
The content being displayed has been produced by a third party, while all attempts have been made to make this content as accessible as possible it cannot be guaranteed. If you are encountering issues following the content on this page please consider downloading the content in its original form

Modification History


TP Version 




Unit descriptor edited.



Layout adjusted. No changes to content.



Primary release.

Unit Descriptor

This unit covers the exercise of powers under the organisation's enabling legislation, and other relevant legislation for regulation, monitoring, inspection and investigation. It includes establishing regulatory powers, applying enabling legislation, utilising other legislation and standards, and working with other organisations.

In practice, exercising regulatory powers occurs in the context of other specialist and generalist public sector work activities such as acting ethically, promoting client compliance, assessing compliance, conducting investigations, making arrests, conducting search and seizure, interviewing, gathering evidence, etc.

No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement

Application of the Unit

Not applicable.

Licensing/Regulatory Information

Not applicable.


Not applicable.

Employability Skills Information

This unit contains employability skills.

Elements and Performance Criteria Pre-Content

Elements are the essential outcomes of the unit of competency.

Together, performance criteria specify the requirements for competent performance. Text in bold italics  is explained in the Range Statement following.

Elements and Performance Criteria



1 . Establish regulatory powers 

1.1 Current information relating to enabling legislation  and regulations is accessed and used to maintain up-to-date knowledge of requirements.

1.2 Powers provided under the legislation and the boundaries of those powers are confirmed.

1.3 Compliance requirements of the legislation, related regulations, standards, codes of practice and policy are identified and confirmed.

1.4 Acts and omissions that comprise non-compliance/offences under the legislation are identified and confirmed.

2 . Apply enabling legislation 

2.1 Circumstances where regulatory powers will be exercised are identified and analysed to determine response/s or measures  to apply, in accordance with the legislation and organisational policy and procedures.

2.2 Circumstances requiring the exercise of regulatory powers that are outside own limits are identified and referral to others is made in accordance with organisational policy and procedures.

2.3 Risks associated with the exercise of regulatory powers  are identified and strategies to manage risks are identified in accordance with the organisation's risk management strategy.

2.4 Enabling legislation is applied consistent with the boundaries and powers contained therein and organisational policy and procedures.

3 . Utilise other legislation and standards 

3.1 Other legislation  and standards  which impact on powers are identified and their requirements confirmed.

3.2 Apparently conflicting legislative directions are resolved or referred in accordance with organisational policy and procedures.

4 . Work with other organisations 

4.1 Organisations that have jurisdictions which may overlap are identified and relationships  are established and maintained in accordance with organisational policy and procedures.

4.2 Organisations available to provide assistance and advice or take referrals are identified and relationships are established for mutual benefit.

4.3 Organisational protocols and procedures are followed when working with other organisations .

4.4 Compliance matters are referred to other organisations for action when required in accordance with organisational policy and procedures.

4.5 Lead agency protocols/lines of authority are followed during operations involving more than one organisation.

Required Skills and Knowledge

This section describes the essential skills and knowledge and their level, required for this unit.

Skill requirements 

Look for evidence that confirms skills in:

  • undertaking research and analysis
  • using information technology to access relevant legislation and procedures
  • reading complex written materials such as legislation, regulations, codes of practice and legal precedents and applying them to work practices
  • using scanning techniques to locate main ideas in legislation, guidelines and policy documents
  • engaging in discussion involving exchanges of often complex oral information
  • communicating with a range of people from diverse backgrounds
  • responding to diversity, including gender and disability
  • choosing regulatory responses/measures to fit the circumstances and justifying those responses against legislation, guidelines, policy and regulations
  • networking, building relationships and working with others
  • applying occupational health and safety and environment procedures relating to the exercise of regulatory powers

Knowledge requirements 

Look for evidence that confirms knowledge and understanding of:

  • full range of regulatory powers and the limits to those powers
  • enabling legislation
  • offences under the legislation
  • aspects of criminal law, administrative law, industrial law, contract law
  • statutory time limits
  • applicable standards
  • terminology used in legislation and procedures
  • organisational policies, guidelines and regulations
  • equity and diversity principles
  • public sector legislation such as occupational health and safety and environment relating to the exercise of regulatory powers

Evidence Guide

The Evidence Guide specifies the evidence required to demonstrate achievement in the unit of competency as a whole. It must be read in conjunction with the Unit descriptor, Performance Criteria, the Range Statement and the Assessment Guidelines for the Public Sector Training Package.

Units to be assessed together 

  • Pre-requisite units that must  be achieved prior  to this unit:Nil
  • Co-requisite units that must  be assessed with  this unit:Nil
  • Co-assessed units that may  be assessed with this unit to increase the efficiency and realism of the assessment process include, but are not limited to:
  • PSPCRT401B Carry out court orderly functions
  • PSPCRT402B Manage witnesses
  • PSPCRT403B Handle exhibits and documents tendered
  • PSPCRT404B Serve process
  • PSPCRT405B Handle monies received in satisfaction of warrants or orders
  • PSPCRT406B Compile and use official notes
  • PSPETHC401A Uphold and support the values and principles of public service
  • PSPGOV422A Apply government processes
  • PSPLEGN401A Encourage compliance with legislation in the public sector
  • PSPREG402C Promote client compliance
  • PSPREG403B Assess compliance
  • PSPREG404C Investigate non-compliance
  • PSPREG405B Act on non-compliance
  • PSPREG406C Make arrests
  • PSPREG407B Produce formal record of interview
  • PSPREG408C Conduct search and seizure
  • PSPREG409B Prepare a brief of evidence
  • PSPREG411A Gather information through interviews

Overview of evidence requirements 

In addition to integrated demonstration of the elements and their related performance criteria, look for evidence that confirms:

  • the knowledge requirements of this unit
  • the skill requirements of this unit
  • application of the Employability Skills as they relate to this unit (see Employability Summaries in Qualifications Framework)
  • the exercise of regulatory powers in a range of (3 or more) contexts (or occasions, over time)

Resources required to carry out assessment 

These resources include:

  • legislation, regulations, policy, guidelines and standards
  • public sector values and codes of conduct
  • case studies and workplace scenarios to capture the range of regulatory situations likely to be encountered

Where and how to assess evidence 

Valid assessment of this unit requires:

  • a workplace environment or one that closely resembles normal work practice and replicates the range of conditions likely to be encountered when exercising regulatory powers, including coping with difficulties, irregularities and breakdowns in routine
  • the exercise of regulatory powers in a range of (3 or more) contexts (or occasions, over time)

Assessment methods should reflect workplace demands, such as literacy, and the needs of particular target groups, such as:

  • people with disabilities
  • people from culturally and linguistically diverse backgrounds
  • Aboriginal and Torres Strait Islander people
  • women
  • young people
  • older people
  • people in rural and remote locations

Assessment methods suitable for valid and reliable assessment of this competency may include, but are not limited to, 2 or more of:

  • case studies
  • demonstration
  • observation
  • portfolios
  • projects
  • questioning
  • scenarios
  • simulation or role plays
  • authenticated evidence from the workplace and/or training courses

For consistency of assessment 

Evidence must be gathered over time in a range of contexts to ensure the person can achieve the unit outcome and apply the competency in different situations or environments

Range Statement

The Range Statement provides information about the context in which the unit of competency is carried out. The variables cater for differences between States and Territories and the Commonwealth, and between organisations and workplaces. They allow for different work requirements, work practices and knowledge. The Range Statement also provides a focus for assessment. It relates to the unit as a whole. Text in bold italics  in the Performance Criteria is explained here.

Legislation  may include:

  • State/Territory and Commonwealth legislation related to:
  • public sector management, financial management
  • auditor general
  • audit, customs and excise, quarantine, fisheries, agriculture, land management, conservation, coastal management, environmental protection, environment, insurance, legal administration (sheriffs, young offenders), workers compensation, occupational safety and health, workplace relations
  • planning, construction, transport, energy, mining, resource management, communications
  • education and children's services, employment, vocational education and training, equal employment opportunity and anti-discrimination

Regulatory responses or measures  may include:

  • audit
  • caution
  • clearance
  • community protection
  • control
  • encouragement to comply
  • entry
  • impoundment
  • initiation of proceedings that may lead to prosecution
  • inspection
  • investigation
  • issue of notices
  • on-the-spot fines
  • possession
  • referral to another agency/jurisdiction
  • search
  • seizure
  • surveillance
  • warning

Risks associated with the exercise of regulatory powers  may result from:

  • workplace hazards
  • environmental hazards
  • equipment failure
  • people engaged in illegal activities
  • movement into and out of Australia of:
  • aircraft
  • cargo
  • people
  • postal articles
  • vessels
  • client cultural background
  • client literacy levels

Other legislation  may include:

  • aspects of common law
  • aspects of Crimes Act 1914 and Criminal Code Act 1995
  • contract law
  • administrative law
  • industrial relations law
  • financial management Acts
  • public service Acts

Standards  may include:

  • public sector standards
  • government security standards
  • fraud control standards

Relationships  may include:

  • informal
  • formal
  • memoranda of understanding (MOUs)

Other organisations  may include:

  • administrative appeals tribunals
  • Coroner's office
  • emergency services
  • federal police
  • fire and rescue
  • industrial inspectors
  • Local Government law enforcement officers
  • legal advisers
  • military police
  • security services
  • State/Territory police and special units
  • other State/Territory/Commonwealth departments/agencies
  • State/Territory/Commonwealth prosecution agencies

Unit Sector(s)

Not applicable.

Competency field