Unit of competency details

TLIF4094A - Ensure compliance with chain of responsibility (Release 1)


Usage recommendation:
Is superseded by TLIF0003 - Develop and implement policies and procedures to ensure chain of responsibility complianceThis unit replaces but is not equivalent to TLIF4094A Ensure compliance with chain of responsibility. Unit developed to align to contemporary industry needs and legislative requirements. Updated to align with the Standards for Training Packages. 18/Oct/2015

ReleaseRelease date
1 1 (this release) 02/Feb/2012


SchemeCodeClassification value
ASCED Module/Unit of Competency Field of Education Identifier 080301 Business Management  

Classification history

SchemeCodeClassification valueStart dateEnd date
ASCED Module/Unit of Competency Field of Education Identifier 080301 Business Management  02/Oct/2012 
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Modification History

Not applicable.

Unit Descriptor

This unit involves the skills and knowledge required to ensure workplace compliance with chain of responsibility legislation.

It includes the ability to identify the requirements, undertake the appropriate activity, and monitor and review procedures.

Licensing, legislative, regulatory and certification requirements are applicable to this unit.

Application of the Unit

Work may be undertaken in various contexts within the transport and logistics industry.

The unit generally applies to people in a management level position in an organisation with responsibility for ensuring the entire organisation or work place is compliant with the relevant state or territory regulations around chain of responsibility.

Associated units relating to chain of responsibility can be found in TLI10 Transport and Logistics Training Package.

Licensing/Regulatory Information

Refer to Unit Descriptor.


Not applicable.

Employability Skills Information

This unit contains employability skills.

Elements and Performance Criteria Pre-Content

Elements describe the essential outcomes of a unit of competency.

Performance criteria describe the required performance needed to demonstrate achievement of the element. Assessment of performance is to be consistent with the evidence guide.

Elements and Performance Criteria



1 Understand chain of responsibility requirements 

1.1 State or territory chain of responsibility regulations as they apply to the workplace and the organisation are identified

1.2 Impact of chain of responsibility requirements as they apply to all parties and responsible persons are analysed

1.3 Responsibilities of all parties and responsible persons are identified and explained to relevant persons

2 Undertake appropriate action to achieve compliance 

2.1 Compliance requirements for individual job roles in the workplace or organisation relating to chain of responsibility are developed

2.2 Risk assessment is undertaken to guide the development of workplace chain of responsibility policy and procedures

2.3 Accurate records relating to chain of responsibility are completed and maintained

3 Monitor and review workplace policy and procedures 

3.1 Workplace compliance with chain of responsibility is monitored and reviewed

3.2 Organisational records and information relevant to chain of responsibility are analysed and audited

3.3 Changes and amendments are made to organisational procedures to maintain chain of responsibility compliance

Required Skills and Knowledge


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

Required knowledge: 

  • How to access and interpret relevant state and territory regulations
  • State and territory regulations and workplace procedures relating to job function
  • Range of penalties relevant to the workplace
  • Consequences of non-compliance with chain of responsibility regulations
  • Where to access updated chain of responsibility state or territory regulations
  • Understanding of the five key aspects: load restraint, mass, dimensions, speed and fatigue management
  • Required workplace documentation

Required skills: 

  • Use basic interpersonal and communication skills to ensure compliance within the workplace.
  • Apply strategies to prevent breaches of chain of responsibility regulations
  • Identify warning signs of a possible breach
  • Take appropriate action when breach occurs
  • Review updates to the chain of responsibility regulations as they occur
  • Undertake an audit of organisational requirements for chain of responsibility
  • Conduct risk assessment of organisational policy and procedures

Evidence Guide


The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required knowledge and skills, the range statement and the assessment guidelines for this Training Package.

Critical aspects for assessment and evidence required to demonstrate competency in this unit 

  • The evidence required to demonstrate competency in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria of this unit and include demonstration of:
  • an understanding of chain of responsibility
  • an understanding of regulations of state or territory in which the company operates relating to chain of responsibility
  • establishing relevant workplace policy and procedures around chain of responsibility
  • conducting a risk assessment of organisational policy and procedure to ensure they meet current chain of responsibility regulations
  • maintaining and reviewing policy and procedures to ensure they meet current regulation around chain of responsibility

Context of and specific resources for assessment 

  • Performance is demonstrated consistently over a period of time and in a suitable range of contexts
  • Resources for assessment include:
  • a range of relevant exercises, case studies and other simulated practical and knowledge assessment, and/or
  • access to an appropriate range of relevant operational situations in the workplace
  • In both real and simulated environments, access is required to:
  • relevant and appropriate materials and equipment
  • applicable documentation, including workplace procedures, regulations, codes of practice and operation manuals

Method of assessment 

  • As a minimum, assessment of knowledge must be conducted through appropriate assessments using written, practical and oral assessments
  • Practical assessment must occur:
  • through appropriately simulated activities at the training organisation, and/or
  • in an appropriate range of situations in the workplace
  • Online assessment is not suitable for final assessment of this unit of competency

Range Statement


The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance.

Parties and responsible persons within the chain may include: 

  • consigner
  • consignee
  • packer
  • loader
  • scheduler
  • driver
  • receiver
  • carrier
  • manufacturer
  • employee
  • employer
  • owner
  • board of directors
  • senior official
  • dispatch officer
  • operator
  • person in charge or apparently in charge of a vehicle
  • agent
  • subcontractor
  • authorised officer
  • elected councillor

Customers may include: 

  • external customer
  • receiver
  • forwarder
  • dispatcher
  • yard foreman
  • safety regulator
  • police or enforcement official
  • public
  • subcontractor

Depending on the organisation concerned, workplace procedures may be called: 

  • standard operating procedures (SOPs)
  • company procedures
  • enterprise procedures
  • organisational procedures
  • established procedures

Communication in the work area may include: 

  • telephone
  • electronic data interchange (EDI)
  • fax
  • email
  • internet
  • oral, aural or signed communications

Documentation and records may include: 

  • transport regulations as they apply to the enterprise, including local authority regulations and procedures
  • relevant OH&S regulations
  • workplace policies and procedures relating to chain of responsibility regulations
  • relevant Australian standards and certification requirements
  • relevant internal data entry books, including work diaries, data sheets and load sheets
  • transport and journey documentation

Applicable legislation and regulations may include: 

  • relevant transport regulations for the enterprise, including Australian and international regulations and codes of practice for the transport of dangerous goods and hazardous substances
  • relevant state and territory OH&S and environmental protection legislation
  • workplace relations regulations

Unit Sector(s)

Not applicable.

Competency Field

F – Safety Management