Assessor Resource

PSPREG021
Coordinate investigation processes

Assessment tool

Version 1.0
Issue Date: March 2024


This unit describes the skills required to effectively coordinate investigative processes, conducted internally, with or by an outside organisation. It includes planning and preparing for investigations, leading or supporting investigation teams, monitoring the progress of investigations, finalising and reporting on investigation and conducting debriefings.

This unit applies to those working in public sector roles conducting regulatory activities.

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.

Those undertaking this unit would work autonomously, performing complex tasks in a range of familiar and unfamiliar contexts.

No licensing, legislative or certification requirements apply to unit at the time of publication.

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



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.

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. Plan investigation

1.1 Identify, document and communicate objectives and desired outcomes of the investigation to investigation team.

1.2 Review relevant legislation and consult stakeholders to ensure sound preparation for the investigation.

1.3 Identify and authorise resource requirements after considering other organisational needs.

1.4 Establish communications strategy in consultation with team.

1.5 Put in place continuous review mechanisms to monitor the progress of the investigation.

1.6 Use investigation management system to develop investigation plan, allocate resources and provide for systematic recording of investigation decisions.

2. Prepare for investigation

2.1 Develop an evidence matrix and update as required.

2.2 Make assessment of possible avenues of enquiry.

2.3 Determine elements and/or proofs of the offence and identify witnesses.

2.4 Conduct consultation with other organisations when investigation impacts on their organisation.

2.5 Assess potential for action and liaise with appropriate authorities to determine when action should begin and what is involved.

3. Lead and support investigation team

3.1 Allocate personnel to the investigation based upon their skills, knowledge and abilities in relation to the requirements of the investigation.

3.2 Locate specialist resources internally and externally to facilitate successful outcome.

3.3 Organise administrative support from commencement of investigation.

3.4 Provide ongoing advice and support to the team in accordance with the requirements of the investigation.

3.5 Revise investigation plan as required in response to contingencies in consultation with investigative team, and incorporate suggestions where practicable.

4. Monitor progress of investigation

4.1 Monitor investigation against the requirements of the continuously updated investigation plan.

4.2 Monitor evidence collection and handling of witnesses and/or alleged offenders to ensure conduct is in accordance with rules of evidence and procedural fairness considerations.

4.3 Consult team members regularly on progress of the investigation in both informal situations and scheduled reviews.

4.4 Discuss obstacles encountered during the investigation and find solutions.

4.5 Monitor key tasks, deadlines and timelines, anticipate risks and authorise extra resources and/or external expertise as required.

4.6 Monitor requirement for specialists to ensure their cost-effective use.

5. Finalise and report on investigation

5.1 Supervise final stage of investigation to ensure conclusion in court or other body if appropriate.

5.2 Finalise investigation within (revised) budget and record time restrictions and results.

5.3 Initiate administrative actions where appropriate.

5.4 Provide witnesses, alleged offenders and other persons and/or organisations affected by the investigation with sufficient information about the outcome.

5.5 Plan follow-up actions to progress to next stage if planned outcome is not achieved, or to take no further action.

5.6 Make reports to management on outcomes relevant to future compliance activities particularly on how the investigation management system and organisational procedures assisted or impeded investigation.

6. Conduct debriefing

6.1 Review activities against objectives and outcomes of the investigation.

6.2 Highlight strengths and weaknesses in investigation process for future investigations.

6.3 Note precedents and problems for future investigations.

6.4 Acknowledge achievements through formal and informal means.

6.5 Prepare debriefing report.

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 one occasion.

undertaking project management that contributes to achieving stated objectives of the investigation and effective utilization of resources

managing contracted services and specialist staff where required

writing reports requiring formal language and structure and precision of expression

using communication to suit diverse audiences

conducting complex oral exchanges in briefing sessions and team meetings

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.

the role of investigations in achieving the organisation’s strategic compliance objectives

Australian Government Investigation Standards (AGIS)

legislative and jurisdictional requirements

organisational policy and procedures

aspects of criminal, civil or administrative law as apply in that jurisdiction

investigation methodology and techniques

powers and restrictions to investigate

rules and types of evidence

report procedures which provide a written and/or electronic audit trail

confidentiality and privacy issues

procedures regarding lines of reporting

storage of evidence

public sector legislation

This unit contains no specific industry-mandated assessment conditions. Guidance on suggested and recommended conditions and methods can be found in the Implementation Guide.

Assessors must satisfy the NVR/AQTF mandatory competency requirements for assessors.


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.

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. Plan investigation

1.1 Identify, document and communicate objectives and desired outcomes of the investigation to investigation team.

1.2 Review relevant legislation and consult stakeholders to ensure sound preparation for the investigation.

1.3 Identify and authorise resource requirements after considering other organisational needs.

1.4 Establish communications strategy in consultation with team.

1.5 Put in place continuous review mechanisms to monitor the progress of the investigation.

1.6 Use investigation management system to develop investigation plan, allocate resources and provide for systematic recording of investigation decisions.

2. Prepare for investigation

2.1 Develop an evidence matrix and update as required.

2.2 Make assessment of possible avenues of enquiry.

2.3 Determine elements and/or proofs of the offence and identify witnesses.

2.4 Conduct consultation with other organisations when investigation impacts on their organisation.

2.5 Assess potential for action and liaise with appropriate authorities to determine when action should begin and what is involved.

3. Lead and support investigation team

3.1 Allocate personnel to the investigation based upon their skills, knowledge and abilities in relation to the requirements of the investigation.

3.2 Locate specialist resources internally and externally to facilitate successful outcome.

3.3 Organise administrative support from commencement of investigation.

3.4 Provide ongoing advice and support to the team in accordance with the requirements of the investigation.

3.5 Revise investigation plan as required in response to contingencies in consultation with investigative team, and incorporate suggestions where practicable.

4. Monitor progress of investigation

4.1 Monitor investigation against the requirements of the continuously updated investigation plan.

4.2 Monitor evidence collection and handling of witnesses and/or alleged offenders to ensure conduct is in accordance with rules of evidence and procedural fairness considerations.

4.3 Consult team members regularly on progress of the investigation in both informal situations and scheduled reviews.

4.4 Discuss obstacles encountered during the investigation and find solutions.

4.5 Monitor key tasks, deadlines and timelines, anticipate risks and authorise extra resources and/or external expertise as required.

4.6 Monitor requirement for specialists to ensure their cost-effective use.

5. Finalise and report on investigation

5.1 Supervise final stage of investigation to ensure conclusion in court or other body if appropriate.

5.2 Finalise investigation within (revised) budget and record time restrictions and results.

5.3 Initiate administrative actions where appropriate.

5.4 Provide witnesses, alleged offenders and other persons and/or organisations affected by the investigation with sufficient information about the outcome.

5.5 Plan follow-up actions to progress to next stage if planned outcome is not achieved, or to take no further action.

5.6 Make reports to management on outcomes relevant to future compliance activities particularly on how the investigation management system and organisational procedures assisted or impeded investigation.

6. Conduct debriefing

6.1 Review activities against objectives and outcomes of the investigation.

6.2 Highlight strengths and weaknesses in investigation process for future investigations.

6.3 Note precedents and problems for future investigations.

6.4 Acknowledge achievements through formal and informal means.

6.5 Prepare debriefing report.

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 one occasion.

undertaking project management that contributes to achieving stated objectives of the investigation and effective utilization of resources

managing contracted services and specialist staff where required

writing reports requiring formal language and structure and precision of expression

using communication to suit diverse audiences

conducting complex oral exchanges in briefing sessions and team meetings

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.

the role of investigations in achieving the organisation’s strategic compliance objectives

Australian Government Investigation Standards (AGIS)

legislative and jurisdictional requirements

organisational policy and procedures

aspects of criminal, civil or administrative law as apply in that jurisdiction

investigation methodology and techniques

powers and restrictions to investigate

rules and types of evidence

report procedures which provide a written and/or electronic audit trail

confidentiality and privacy issues

procedures regarding lines of reporting

storage of evidence

public sector legislation

This unit contains no specific industry-mandated assessment conditions. Guidance on suggested and recommended conditions and methods can be found in the Implementation Guide.

Assessors must satisfy the NVR/AQTF mandatory competency requirements for assessors.

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
Identify, document and communicate objectives and desired outcomes of the investigation to investigation team. 
Review relevant legislation and consult stakeholders to ensure sound preparation for the investigation. 
Identify and authorise resource requirements after considering other organisational needs. 
Establish communications strategy in consultation with team. 
Put in place continuous review mechanisms to monitor the progress of the investigation. 
Use investigation management system to develop investigation plan, allocate resources and provide for systematic recording of investigation decisions. 
Develop an evidence matrix and update as required. 
Make assessment of possible avenues of enquiry. 
Determine elements and/or proofs of the offence and identify witnesses. 
Conduct consultation with other organisations when investigation impacts on their organisation. 
Assess potential for action and liaise with appropriate authorities to determine when action should begin and what is involved. 
Allocate personnel to the investigation based upon their skills, knowledge and abilities in relation to the requirements of the investigation. 
Locate specialist resources internally and externally to facilitate successful outcome. 
Organise administrative support from commencement of investigation. 
Provide ongoing advice and support to the team in accordance with the requirements of the investigation. 
Revise investigation plan as required in response to contingencies in consultation with investigative team, and incorporate suggestions where practicable. 
Monitor investigation against the requirements of the continuously updated investigation plan. 
Monitor evidence collection and handling of witnesses and/or alleged offenders to ensure conduct is in accordance with rules of evidence and procedural fairness considerations. 
Consult team members regularly on progress of the investigation in both informal situations and scheduled reviews. 
Discuss obstacles encountered during the investigation and find solutions. 
Monitor key tasks, deadlines and timelines, anticipate risks and authorise extra resources and/or external expertise as required. 
Monitor requirement for specialists to ensure their cost-effective use. 
Supervise final stage of investigation to ensure conclusion in court or other body if appropriate. 
Finalise investigation within (revised) budget and record time restrictions and results. 
Initiate administrative actions where appropriate. 
Provide witnesses, alleged offenders and other persons and/or organisations affected by the investigation with sufficient information about the outcome. 
Plan follow-up actions to progress to next stage if planned outcome is not achieved, or to take no further action. 
Make reports to management on outcomes relevant to future compliance activities particularly on how the investigation management system and organisational procedures assisted or impeded investigation. 
Review activities against objectives and outcomes of the investigation. 
Highlight strengths and weaknesses in investigation process for future investigations. 
Note precedents and problems for future investigations. 
Acknowledge achievements through formal and informal means. 
Prepare debriefing report. 
Identify, document and communicate objectives and desired outcomes of the investigation to investigation team. 
Review relevant legislation and consult stakeholders to ensure sound preparation for the investigation. 
Identify and authorise resource requirements after considering other organisational needs. 
Establish communications strategy in consultation with team. 
Put in place continuous review mechanisms to monitor the progress of the investigation. 
Use investigation management system to develop investigation plan, allocate resources and provide for systematic recording of investigation decisions. 
Develop an evidence matrix and update as required. 
Make assessment of possible avenues of enquiry. 
Determine elements and/or proofs of the offence and identify witnesses. 
Conduct consultation with other organisations when investigation impacts on their organisation. 
Assess potential for action and liaise with appropriate authorities to determine when action should begin and what is involved. 
Allocate personnel to the investigation based upon their skills, knowledge and abilities in relation to the requirements of the investigation. 
Locate specialist resources internally and externally to facilitate successful outcome. 
Organise administrative support from commencement of investigation. 
Provide ongoing advice and support to the team in accordance with the requirements of the investigation. 
Revise investigation plan as required in response to contingencies in consultation with investigative team, and incorporate suggestions where practicable. 
Monitor investigation against the requirements of the continuously updated investigation plan. 
Monitor evidence collection and handling of witnesses and/or alleged offenders to ensure conduct is in accordance with rules of evidence and procedural fairness considerations. 
Consult team members regularly on progress of the investigation in both informal situations and scheduled reviews. 
Discuss obstacles encountered during the investigation and find solutions. 
Monitor key tasks, deadlines and timelines, anticipate risks and authorise extra resources and/or external expertise as required. 
Monitor requirement for specialists to ensure their cost-effective use. 
Supervise final stage of investigation to ensure conclusion in court or other body if appropriate. 
Finalise investigation within (revised) budget and record time restrictions and results. 
Initiate administrative actions where appropriate. 
Provide witnesses, alleged offenders and other persons and/or organisations affected by the investigation with sufficient information about the outcome. 
Plan follow-up actions to progress to next stage if planned outcome is not achieved, or to take no further action. 
Make reports to management on outcomes relevant to future compliance activities particularly on how the investigation management system and organisational procedures assisted or impeded investigation. 
Review activities against objectives and outcomes of the investigation. 
Highlight strengths and weaknesses in investigation process for future investigations. 
Note precedents and problems for future investigations. 
Acknowledge achievements through formal and informal means. 
Prepare debriefing report. 

Forms

Assessment Cover Sheet

PSPREG021 - Coordinate investigation processes
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Assessment Record Sheet

PSPREG021 - Coordinate investigation processes

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Assessment task 1: [title] Result: Competent Not yet competent

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Overall assessment result: Competent Not yet competent

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