PSPINV003 Finalise an investigation
Participant – Assessment Booklet

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Assessment Cover Sheet
This cover sheet must accompany each separate assessment submission.
Name Student ID
Agency (if applicable)
Assessment PSPINV003 – Assessment Booklet
Units of competency PSPINV003 Finalise an investigation

Student’s declaration
Yes No
? ? I/We have read and understood the details of the assessment.
? ? I/We have been informed of the conditions of the assessment and the appeals process.
? ? I/We agree to participate in this assessment.
? ? I have made a photocopy or electronic copy of my assignment, which I can produce if the original is misplaced.
? ? I/We certify that the attached is my/our own work.
Student’s signature Date
Assessment results
? Not yet competent ? Competent
Comments/Feedback from assessor to student
Comments/Feedback from student to assessor
Assessor’s name Date
Assessor’s signature
Student’s name Date
Student’s signature
This cover sheet and all assessment documents are to be forwarded to the Course Coordinator, KPS & Associates Pty Ltd. Assessments can be submitted by either uploading to the KPS training management system; email to info@kpstraining.edu.au or via regular mail to:
Course Coordinator,
KPS & Associates Pty Ltd
PO Box 4289, Gumdale QLD 4154
You should save this document to your desktop before commencing this assessment and keep a saved copy on your desktop.
1. Go to File / Save As
2. Select desktop and then hit save

Student Instructions:
Well done! Now that you have worked through course lessons and completed the self-assessment activities you should be ready to complete your formal assessment. Each unit of competency has a formal assessment relevant to the topic. For this unit you will find:
1. A set of short-answer questions (compulsory for all students)
Your assessment for this unit will comprise answering all short-answer questions scenarios and/or practical tasks and either the workplace project (Option A) OR, if this is not possible, the case study (Option B).
If you are unsure you should liaise with your assessor to discuss which assessment option will best suit your circumstances, confirm the assessment requirements and answer any questions that you may have. Generally, the workplace project (Option A) is for those who have had exposure to workplace activity which is relevant to the competency.
Word Counts
You will find that word counts are given in some sections of the assignments. Please note that this is a guide only and is not restrictive – your goal should be to demonstrate your knowledge and skills for your assessor.
Background
To gain recognition for this unit of competency you must demonstrate your ability to:
• Address investigation outcomes
• Report findings
• Finalise investigation
Details of the knowledge, skills and performance criteria you are being assessed against can be found in the front section of the PSPINV003 Finalise an investigation learner guide.
Instructions to the learner
Read all the material in your learner guide before completing any of the assessment activities. Read all the questions for this unit of competency before attempting to answer them. Answer all the questions for this unit of competency. Keep in mind you are studying a nationally recognised unit of competency. Your answers must reflect a broad factual, technical and some theoretical knowledge of the unit of competency. Read through the practical assessment and instructions and discuss these with your assessor before beginning the assessment. There may be specific requirements that you need to be aware of. Your skills must display a broad range of cognitive, technical and communication skills to practical tasks identified in the unit of competency.
General Information online and blended students
You must complete all your own work without assistance from other persons: You can have access to your learner guides or other materials to assist answering the questions. The assessor will take steps/make arrangements to ensure candidates do not share their work and / or answers. The assessor will make arrangements to receive the completed assessment via email, USB, on-line, printed or similar.
General Information workplace students
For students undertaking on the job learning, the assessment will be conducted in the workplace. You may be required to complete a combination of scenarios, case studies, role plays and answer a series of questions based on the unit of competency you are undertaking. your assessor will record all details about the tasks you perform. as your assessor observes you completing tasks they will ask you questions. the assessor will record your answers. safety is critical, and the assessor will stop the assessment if safe working protocols are breached. All tasks/behaviours must be performed correctly and will be marked ‘Competent or ‘Not Yet Competent’. HELP: If you have difficulty understanding the tasks please ask your assessor for help. Your assessor will give you appropriate help needed to complete the assessment.
Assessment instructions
For students undertaking on the job learning, the assessment will be conducted in the workplace. You may be required to complete a combination of scenarios, case studies, role plays and answer a series of questions based on the unit of competency you are undertaking.
Prior to commencing the assessments, read each assessment task and the terms and conditions relating to the submission of your assessment task. Please consult with your trainer/assessor if you are unsure of any questions. It is important that you understand and adhere to the terms and conditions, and address fully each assessment task. If any assessment task is not fully addressed, then your assessment task will be returned to you for resubmission. Your trainer/assessor will remain available to support you throughout the assessment process.
Assessment requirements
Assessment can either be:
• direct observation
• product-based methods e.g. reports, role plays, work samples
• portfolios – annotated and validated
• questioning
• third party evidence.
If submitting third party evidence, a third-party observation/demonstration document must be completed by the agreed third party. If you wish to submit third party evidence, please liaise with your assessor who will provide the appropriate third-party observation/demonstration document.
Third parties can be:
• supervisors
• trainers
• team members
• clients
• consumers.
Third-party observation is to be used by the assessor to assist them in determining competency. The assessment activities in this workbook assess aspects of all the elements, performance criteria, skills and knowledge and performance requirements of the unit of competency. This assessment allows you to demonstrate your skills and knowledge against this unit of competency. To demonstrate competence in this unit you must undertake all activities in this workbook and have them deemed satisfactory by the assessor. If you do not answer some questions or perform certain tasks, and therefore you are deemed to be Not Yet Competent, your trainer/assessor may ask you supplementary questions to determine your competence.
Once you have demonstrated the required level of performance, you will be deemed competent in this unit. Your assignments will be assessed to ensure that you display your ability to demonstrate current application of knowledge and skills as well as demonstrate all elements of competency and their performance criteria. As part of the assessment process, all learners must abide by any relevant assessment policies as provided during induction. If you feel you are not yet ready to be assessed or that this assessment is unfair, please contact your assessor to discuss your options. You have the right to formally appeal any outcome and, if you wish to do so, discuss this with your trainer/assessor.
Written work
Assessment tasks are used to measure your understanding and underpinning skills and knowledge of the overall unit of competency. When undertaking any written assessment tasks, please ensure that you address the following criteria:
• address each question including any sub-points
• demonstrate that you have researched the topic thoroughly
• cover the topic in a logical, structured manner
• your assessment tasks are well presented, well referenced and word processed
• your assessment tasks include your full legal name on each and every page.

Active participation
It is a condition of enrolment that you actively participate in your studies. Active participation is completing all the assessment tasks on time.
Plagiarism
Plagiarism is taking and using someone else's thoughts, writings or inventions and representing them as your own. Plagiarism is a serious act and may result in a learner’s exclusion from a course. When you have any doubts about including the work of other authors in your assessment, please consult your trainer/assessor.
The following list outlines some of the activities for which a learner can be accused of plagiarism:
• presenting any work by another individual as one's own unintentionally
• handing in assessments markedly similar to or copied from another learner
• presenting the work of another individual or group as their own work
• handing in assessments without the adequate acknowledgement of sources used, including assessments taken totally or in part from the internet.
If it is identified that you have plagiarised within your assessment, then a meeting will be organised to discuss this with you, and further action may be taken accordingly.
Collusion
Collusion is the presentation by a learner of an assignment as their own that is, in fact, the result in whole or in part of unauthorised collaboration with another person or persons. Collusion involves the cooperation of two or more learners in plagiarism or other forms of academic misconduct and, as such, both parties are subject to disciplinary action. Collusion or copying from other learners is not permitted and will result in a “0” grade and NYC.
Assessments must be typed using document software such as (or similar to) MS Office. Handwritten assessments will not be accepted (unless, prior written confirmation is provided by the trainer/assessor to confirm).
Competency outcome
There are two outcomes of assessments: S = Satisfactory and NS = Not Satisfactory (requires more training and experience).
Once the learner has satisfactorily completed all the tasks for this module the learner will be awarded “Competent” (C) or “Not yet Competent” (NYC) for the relevant unit of competency.
If you are deemed “Not Yet Competent” you will be provided with feedback from your assessor and will be given another chance to resubmit your assessment task(s). If you are still deemed as “Not Yet Competent” you will be required to re-enrol in the unit of competency.
Additional evidence
If we, at our sole discretion, determine that we require additional or alternative information/evidence in order to determine competency, you must provide us with such information/evidence, subject to privacy and confidentiality issues. We retain this right at any time, including after submission of your assessments.
Confidentiality
We will treat anything, including information about your job, workplace, employer, with strict confidence, in accordance with the law. However, you are responsible for ensuring that you do not provide us with anything regarding any third party including your employer, colleagues and others, that they do not consent to the disclosure of. While we may ask you to provide information or details about aspects of your employer and workplace, you are responsible for obtaining necessary consents and ensuring that privacy rights and confidentiality obligations are not breached by you in supplying us with such information.
Recognised prior learning
Candidates will be able to have their previous experience or expertise recognised on request.

Special needs
Candidates with special needs should notify their trainer/assessor to request any required adjustments as soon as possible. This will enable the trainer/assessor to address the identified needs immediately.
What happens afterwards?
Complete the assessment sign off sheet with your assessor. All questions and tasks must be marked correct to be assessed as satisfactory. If the Assessor deems necessary, you may be asked clarifying questions and/or requested to perform an activity or component of an activity where the Assessor requires additional evidence of your competence. You will be offered an opportunity to discuss your performance prior to receiving feedback. You will be given the opportunity for feedback provided by the Assessor. You will be advised of any gap training and the re-sit process if required. When you have finished the assessment, the assessor will check your performance and answers and let you know if the outcome is “Competent” or “Not Yet Competent”.
Assessment appeals process
If you feel that you have been unfairly treated during your assessment, and you are not happy with your assessment and/or the outcome as a result of that treatment, you have the right to lodge an appeal. You must first discuss the issue with your trainer/assessor. If you would like to proceed further with the request after discussions with your trainer/assessor, you need to lodge your appeal to the course coordinator, in writing, outlining the reason(s) for the appeal.
Knowledge Assessment Item 1
Student Instructions:
Answer the following questions in the area provided. The box will expand when typed in.
Question 1: Outline your understanding of why regulatory agencies have administrative requirements written into their organisation policy and procedures manuals in respect to the finalisation of an investigation?
Enter answer here
Question 2: Storage and archiving requirements for investigation reports or other public documents is an important part of finalising an investigation. Outline your understanding of why it is important to keep records of investigations undertaken by government agencies?
Enter answer here
Question 3: If an investigation is finalised by your agency, there are a number of procedural points to be considered before concluding an investigation. Identify six of these points.
Enter answer here
Question 4: The Australian Government Investigation Standards 2011 provides a guide to the type of information and results that should be recorded upon the finalisation of an investigation. Outline your knowledge of these requirements.
Enter answer here
Question 5: From time to time investigations may identify that property, money or other physical assets may be subject to ‘recovery action’. Research and identify the ‘criminal proceeds / recovery action’ legislation relevant to your state/territory or jurisdiction. What is the definition of proceeds under that legislation?
Enter answer here
Question 6: Each Australian state and territory regulates the management of personal information including the manner in which information is dealt with; stored and disposed of. Research and identify the ‘privacy’ legislation relevant to your state/territory or jurisdiction public sector agencies. What is the object of this Act?
Enter answer here

Question 7: The manner of submission and format of the investigation briefing will be determined by the investigators agency but may include:
• an investigation report;
• an executive briefing note;
• a ministerial report.
Outline your understanding of when you should use these three different methods?
Enter example investigation report here
Enter example executive briefing note here
Enter example ministerial report here
Question 8: Referring to the image of the tiered complaints handling format on page 17 of your PSPINV003 Finalise an investigation learner guide. Provide an example of when it may be appropriate to escalate a complaint from a frontline complaint (tier 1) to a more senior staff member for internal review/investigation (tier 2)?
Enter answer here
Question 9: People make complaints because they are unhappy with a decision, the way a service was delivered, the level of service they have received, or the behaviour of staff. Why is identifying the motive of the complainant important in determine how to address/resolve the complaint.
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Question 10: Demonstrate your understanding of the powers of the relevant Ombudsman Office (or equivalent) in your state/territory or jurisdiction? You may need to research the web site for your state/territory Ombudsman Office to answer this question effectively.
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Question 11: Demonstrate your understanding of a statement of reasons and the type of information you would be required to include. Why is listing the process taken (main steps) in making the decision important?
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Question 12: After an investigation is complete and all evidence compiled, an investigator must evaluate and make a determination as to the merits of the complaint and if the investigation findings are capable of substantiating the allegations. Outline your understanding of why an investigator should review and analyse the facts and evidence?
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Question 13: Sometimes an investigator may have to provide recommendations to a decision maker in an investigation report. Page 31 and 32 of your PSPINV003 Finalise an investigation learner guide identified fourteen such recommendations. Pick three of these recommendations and provide an example outlining when your selected recommendations may be appropriate.
e.g. waiving a debt may be appropriate when the cost of recovery of the debt outweighs the monetary value of the debt.
Enter answer 1 here
Enter answer 2 here
Enter answer 3 here
Question 14: An executive summary often appears as a cover note to an investigation report. Outline your understanding of why an executive summary is needed to accompany an investigation report?
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Question 15: Outline your understanding of how the results of an investigation conducted by a government investigation agency may be used to identify an emerging trend in criminal activity.
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