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.