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Evidence Guide: PSPREG701A - Manage investigations program

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

PSPREG701A - Manage investigations program

What evidence can you provide to prove your understanding of each of the following citeria?

Articulate and authorise investigations strategy

  1. Investigations strategy is linked to objectives of the organisation's overall compliance strategy
  2. Strategy is used to communicate the roles of staff in investigations including their functions, responsibilities and rights
  3. Policy and procedures are developed to enable staff to conduct successful investigations and meet organisational objectives
  4. Guidelines are developed to assist decision making on whether particular investigations should be conducted in-house or through other avenues
  5. Documented organisational procedures for handling investigations are included in guidelines
  6. Staff training and maintenance of standards are addressed in the development of the guidelines
Investigations strategy is linked to objectives of the organisation's overall compliance strategy

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Strategy is used to communicate the roles of staff in investigations including their functions, responsibilities and rights

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Policy and procedures are developed to enable staff to conduct successful investigations and meet organisational objectives

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Guidelines are developed to assist decision making on whether particular investigations should be conducted in-house or through other avenues

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Documented organisational procedures for handling investigations are included in guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Staff training and maintenance of standards are addressed in the development of the guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Evaluate process of investigations

  1. Scheduled times for evaluation and review are established in accordance with organisational policy and procedures
  2. Consultation, review and development processes are developed and communicated in accordance with organisational policy and procedures
  3. Quality assurance review programs are established to ensure the integrity of policy and procedures is maintained or enhanced
  4. Data from performance measures is used to validate investigation processes against best practice, noting areas where improvements are needed as part of quality implementation
  5. Recommendations to improve organisational guidelines are compared with legislative and judicial standards, to improve consistency with external benchmarks
  6. Statutory reporting obligations are managed in accordance with organisational policy and procedures
Scheduled times for evaluation and review are established in accordance with organisational policy and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consultation, review and development processes are developed and communicated in accordance with organisational policy and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Quality assurance review programs are established to ensure the integrity of policy and procedures is maintained or enhanced

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Data from performance measures is used to validate investigation processes against best practice, noting areas where improvements are needed as part of quality implementation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Recommendations to improve organisational guidelines are compared with legislative and judicial standards, to improve consistency with external benchmarks

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Statutory reporting obligations are managed in accordance with organisational policy and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Evaluate outcomes of investigations

  1. Resolution rate of investigations, reasons for lack of resolution and time taken to complete investigations are reported on and analysed for improvement
  2. Strategic directions are amended where necessary to improve the rate of investigation resolution and the time taken for investigations to be completed
Resolution rate of investigations, reasons for lack of resolution and time taken to complete investigations are reported on and analysed for improvement

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Strategic directions are amended where necessary to improve the rate of investigation resolution and the time taken for investigations to be completed

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Handle complaints

  1. Strategies are established to handle a range of situations that may impact on the reputation of the organisation
  2. Policy and procedures are implemented to facilitate the timely reporting to senior management of potentially serious situations
Strategies are established to handle a range of situations that may impact on the reputation of the organisation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Policy and procedures are implemented to facilitate the timely reporting to senior management of potentially serious situations

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Authorise investigations

  1. Authority levels are determined to reflect structure and reporting lines within the organisation, jurisdictional and legislative requirements
  2. Decisions regarding the allocation of investigative tasks to internal or external investigation personnel are based on organisational guidelines
  3. Any request for authorisation by senior management is accompanied by sufficient information to facilitate effective and timely decision making
Authority levels are determined to reflect structure and reporting lines within the organisation, jurisdictional and legislative requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Decisions regarding the allocation of investigative tasks to internal or external investigation personnel are based on organisational guidelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Any request for authorisation by senior management is accompanied by sufficient information to facilitate effective and timely decision making

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Change strategic direction of investigations

  1. Broader policy directives are balanced with needs and demands within the organisation
  2. Any exemptions to established policy are authorised after full consideration of impact on the organisation, legal ramifications and reasons for exemption
Broader policy directives are balanced with needs and demands within the organisation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Any exemptions to established policy are authorised after full consideration of impact on the organisation, legal ramifications and reasons for exemption

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Build links at policy level with other organisations and policy makers

  1. Opportunities for liaison with other investigations managers are used to extend knowledge and improve links within the profession
  2. Staff are encouraged to build relationships with peers in other organisations
  3. Opportunities are taken to promote the organisation and the investigations profession with policy makers and the public
  4. Relationships with other key law enforcement agencies and standards setting organisations are established and maintained
  5. Relationships with other relevant stakeholders are established and maintained
Opportunities for liaison with other investigations managers are used to extend knowledge and improve links within the profession

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Staff are encouraged to build relationships with peers in other organisations

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Opportunities are taken to promote the organisation and the investigations profession with policy makers and the public

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Relationships with other key law enforcement agencies and standards setting organisations are established and maintained

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Relationships with other relevant stakeholders are established and maintained

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Articulate and authorise investigations strategy

  1. Investigations strategy is linked to objectives of the organisation's overall compliance strategy.
  2. Strategy is used to communicate the roles of staff in investigations including their functions, responsibilities and rights.
  3. Policy and procedures are developed to enable staff to conduct successful investigations and meet organisational objectives.
  4. Guidelines are developed to assist decision making on whether particular investigations should be conducted in-house or through other avenues.
  5. Documented organisational procedures for handling investigations are included in guidelines.
  6. Staff training and maintenance of standards are addressed in the development of the guidelines.
Investigations strategy is linked to objectives of the organisation's overall compliance strategy.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Strategy is used to communicate the roles of staff in investigations including their functions, responsibilities and rights.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Policy and procedures are developed to enable staff to conduct successful investigations and meet organisational objectives.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Guidelines are developed to assist decision making on whether particular investigations should be conducted in-house or through other avenues.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Documented organisational procedures for handling investigations are included in guidelines.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Staff training and maintenance of standards are addressed in the development of the guidelines.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Evaluate process of investigations

  1. Scheduled times for evaluation and review are established in accordance with organisational policy and procedures.
  2. Consultation, review and development processes are developed and communicated in accordance with organisational policy and procedures.
  3. Quality assurance review programs are established to ensure the integrity of policy and procedures is maintained or enhanced.
  4. Data from performance measures is used to validate investigation processes against best practice, noting areas where improvements are needed as part of quality implementation.
  5. Recommendations to improve organisational guidelines are compared with legislative and judicial standards, to improve consistency with external benchmarks.
  6. Statutory reporting obligations are managed in accordance with organisational policy and procedures.
Scheduled times for evaluation and review are established in accordance with organisational policy and procedures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consultation, review and development processes are developed and communicated in accordance with organisational policy and procedures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Quality assurance review programs are established to ensure the integrity of policy and procedures is maintained or enhanced.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Data from performance measures is used to validate investigation processes against best practice, noting areas where improvements are needed as part of quality implementation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Recommendations to improve organisational guidelines are compared with legislative and judicial standards, to improve consistency with external benchmarks.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Statutory reporting obligations are managed in accordance with organisational policy and procedures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Evaluate outcomes of investigations

  1. Resolution rate of investigations, reasons for lack of resolution and time taken to complete investigations are reported on and analysed for improvement.
  2. Strategic directions are amended where necessary to improve the rate of investigation resolution and the time taken for investigations to be completed.
Resolution rate of investigations, reasons for lack of resolution and time taken to complete investigations are reported on and analysed for improvement.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Strategic directions are amended where necessary to improve the rate of investigation resolution and the time taken for investigations to be completed.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Handle complaints

  1. Strategies are established to handle a range of situations that may impact on the reputation of the organisation.
  2. Policy and procedures are implemented to facilitate the timely reporting to senior management of potentially serious situations.
Strategies are established to handle a range of situations that may impact on the reputation of the organisation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Policy and procedures are implemented to facilitate the timely reporting to senior management of potentially serious situations.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Authorise investigations

  1. Authority levels are determined to reflect structure and reporting lines within the organisation, jurisdictional and legislative requirements.
  2. Decisions regarding the allocation of investigative tasks to internal or external investigation personnel are based on organisational guidelines.
  3. Any request for authorisation by senior management is accompanied by sufficient information to facilitate effective and timely decision making.
Authority levels are determined to reflect structure and reporting lines within the organisation, jurisdictional and legislative requirements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Decisions regarding the allocation of investigative tasks to internal or external investigation personnel are based on organisational guidelines.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Any request for authorisation by senior management is accompanied by sufficient information to facilitate effective and timely decision making.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Change strategic direction of investigations

  1. Broader policy directives are balanced with needs and demands within the organisation.
  2. Any exemptions to established policy are authorised after full consideration of impact on the organisation, legal ramifications and reasons for exemption.
Broader policy directives are balanced with needs and demands within the organisation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Any exemptions to established policy are authorised after full consideration of impact on the organisation, legal ramifications and reasons for exemption.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Build links at policy level with other organisations and policy makers

  1. Opportunities for liaison with other investigations managers are used to extend knowledge and improve links within the profession.
  2. Staff are encouraged to build relationships with peers in other organisations.
  3. Opportunities are taken to promote the organisation and the investigations profession with policy makers and the public.
  4. Relationships with other key law enforcement agencies and standards setting organisations are established and maintained.
  5. Relationships with other relevant stakeholders are established and maintained.
Opportunities for liaison with other investigations managers are used to extend knowledge and improve links within the profession.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Staff are encouraged to build relationships with peers in other organisations.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Opportunities are taken to promote the organisation and the investigations profession with policy makers and the public.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Relationships with other key law enforcement agencies and standards setting organisations are established and maintained.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Relationships with other relevant stakeholders are established and maintained.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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.

Units to be assessed together

Pre-requisite units that must be achieved prior to this unit:Nil

Co-requisite units that must be assessed with this unit:Nil

Co-assessed units that may be assessed with this unit to increase the efficiency and realism of the assessment process include, but are not limited to:

PSPETHC701A Lead and influence ethical practice in the public sector

PSPHR703A Provide leadership in strategic human resource management

PSPMNGT701B Provide strategic direction

PSPMNGT702A Influence and shape diversity management

PSPMNGT703A Lead and influence change

PSPMNGT704A Undertake enterprise risk management

Overview of evidence requirements

In addition to integrated demonstration of the elements and their related performance criteria, look for evidence that confirms:

the knowledge requirements of this unit

the skill requirements of this unit

application of the Employability Skills as they relate to this unit (see Employability Summaries in Qualifications Framework)

managing investigations programs relating to a range of (3 or more) contexts

Resources required to carry out assessment

These resources include:

the organisation's enabling legislation, policy and procedures that provide investigation powers

investigation guidelines and standards

public sector values and codes of conduct

case studies and workplace scenarios to capture the range of situations likely to be encountered when managing investigations programs

Where and how to assess evidence

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 managing investigations programs, including coping with difficulties, irregularities and breakdowns in routine

managing investigations programs relating to a range of (3 or more) contexts

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

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

case studies

portfolios

questioning

scenarios

authenticated evidence from the workplace and/or training courses

For consistency of assessment

Evidence must be gathered over time in a range of contexts to ensure the person can achieve the unit outcome and apply the competency in different situations or environments

Required Skills and Knowledge

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

Skill requirements

Look for evidence that confirms skills in:

managing projects

managing systems and processes for effective investigation processes and outcomes

liaising and managing investigations with outside agencies where, for example, investigations are conducted jointly or referred to a police service or contracted to an outside body

undertaking analysis and problem solving, especially when dealing with complaints

using a range of communication styles to suit different audiences and purposes

responding to diversity, including gender and disability

applying occupational health and safety and environmental procedures in the context of investigation management

Knowledge requirements

Look for evidence that confirms knowledge and understanding of:

agency investigation/compliance strategy

agency structure and core business

investigation techniques

an understanding of the relationship of the investigation strategy to the agency's overall strategy and jurisdictional policy and legislative requirements

relevant legislation and policy covering the conduct of investigations, as well as the procedural and offence provisions of specific legislation

legislative reporting requirements to standards setting organisations

public sector legislation relating to investigations management including anti-discrimination and diversity legislation, occupational health and safety and environment

Range Statement

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.

Other avenues for conducting investigations may include:

joint operations

referral to other agencies

private investigators

Guidelines may include:

those produced by standards setting organisations relevant to the jurisdiction