Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

PSPINV001 Mapping and Delivery Guide
Plan and initiate an investigation

Version 1.0
Issue Date: April 2024


Qualification -
Unit of Competency PSPINV001 - Plan and initiate an investigation
Description
Employability Skills
Learning Outcomes and 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.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.

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.
Prerequisites/co-requisites
Competency Field Investigation
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities 		Slides
PPT 		Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Initiate preliminary investigation to confirm non-compliance
  • Assess information, confirm likely non-compliance and if matter under investigation falls within jurisdiction.
  • Prioritise importance and urgency of the matter for action.
  • Initiate documentation for investigation of alleged matter.
       
Element: Plan investigation
  • Determine the objectives of the investigation and obtain necessary resources to conduct the investigation.
  • Identify and plan for risks associated with the investigation including sensitivities that might affect the organisation.
  • Select methods to achieve the investigation's objectives.
  • Identify timelines and prioritise tasks.
  • Confirm and initiate communication and case management requirements.
  • Record investigation planning.
  • Obtain approval to commence investigation.
       
Element: Initiate investigation
  • Implement evidence recording process.
  • Identify, locate and contact possible witnesses to request information.
  • Identify and locate responsible parties and record their particulars.
  • Contact responsible parties for interview and inform them of the nature of the investigation as required by law.
  • 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.
  • Select and initiate investigative techniques.
       
Element: Initiate preliminary investigation to confirm non-compliance
  • Assess information, confirm likely non-compliance and if matter under investigation falls within jurisdiction.
  • Prioritise importance and urgency of the matter for action.
  • Initiate documentation for investigation of alleged matter.
       
Element: Plan investigation
  • Determine the objectives of the investigation and obtain necessary resources to conduct the investigation.
  • Identify and plan for risks associated with the investigation including sensitivities that might affect the organisation.
  • Select methods to achieve the investigation's objectives.
  • Identify timelines and prioritise tasks.
  • Confirm and initiate communication and case management requirements.
  • Record investigation planning.
  • Obtain approval to commence investigation.
       
Element: Initiate investigation
  • Implement evidence recording process.
  • Identify, locate and contact possible witnesses to request information.
  • Identify and locate responsible parties and record their particulars.
  • Contact responsible parties for interview and inform them of the nature of the investigation as required by law.
  • 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.
  • Select and initiate investigative techniques.
       


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. 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 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 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

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, 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. 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.

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
Assess information, confirm likely non-compliance and if matter under investigation falls within jurisdiction. 
Prioritise importance and urgency of the matter for action. 
Initiate documentation for investigation of alleged matter. 
Determine the objectives of the investigation and obtain necessary resources to conduct the investigation. 
Identify and plan for risks associated with the investigation including sensitivities that might affect the organisation. 
Select methods to achieve the investigation's objectives. 
Identify timelines and prioritise tasks. 
Confirm and initiate communication and case management requirements. 
Record investigation planning. 
Obtain approval to commence investigation. 
Implement evidence recording process. 
Identify, locate and contact possible witnesses to request information. 
Identify and locate responsible parties and record their particulars. 
Contact responsible parties for interview and inform them of the nature of the investigation as required by law. 
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. 
Select and initiate investigative techniques. 
Assess information, confirm likely non-compliance and if matter under investigation falls within jurisdiction. 
Prioritise importance and urgency of the matter for action. 
Initiate documentation for investigation of alleged matter. 
Determine the objectives of the investigation and obtain necessary resources to conduct the investigation. 
Identify and plan for risks associated with the investigation including sensitivities that might affect the organisation. 
Select methods to achieve the investigation's objectives. 
Identify timelines and prioritise tasks. 
Confirm and initiate communication and case management requirements. 
Record investigation planning. 
Obtain approval to commence investigation. 
Implement evidence recording process. 
Identify, locate and contact possible witnesses to request information. 
Identify and locate responsible parties and record their particulars. 
Contact responsible parties for interview and inform them of the nature of the investigation as required by law. 
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. 
Select and initiate investigative techniques. 

Forms

Assessment Cover Sheet

PSPINV001 - Plan and initiate an investigation
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

PSPINV001 - Plan and initiate an investigation

Student name:

Student ID:

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

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: