ELEMENT

PERFORMANCE CRITERIA

1. Plan investigation

1.1 Objectives and desired outcomes of the investigation are identified, documented and communicated to investigation team.

1.2 Relevant legislation is reviewed and stakeholders are consulted to ensure sound preparation for the investigation.

1.3 Resource requirements are identified and authorised after considering other organisational needs.

1.4 Communications strategy is established in consultation with team.

1.5 Continuous review mechanisms are put in place to monitor the progress of the investigation.

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

2. Prepare for investigation

2.1 An evidence matrix is developed and updated as required.

2.2 Assessment is made of possible avenues of enquiry.

2.3 Elements/proofs of the offence are determined and witnesses are identified.

2.4 Consultation is conducted with other organisations when investigation impacts on their organisation.

2.5 Potential for recovery action is assessed and liaison occurs with appropriate authorities to determine when recovery action should begin and what is involved.

3. Lead and support investigation team

3.1 Personnel are allocated to the investigation based upon their skills, knowledge and abilities in relation to the requirements of the investigation.

3.2 Specialist resources are located internally and externally to facilitate successful outcome.

3.3 Administrative support is organised from commencement of investigation.

3.4 Ongoing advice and support are provided to the team in accordance with the requirements of the investigation.

3.5 Investigation plan is revised as required in response to contingencies in consultation with investigative team, and incorporating suggestions where practicable.

4. Monitor progress of investigation

4.1 Investigation is monitored against the requirements of the continuously updated investigation plan.

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

4.3 Team members are regularly consulted on progress of the investigation in both informal situations and scheduled reviews.

4.4 Obstacles encountered during the investigation are discussed and solutions found.

4.5 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.

4.6 Requirement for specialists is monitored to ensure their cost-effective use.

5. Finalise and report on investigation

5.1 Final stage of investigation is supervised to ensure conclusion in court or other body if appropriate.

5.2 Investigation is finalised within (revised) budget and time restrictions and results are recorded in accordance with legislative and organisational requirements.

5.3 Administrative/recovery actions are initiated where appropriate.

5.4 Witnesses, alleged offenders and other persons/organisations affected by the investigation are provided with sufficient information about the outcome.

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

5.6 Reports are made to management on outcomes relevant to future compliance activities particularly on how organisational procedures assisted or impeded investigation.

6. Conduct debriefing

6.1 Activities are reviewed against objectives and outcomes of the investigation.

6.2 Strengths and weaknesses in investigation process are highlighted for future investigations.

6.3 Precedents and problems are noted for future investigations.

6.4 Achievements are acknowledged through formal and informal means.

6.5 Debriefing report is prepared in accordance with organisational policy and procedures.

This section describes the essential skills and knowledge and their level, required for this unit.

Skill requirements

Look for evidence that confirms skills in:

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 a range of audiences

conducting complex oral exchanges in briefing sessions and team meetings

responding to diversity, including gender and disability

applying procedures relating to occupational health and safety and environment in the context of investigations

Knowledge requirements

Look for evidence that confirms knowledge and understanding of:

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

equal employment opportunity, equity and diversity principles

public sector legislation such as occupational health and safety and environment in the context of investigations

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.

Critical aspects for assessment and evidence required to demonstrate competency in this unit

In addition to integrated demonstration of the elements and their related performance criteria, look for evidence that confirms consistency of performance in coordinating investigation processes.

This will include evidence of:

coordinating at least three actual or simulated investigations, on three separate occasions or for three different situations/contexts

adhering to legal, ethical and organisational requirements relating to investigations.

Context of and specific resources for assessment

Assessment must ensure access to a real or simulated workplace environment that closely resembles normal work practice and replicates the range of conditions likely to be encountered while coordinating investigation processes, including coping with difficulties, irregularities and breakdowns in routine.

Access is required to resources such as:

applicable legislation, policies and procedures

case studies and workplace scenarios to capture the range of requirements for situations likely to be encountered

technology for investigation management systems.

Method of assessment

Assessment methods suitable for valid and reliable assessment of this unit of competency may include, but are not limited to, a combination of 2 or more of:

case studies

demonstration

observation

written or oral questions

scenarios

simulation or role plays

authenticated evidence from the workplace and/or training courses.

Guidance information for assessment

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

women

young people

older people

people in rural and remote locations

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.

Investigations may include:

complete investigations

joint investigations with other agencies

parts of investigations carried out in-house

outsourced investigations

those referred to other relevant law enforcement agencies (for example police, Independent Commission against Corruption, Criminal Justice Commission)

formal enquiries that do not proceed to investigation

Stakeholders may include:

law enforcement agencies

standards setting organisations

other government agencies

industry group

informants

Investigation management system may include:

review process

level of financial and human resources required

use of IT case

Action may include:

recovery action

Contingencies may include:

receipt of new information

changes in:

times

budgets

plans

staff

Key tasks may include:

authorities, powers and limitations on those monitoring the collection and handling of evidence which is vital to the outcome of investigation

updating information systems and recording

Debriefing report includes:

whether desired result was achieved

why the investigation succeeded or failed

aspects to be used/avoided in the future

details of issues and recommendations