Unit of competency Outline

Date retreived
22/07/2026 11:39 AM AWST

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Investigate possible breaches of workplace legislation

Investigate possible breaches of workplace legislation

Unit of competency
National Code
PSPWPI503C
State Code
D3719
TGA Status
Replaced
DTWD Status
Replaced
Current Release Number
2.00
Current Release Date
07/03/2012
View on TGA
State Implementation and Classification
Approved Date
07/07/2014
Field of Education
090903 - Constitutional Law
Original Release Date
07/07/2014
Nominal Hours
60
Description
This unit covers the ability to conduct investigations into a range of workplace contexts specifically relating to OHS, workers compensation, injury management and/or workplace relations legislation. It includes conducting an initial assessment of the situation, initiating and conducting an investigation, examining the available evidence, identifying potential witnesses and recording initial statements, assessing investigation material and information gathered, conducting formal interviews, and completing an investigation report.In practice, investigating possible breaches of workplace legislation may overlap with other generalist or specialist public sector work activities, such as acting ethically, complying with legislation, providing leadership, undertaking research, conducting evaluations, negotiating, and managing conflict.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Notes
Elements and Performance Criteria
1. Conduct initial assessment of situation
  • 1.1. Type ofinvestigation or situation is identified.
  • 1.2. Situations are assessed with regard to personal safety and the safety of others, and safeguards are put in place.
  • 1.3. Persons are contacted according to organisational policies and procedures.
  • 1.4. Integrity of situation is established and maintained according to organisational policy and procedures.
2. Initiate and conduct investigations
  • 2.1. Directions/instructions are issued to persons involved according to organisational policy and procedures.
  • 2.2. Resources required for the investigation are identified and accessed.
  • 2.3. Investigations are conducted according to organisational policy and procedures.
3. Examine the situation
  • 3.1. Details of the situation and all those involved in possible breach are recorded in line with organisational policies and procedures.
  • 3.2. Potential evidence is located, collected, packaged, recorded, labelled and stored to ensure preservation of integrity of evidence and for further examination in line with the rules of evidence and organisational policy and procedures.
  • 3.3. If no breach has occurred or no action is to be taken, the reasons and justification are documented according to organisational policy and procedures.
  • 3.4. If breach is confirmed, appropriate and timely action is recommended within the officer's discretion according to legislation and organisational policy and procedures.
  • 3.5. Record of evidence is maintained in accordance with legislative requirements and organisational policy and procedures.
4. Identify potential witnesses and record initial statements
  • 4.1. Potential witnesses are identified and their details recorded.
  • 4.2. Statements are taken and recorded according to organisational policies and procedures.
5. Assess investigation material and gathered information
  • 5.1. Information and evidence gathered are reviewed against legislation and other relevant material according to organisational policies and procedures.
  • 5.2. Information and evidence gathered are evaluated and weighted for relevance and strength of proof.
  • 5.3. Further proofs are identified, prioritised and scheduled for action.
  • 5.4. Further evidence is obtained when required.
6. Conduct formal interviews
  • 6.1. Interview is conducted according to legal requirements and organisational policy and procedures.
  • 6.2. Information is reviewed and clarified to ensure its relevance and sufficiency prior to concluding the interview.
  • 6.3. Record of interview is completed that meets legal and organisational requirements.
7. Complete investigation report
  • 7.1. Report is compiled according to organisational policies and procedures.
  • 7.2. Report is forwarded to appropriate personnel for review and action according to organisational policies and procedures.
  • 7.3. Additional information and evidence identified from review are gathered and compiled in report.
  • 7.4. Final report is forwarded through appropriate channels for processing.
The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.
Type of investigation or situation may include:
non-compliance with legislation
workplace fatality
injury or incident
dangerous occurrence
workplace relations issues
workers compensation issues
complaints
public safety
workplace illnesses
change to targeted campaigns
safety of workers and public
Assessment of matters affecting incident situation and investigation may include:
preservation of life or property
prevailing weather, which may require additional resources to preserve and protect incident situation
climatic conditions
human interference
language barriers
right of entry and access
minimisation of business disruption
dangerous or unpleasant conditions, such as:
hazards
injured or deceased persons
stressed or traumatised individuals
cultural issues
union issues
Safeguards may include:
clear brief as to who has access to situations
physical barriers
entry limited to essential personnel
delegation of authority to control entry
record of all persons who enter/leave the situation and reasons
personal protective equipment
following procedures to work in pairs
trauma counselling
Persons contacted may include:
technical and scientific experts
legal experts
witnesses
victims
union representatives
workplace relations officers
employers and employees
police and emergency services
human resources staff
media
coroners
employee representatives
OHS committee
company representatives
management
health and safety representatives
health and safety officers
relevant government departments
Resources may include:
technical and scientific experts
experienced investigators
research database
legal information
legal request
subpoena
advice sheets
legislative framework
equipment, such as:
camera
sample kits
other organisations
Details of the situation may include:
time, date and location
jurisdiction
sequence of events
possible causes
people involved
property involved
victims
witnesses
damage, including damage to property
injury
historical information
injury to persons
physical details of situation
evidence
organisation personnel and non-employees involved
other organisations involved
current status of investigation
action taken to date
adjoining properties and activities
Evidence may be:
physical, such as:
plant
containers
fibres
samples
tool marks
chemical and biological
identifying numbers
record books
dangerous goods and hazardous substances
documentary, such as:
witness statements
employer or employee documentation
safety management records
workplace agreements
employment contracts
company records, including:
attendance records
maintenance records
time and wage records
training records
industrial instruments
union documents
government records
expert reports
work method statements
standard operating procedures
log books
contracts
policy documents
workers compensation claims information
register of injuries
first aid treatment book
Methods of evidence collection may include:
recording interviews
formal legal request for documentation
subpoena
photographing/videoing
photocopying documentation
requisitioning documentation
using items in sampling kit
appropriate environmental monitoring
Methods of packaging evidence may include:
metal and plastic containers
plastic bags
paper bags
glass vials
items in sample kit
Evidence may be recorded by:
receipts
photocopying and certifying 'true copy'
photography
audio and visual recording
using notebook
identifying samples
seizing property logs
Preservation of integrity of evidence may involve:
controlling site access and egress
covering evidence
recording chain of evidence handling
removing evidence to ensure its protection
Relevant details from potential witnesses include:
name
age
contact details
roles and responsibilities
qualifications
details of organisation's operating procedures
workplace and training practices
information about the situation
Appropriate channels may include:
Coroner's Court
other relevant state or federal court or tribunal
special investigation units
arbitration
state or territory Industrial Relations Commission
departments of public prosecution
internal review committees/units and management
legal units
Crown Law
prosecuting authorities
The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.
Critical aspects for assessment and evidence required to demonstrate competency in this unit
Assessment must confirm the ability to:
undertake comprehensive planning of investigative responses
conduct detailed examination of potential or reported breaches
prepare resources required to conduct investigations
carry out a range of information-gathering activities to substantiate recommendations
prepare reports on a range of breaches.
Consistency in performance
Competency should be demonstrated by undertaking a range of relevant investigations.
Context of and specific resources for assessment
Assessment must comply with:
organisational investigation-management procedures and relevant health and safety procedures
applicable legislation, regulations and codes.
Access may be required to:
a workplace environment or one that closely resembles normal work practice and replicates the range of conditions likely to be encountered when investigating possible breaches of workplace legislation, including coping with difficulties, irregularities and breakdowns in routine
legislation, policy, procedures and protocols relating to the investigation of possible breaches of workplace legislation
case studies and workplace scenarios to capture the range of situations likely to be encountered when investigating possible breaches of workplace legislation.
Guidance information for assessment
The following assessment methods are suggested:
oral questioning about the legislative framework, risk management principles, common law principles, powers of inspectors under jurisdictional legislation, functions and roles of other professionals and experts, legislative requirements, organisational investigations procedures, rules of evidence and evidence management
observation of the candidate undertaking a variety of assigned investigation tasks in a workplace environment or one that closely resembles normal work practice
feedback from peers and/or supervisor that the candidate consistently applies relevant procedures
documentary evidence of a range of previous and current investigations with, where a team has been involved, identification of the specific contribution of the individual being assessed.
In all cases, practical assessment should be supported by questions to assess underpinning knowledge and those aspects of competency that are difficult to assess directly. Questioning techniques should suit the language and literacy levels of the candidate.
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
PSPETHC501B Promote the values and ethos of public service
PSPGOV502B Develop client services
PSPGOV503B Coordinate resource allocation and usage
PSPGOV504B Undertake research and analysis
PSPGOV512A Use complex workplace communication strategies
PSPGOV517A Coordinate risk management
PSPWPI501B Evaluate workplace legislative compliance.
Replaces
State Code National Code Title Type
C8338 PSPWPI503B Investigate possible breaches of workplace legislation Unit of competency
Replaced By
State Code National Code Title Type
AWS75 PSPWPI003 Investigate possible breaches of workplace legislation Unit of competency