Application
This unit describes the skills required to identify and confirm possible non-compliance, and plan and initiate a subsequent investigation. It includes planning and activating evidence collection, identifying witnesses and persons of interest.
This unit applies to those working in a range of regulatory work environments involving gathering and managing physical or documentary evidence from a range of sources.
The skills and knowledge described in this unit must be applied within the legislative, regulatory and policy environment in which they are carried out. Organisational policies and procedures must be consulted and adhered to, particularly those related to WHS in the context of investigations.
Those undertaking this unit would work independently using support from a range of established resources to perform complex tasks in a range of contexts, including some that are unfamiliar and/or unpredictable.
No licensing, legislative or certification requirements apply to unit at the time of publication.
Elements and Performance Criteria
ELEMENTS | PERFORMANCE CRITERIA |
Elements describe the essential outcomes | Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions section. |
1. Initiate preliminary investigation to confirm non-compliance | 1.1 Assess information, confirm likely non-compliance and if matter under investigation falls within jurisdiction. 1.2 Prioritise importance and urgency of the matter for action. 1.3 Initiate documentation for investigation of alleged matter. |
2. Plan investigation | 2.1 Determine the objectives of the investigation and obtain necessary resources to conduct the investigation. 2.2 Identify and plan for risks associated with the investigation including sensitivities that might affect the organisation. 2.3 Select methods to achieve the investigation's objectives. 2.4 Identify timelines and prioritise tasks. 2.5 Confirm and initiate communication and case management requirements. 2.6 Record investigation planning. 2.7 Obtain approval to commence investigation. |
3. Initiate investigation | 3.1 Implement evidence recording process. 3.2 Identify, locate and contact possible witnesses to request information. 3.3 Identify and locate responsible parties and record their particulars. 3.4 Contact responsible parties for interview and inform them of the nature of the investigation as required by law. 3.5 Research evidence requirements to establish the type and standard of evidence and necessary resources according to the size of investigation and nature of the offence. 3.6 Select and initiate investigative techniques. |
Evidence of Performance
Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the candidate must demonstrate evidence of performance of the following on at least two occasions.
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
questioning and negotiating meaning
responding to diversity
using planning and time management in the context of investigations
preparing written reports and recommendations requiring accuracy, formal language structures
using information technology for data analysis, recording and reporting
Evidence of Knowledge
Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the depth of knowledge demonstrated must be appropriate to the job context of the candidate.
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
reporting procedures which provide a written or electronic audit trail
Assessment Conditions
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 initiating investigations.
Assessors must satisfy the NVR/AQTF mandatory competency requirements for assessors.
Foundation Skills
The foundation skills demands of this unit have been mapped for alignment with the Australian Core Skills Framework (ACSF). The following tables outline the performance levels indicated for successful attainment of the unit.
Further information on ACSF and the foundation skills underpinning this unit can be found in the Foundation Skills Guide on the GSA website.
Competency Field
Investigation