Investigate non-compliance

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.


Not applicable.


Not applicable.

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.

Required Skills

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 Required

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


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




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

Range Statement

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


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



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:








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


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




legal advice - director of public prosecutions, government solicitor


recovery issues

scientific or technical matters


Recommended action may include:

measures to control/contain breach






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


Not applicable.

Competency Field


Employability Skills

This unit contains employability skills.

Licensing Information

Not applicable.