Elements and Performance Criteria
- Initiate preliminary investigation to confirm non-compliance
- Information is assessed in terms of its accuracy and against legislative requirements to confirm likely non-compliance.
- Information is tested against the legislation to confirm whether the possible breach falls within jurisdiction.
- Importance/urgency of the matter is assessed and the priority is allocated to enable timely and effective action.
- Documentation to commence investigation of alleged breach is initiated and meets legislative and organisational requirements.
- Plan investigation
- Objectives of the investigation are determined and resources to conduct the investigation are determined and obtained in accordance with organisational policy and procedures.
- Risks associated with the investigation are identified and planned for, including sensitivities that might affect the organisation.
- Methods to achieve the investigation's objectives are selected and authorised in accordance with legislation, policies and guidelines.
- Timelines are identified and tasks prioritised to inform the sequence of activities and provide for future review of the investigation process.
- Communication and case management requirements are confirmed and initiated in accordance with organisational policy and procedures.
- Investigation planning and recording is conducted in accordance with legislative requirements and organisational policy and procedures.
- Conduct investigation
- Subjects and suspects involved in the possible breach are identified and details are recorded in accordance with legislative requirements and organisational policy and procedures.
- Information relevant to the investigation is collected and analysed in accordance with legislative requirements, rules of evidence and organisational policy and procedures.
- Exhibits are processed and managed in accordance with legislative requirements, rules of evidence and organisational policy and procedures.
- Likely defences are anticipated and evidence to counter them is included.
- The need for expert assistance is determined and arranged in accordance with organisational procedures.
- Finalise investigation
- 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.
- If breach is confirmed, appropriate, timely action is recommended within the officer's discretion under the legislation and organisational policy and procedures.
- A record of the investigation and consequent recommendations for action are prepared and submitted in accordance with legislative and organisational requirements.