Assessor Resource

PSPWPI503C
Investigate possible breaches of workplace legislation

Assessment tool

Version 1.0
Issue Date: May 2024


This unit applies to investigators conducting workplace investigations into possible breaches of a range of workplace legislation, which may arise as a result of complaints, incidents or targeted campaigns.

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.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)

Prerequisites

Not applicable.

Employability Skills

This unit contains employability skills.



Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

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.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

Required skills

literacy skills to:

undertake legal research

record statements

analytical skills to evaluate information in investigating breaches

self-management skills to:

apply principles of natural justice and procedural fairness

apply legislative requirements and organisational policies and procedures in all investigations

apply risk management principles to investigative procedures, including personal safety

communication skills to use a range of communication methods and strategies, including:

negotiation

dealing with conflicting information

dealing with conflict

interviewing and questioning

observation and analysis skills to ensure due consideration of information and evidence

planning and organising skills to ensure the coordinated and thorough investigation of possible breaches of workplace legislation

decision-making to reflect deliberation of the evidence and the risk assessment

Required knowledge

federal and state workplace legislative framework applying to workplace inspections, including legislation relating to OHS and workplace relations

risk management principles relating to personal and workplace safety

common law principles applying to inspection of workplaces

powers of workplace inspectors under jurisdictional legislation

functions and roles of other professionals and experts who may be called in to advise on possible breaches or to act as witnesses

organisational investigation procedures

rules of evidence and evidence management

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

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Type ofinvestigation or situation is identified. 
Situations are assessed with regard to personal safety and the safety of others, and safeguards are put in place. 
Persons are contacted according to organisational policies and procedures. 
Integrity of situation is established and maintained according to organisational policy and procedures. 
Directions/instructions are issued to persons involved according to organisational policy and procedures. 
Resources required for the investigation are identified and accessed. 
Investigations are conducted according to organisational policy and procedures. 
Details of the situation and all those involved in possible breach are recorded in line with organisational policies and procedures. 
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. 
If no breach has occurred or no action is to be taken, the reasons and justification are documented according to organisational policy and procedures. 
If breach is confirmed, appropriate and timely action is recommended within the officer's discretion according to legislation and organisational policy and procedures. 
Record of evidence is maintained in accordance with legislative requirements and organisational policy and procedures. 
Potential witnesses are identified and their details recorded. 
Statements are taken and recorded according to organisational policies and procedures. 
Information and evidence gathered are reviewed against legislation and other relevant material according to organisational policies and procedures. 
Information and evidence gathered are evaluated and weighted for relevance and strength of proof. 
Further proofs are identified, prioritised and scheduled for action. 
Further evidence is obtained when required. 
Interview is conducted according to legal requirements and organisational policy and procedures. 
Information is reviewed and clarified to ensure its relevance and sufficiency prior to concluding the interview. 
Record of interview is completed that meets legal and organisational requirements. 
Report is compiled according to organisational policies and procedures. 
Report is forwarded to appropriate personnel for review and action according to organisational policies and procedures. 
Additional information and evidence identified from review are gathered and compiled in report. 
Final report is forwarded through appropriate channels for processing. 

Forms

Assessment Cover Sheet

PSPWPI503C - Investigate possible breaches of workplace legislation
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Assessment Record Sheet

PSPWPI503C - Investigate possible breaches of workplace legislation

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