Prepare an investigation plan for your investigation
Investigation plan
For this assessment you are to prepare an investigation plan for your investigation into the case study using the template provided. Your plan must include the following information:
1. Name of the investigator
2. Background of investigation
3. Scope of investigation
4. Allegation/s
5. Relevant section of the legislation of the alleged breach
6. Confidentiality issues or other risks associated with investigation
7. Facts of the issue
8. Actions which are based on avenues of inquiry
9. Resources needed
10. Responsible person
11. Completion date
12. Outcome (e.g. does the action tend to confirm or deny the facts at issue?)
13. Investigation limitations/barriers, including:
a. privacy and confidentiality
b. OHS
c. EEO, equity and diversity principles
Student benchmarks:
1. Student completed the form providing their details
2. Student outlined the details of the investigation including date and time the allegation occurred
3. Student identified the boundaries of the investigation and what it is they will be investigating demonstrating ability to identify, document and communicate objectives and desired outcomes of the” investigation to investigation team
4. Student identified and outline the actual allegation they will be investigating
5. Student used legislation to identify section number, short title and statute demonstrating their ability to review relevant legislation
6. Student identified what information may be required to keep confidential and what risks may affect the progress of the investigation.
7 Student broke down (elementised) the facts that need to be proved or disproved during the investigation demonstrating their ability to identify, document and communicate objectives and desired outcomes of the investigation to the team
8. Student identified what tasks are required to complete each fact at issue.
9. Student outlined what resources may be required in order to complete the investigation demonstrating their ability to identify resource requirements in line with organisational needs
10. Student identified who is responsible for each task demonstrating ability to allocate resources and provide systematic recording of investigation decisions
11. Student identified a completion date for each of the tasks as part of continuous review mechanism to monitor the progress of the investigation
12. Student identified whether they believe the information they will gather as part of their investigation will prove or disprove the facts as part of the continuous review mechanism to monitor the progress of the investigation and record investigative decisions
13. Student used their knowledge of the legislation to identify potential limitations and barriers to their investigation
Assignment -2:
Evidence Matrix
For this assessment you must elementise your offence from Assessment 1 using the template provided. You must identify the offence, provide definitions for each element and then identify and describe the evidence required to prove each element,
1. Identify the offence
2. Break down the elements of the offence
3. Identify and describe the facilitation of proof for each element
4. Identify and describe the relevant evidence to prove the element
Student benchmarks
1. Student correctly identified the offence from the legislation for their investigation
2. Student broke down each element of the offence using the template provided
3. Student provided a definition of the elements of the offence, some from the legislation and some from standard dictionary meanings
4. Student clearly established what evidence was required to prove each element for the offence.
Elementisation table
Elements of the offence
Facilitation of proof Relevant evidence
Time, Date, Place
APW
Assignment -3:
Resource Matrix
Now that you have developed your plan and elementised the offence for your investigation.
You are now required to allocate your resources based on the investigation requirements. For this assessment you are to prepare a resource matrix, using the template provided for your investigation that demonstrates your allocation of personnel and specialist resources to required tasks. Your matrix must include:
1. Identify the allocated tasks
2. Identify what resources are required and whether they will be sourced internally or externally
3. Identify the period of time allocated for the use of the resource
4. Identify personnel responsible for each task
5. Prepare contingencies for each task
6. Identify budget allocation
7. Identify the element of the offence met
Student benchmarks:
1. Student identified allocated tasks required to complete the investigation
2. Student identified both internal and external resources required to facilitate a successful outcome for the investigation
3. Student identified timeframe required for the allocation of the resource
4. Student identified personnel responsible for each task demonstrating their ability to allocate personnel and organise administrative support as required
5. Student identified contingencies and incorporated suggestions
6. Student identified budget requirements for each task
7. Student reported on how the task met with elements of the offence
Assignment -4:
Progress report
You are now progressing through your investigation, your supervisor has requested a progress report to monitor the status of your investigation. You must complete a progress report using the template provided, completing all four tables for your investigation. You may simulate information to suit your requirements but must be consistent with your investigation and the requirements of the assignment. No investigation is perfect and therefore you should be expected to have areas that require attention as part of your investigation as you progress through. Take this opportunity to think about the issues or problems you may encounter when conducting an investigation. For this assessment task you miu t address the following issues within your assessment:
Your court date has been moved back by one month (consider witnesses and resource availability)
Key witness is unavailable
Key piece of evidence has not been collected
Your budget allocation for key specialist required is not enough
Your report must include:
1. Table 1 Facts
o Identify the facts at issue for your investigation
o Identify and describe the status of the avenues of inquiry
o Identify and describe the outcomes (does it support the charge or not)
2. Table 2 Evidence:
o List all evidence required for the investigation
o Identify where and how stored
Using rules of evidence:
o Identify relevance
o Identify reliability
o Identify admissibility
3. Table 3 Gap analysis
Using 5WH formula:
o Identify what is known
o What is not known
o Conflicts
o Consistencies
4. Table 4 Change report
o Identify the deficiencies or gaps
o Address how it will be addressed
o Identify how investigation plan will be modified
o How will changes be implemented and communicated to staff/stakeholders
o Identify changes to resource matrix
5. Table 5 Resource allocation and usage
o Resource
o Cost per item
o No. of units
o Total cost
o Supplier details
o Procedure
o Contingency option (include cost)
6. Table 6 Human resource table
o Details
o Skills required
o Hours required
o When required
o Total cost
o Source (internal/agency)
o Responsibility/Contact details
o Contingency option (include cost)
o Consultant activity
o Cost per hour
o No. of hours
o Total cost
o Recruitment procedure
o Source (unit or external)
o Contingency option (include cost)
7. Table 7 Allocation table
o Resource
o Location
o Timeframe
o Dependencies
o Responsibility
o Contingency option
Student benchmarks:
1. Student used information from their previous assessments to identify the facts at issue. Student considered the status of each avenue of inquiry and provide information about whether the evidence gathered supports overall outcomes.
2. Student demonstrated their knowledge of the rules of evidence and applied this to the evidence identified. Student demonstrated their understanding by providing a short explanation as to why it meets this requirement
3. Student analysed the information they have gathered and recorded this relevant to the 5WH formula as to what is known. Then identified what gaps they need to fill in column 2. Student then analysed whether the information gathered conflicted with the facts to be proven or is consistent by providing a brief explanation in these columns
4. Student analysed their gaps and/or deficiencies and provided an explanation of how these will be addressed and clearly identified what changes should be made to the plan in regards to same. Student outlined how the changes will be implemented and communicated by providing an explanation of same. Student identified changes to resource needs and explain same.
5. Student identified resource requirements against work unit objectives
6. Student identified human resource requirements against work unit objectives maintaining records for allocation and usage
7. Student identified allocation requirements against work unit objectives maintaining records for allocation and usage
Assignment -5:
Finalization report
You have now completed your investigation and you are required to prepare a finalisation report. Using the template provided you must prepare your report that addresses the following:
1. What are the outcomes of the investigation
2. What are the reasons for these outcomes
3. Were there any additional outcomes as a result of these actions
4. Were there any criminal or civil proceedings? Address the outcomes of these proceedings
5. What evidence was collected, has this been returned, what procedures were used?
6. What lessons were learnt? Positive or negative
7. Were budget and timeline requirements met
8. Identify and describe if there are any administrative/recovery actions required
9. What information in relation to the outcome of the investigation has been provided to relevant persons involved in the investigation, including offenders, witnesses and relevant personnel? What information was provided to each and how was this conducted?
10. What follow up action is required, consider if outcome was achieved or not.
11. Are there any organisational procedures or protocols that should be reviewed? If so, why
12. What legislation requirements or public sector standards did you have to adhere to?
Student benchmark
1. Student provided a well detailed outline of the outcomes from the investigation.
2. Student explained the findings from their investigation using facts proven to support their discussion
3. Student gave consideration to investigative procedures, organisational policy and procedures in their answers and identified additional outcomes
4. Student clearly identified any charges that were laid and how these were supported
5. Student identified and described evidence gathering procedures and how the evidence is dealt with following completion of an investigation, including reporting procedures
6. Student reflected on the outcomes of the investigation and address what went well and what could be improved.
7. Student identified whether timelines where met and if budget requirements were adequate for the investigation
8. Student identified whether there is compensation action for the investigation, if so, what action is to be taken in this regard.
9. Student identified and described who information was reported to, what information was provided and how this was conducted for each person.
10. Student identified any administrative action that was required to complete the investigation, if the outcome was not achieved, what further action may be required.
11. Using the information from the investigation, students identified what could be improved as a result. Student gave consideration to changes in internal or external procedures.
12. Student used their knowledge of the legislation to identify which legislative acts and public section standards they adhered to through the course of their investigation.
Assignment -6:
Debriefing
Your supervisor has asked for you to prepare a debrief report for your investigation using the template provided. Your report must include the following:
1. Review activities against objectives and outcomes of the investigation
2. Identify and describe strengths and weaknesses in the investigation processes to inform future practice
3. Identify and describe precedents and problems to inform future practices
4. Acknowledge achievements, both formal and informal, for the investigation
Student benchmark
Your supervisor has asked for you to prepare a debrief report for your investigation using the template provided. Your report must include the following:
1. Review activities against objectives and outcomes of the investigation
2. Identify and describe strengths and weaknesses in the investigation processes to inform future practice
3. Identify and describe precedents and problems to inform future practices
4. Acknowledge achievements, both formal and informal, for the investigation practices
