Unit of competency Outline

Date retreived
22/07/2026 8:40 AM AWST

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Investigate non-compliance

Investigate non-compliance

Unit of competency
National Code
PSPREG404C
State Code
C8272
TGA Status
Deleted
DTWD Status
Deleted
Current Release Number
3.00
Current Release Date
01/11/2012
View on TGA
State Implementation and Classification
Approved Date
09/10/2014
Field of Education
090901 - Business And Commercial Law
Original Release Date
09/10/2014
Nominal Hours
20
Description
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.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Notes
Elements and 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.
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.
Resources may include:
human, physical and financial and may include other agencies, such as:
other police organisations
National Crime Authority
Criminal Justice Commission/s
other government departments/agencies
non-government agencies such as financial institutions and insurance companies
Investigation methods may include:
forensic examination/analysis
informants/informers
listening devices and other covert surveillance techniques
search and search warrants
computer interrogation/data retrieval
door knocks
using other sources of information, such as the media
Legislation, policies and guidelines may include:
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 (equal employment opportunity, world heritage)
Investigation planning may include:
objectives
methods
risks
timelines
resources
activities
communication
case management
evidentiary elements of the offence
Exhibits may include:
the individual items of evidence that could be presented to a court and may be required for viewing by:
judicial officers
prosecutors
defence counsel
expert and non-expert witnesses
those required for audit purposes
Expert assistance may include:
advice on/assistance with evidentiary matters
audit matters
data analysis
document examination
execution of search warrants
fingerprinting
forensic
handwriting
legal advice - director of public prosecutions, government solicitor
photography
recovery issues
scientific or technical matters
surveillance
Recommended action may include:
measures to control/contain breach
warning
caution
notice
fine
arrest
criminal prosecution
civil action
debt recovery strategy
no action (must specify criteria for use of no action):
used where investigation identifies no offence or a relevant defence is raised
also used when exercising prosecutorial discretion
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:
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:
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)
investigation of non-compliance 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 investigation 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 investigating non-compliance, including coping with difficulties, irregularities and breakdowns in routine
investigation of non-compliance 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 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, a combination of 2 or more of:
case studies
portfolios
questioning
scenarios
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
Replaces
State Code National Code Title Type
C5782 PSPREG404B Investigate non-compliance with legislation Unit of competency