Elements and Performance Criteria
- Plan investigation
- Objectives and desired outcomes of the investigation are identified, documented and communicated to investigation team.
- Relevant legislation is reviewed and stakeholders are consulted to ensure sound preparation for the investigation.
- Resource requirements are identified and authorised after considering other organisational needs.
- Communications strategy is established in consultation with team.
- Continuous review mechanisms are put in place to monitor the progress of the investigation.
- Investigation management system is used to develop investigation plan, allocate resources and provide for systematic recording of investigation decisions.
- Prepare for investigation
- An evidence matrix is developed and updated as required.
- Assessment is made of possible avenues of enquiry.
- Elements/proofs of the offence are determined and witnesses are identified.
- Consultation is conducted with other organisations when investigation impacts on their organisation.
- Potential for recovery action is assessed and liaison occurs with appropriate authorities to determine when recovery action should begin and what is involved.
- Lead and support investigation team
- Personnel are allocated to the investigation based upon their skills, knowledge and abilities in relation to the requirements of the investigation.
- Specialist resources are located internally and externally to facilitate successful outcome.
- Administrative support is organised from commencement of investigation.
- Ongoing advice and support are provided to the team in accordance with the requirements of the investigation.
- Investigation plan is revised as required in response to contingencies in consultation with investigative team, and incorporating suggestions where practicable.
- Monitor progress of investigation
- Investigation is monitored against the requirements of the continuously updated investigation plan.
- Evidence collection and handling of witnesses/alleged offenders is monitored to ensure conduct is in accordance with rules of evidence and procedural fairness considerations.
- Team members are regularly consulted on progress of the investigation in both informal situations and scheduled reviews.
- Obstacles encountered during the investigation are discussed and solutions found.
- Key tasks, deadlines and timelines are monitored, risks anticipated and extra resources and/or external expertise authorised as required in accordance with the investigation are plan.
- Requirement for specialists is monitored to ensure their cost-effective use.
- Finalise and report on investigation
- Final stage of investigation is supervised to ensure conclusion in court or other body if appropriate.
- Investigation is finalised within (revised) budget and time restrictions and results are recorded in accordance with legislative and organisational requirements.
- Administrative/recovery actions are initiated where appropriate.
- Witnesses, alleged offenders and other persons/organisations affected by the investigation are provided with sufficient information about the outcome.
- If planned outcome is not achieved, follow-up actions are planned to progress to next stage or to take no further action.
- Reports are made to management on outcomes relevant to future compliance activities particularly on how organisational procedures assisted or impeded investigation.
- Conduct debriefing
- Activities are reviewed against objectives and outcomes of the investigation.
- Strengths and weaknesses in investigation process are highlighted for future investigations.
- Precedents and problems are noted for future investigations.
- Achievements are acknowledged through formal and informal means.
- Debriefing report is prepared in accordance with organisational policy and procedures.