Modification History
Not applicable.
Unit Descriptor
Unit descriptor |
This unit covers identification of possible non-compliance and recommendations for ensuing action. It includes initiating a preliminary investigation to confirm non-compliance, and planning, conducting and finalising the investigation. In practice, investigating non-compliance may overlap with other generalist or specialist public sector work activities such as acting ethically, exercising regulatory powers, acting on non-compliance, conducting formal records of interview, gathering and managing evidence, etc. This unit replaces and is equivalent to PSPREG404B Investigate non-compliance with legislation. |
Application of the Unit
Not applicable.
Licensing/Regulatory Information
Not applicable.
Pre-Requisites
Not applicable.
Employability Skills Information
Employability skills |
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
ELEMENT |
PERFORMANCE CRITERIA |
1 . Initiate preliminary investigation to confirm non-compliance |
1.1 Information is assessed in terms of its accuracy and against legislative requirements to confirm likely non-compliance 1.2 Information is tested against the legislation to confirm whether the possible breach falls within jurisdiction 1.3 Importance/urgency of the matter is assessed and the priority is allocated to enable timely and effective action 1.4 Documentation to commence investigation of alleged breach is initiated and meets legislative and organisational requirements |
2 . Plan investigation |
2.1 Objectives of the investigation are determined and resources to conduct the investigation are determined and obtained in accordance with organisational policy and procedures 2.2 Risks associated with the investigation are identified and planned for, including sensitivities that might affect the organisation 2.3 Methods to achieve the investigation's objectives are selected and authorised in accordance with legislation , policies and guidelines 2.4 Timelines are identified and tasks prioritised to inform the sequence of activities and provide for future review of the investigation process 2.5 Communication and case management requirements are confirmed and initiated in accordance with organisational policy and procedures 2.6 Investigation planning and recording is conducted in accordance with legislative requirements and organisational policy and procedures |
3 . Conduct investigation |
3.1 Subjects and suspects involved in the possible breach are identified and details are recorded in accordance with legislative requirements and organisational policy and procedures 3.2 Information relevant to the investigation is collected and analysed in accordance with legislative requirements, rules of evidence and organisational policy and procedures 3.3 Exhibits are processed and managed in accordance with legislative requirements, rules of evidence and organisational policy and procedures 3.4 Likely defences are anticipated and evidence to counter them is included 3.5 The need for expert assistance is determined and arranged in accordance with organisational procedures |
4 . Finalise investigation |
4.1 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 4.2 If breach is confirmed, appropriate, timely action is recommended within the officer's discretion under the legislation and organisational policy and procedures 4.3 A record of the investigation and consequent recommendations for action are prepared and submitted in accordance with legislative and organisational requirements |
Required Skills and Knowledge
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: acting ethically applying legislation, regulations and codes of practice using process mapping undertaking research, analysis and problem solving in the context of investigating non-compliance reading and applying complex information from legislation communicating including questioning and negotiating meaning in sometimes difficult situations responding to diversity, including gender and disability using planning and time management in the context of investigations preparing written reports and recommendations requiring accuracy and formal structures and language using information technology for data analysis, recording and reporting applying public sector legislation such as occupational health and safety and environmental procedures in the context of investigation |
Knowledge requirements Look for evidence that confirms knowledge and understanding of: investigation methodology and techniques rules and types of evidence storage and continuity of evidence applicable legislation aspects of criminal, civil or administrative law jurisdiction, powers and restrictions to investigate organisational policy and procedures cultural awareness confidentiality and privacy issues procedures re lines of reporting report procedures which provide a written and/or electronic audit trail public sector legislation such as occupational health and safety and environment relating to investigations |
Evidence Guide
EVIDENCE GUIDE |
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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. |
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Units to be assessed together |
PSPETHC401A Uphold and support the values and principles of public service PSPGOV406B Gather and analyse information PSPGOV408A Value diversity PSPGOV422A Apply government processes PSPLEGN401A Encourage compliance with legislation in the public sector PSPREG401C Exercise regulatory powers PSPREG407B Produce formal record of interview PSPREG412A Gather and manage evidence |
Overview of evidence requirements |
In addition to integrated demonstration of the elements and their related performance criteria, look for evidence that confirms:
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Resources required to carry out assessment |
These resources include:
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Where and how to assess evidence |
Valid assessment of this unit requires:
Assessment methods should reflect workplace demands, such as literacy, and the needs of particular groups, such as:
Assessment methods suitable for valid and reliable assessment of this competency may include, but are not limited to, a combination of 2 or more of:
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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
RANGE STATEMENT |
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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 italics in the Performance Criteria is explained here. |
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Resources may include |
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Investigation methods may include |
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Legislation , policies and guidelines may include |
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Investigation planning may include |
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Exhibits may include |
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Expert assistance may include |
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Recommended action may include |
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Unit Sector(s)
Not applicable.
Competency field
Competency field |
Regulatory |