1. CIT Solutions Pty Ltd Complete Learning Solutions Diploma of Government Investigation

2.  Participants will be able to;  Build on their ability to conduct investigations and use basic investigation methods and skills;  Demonstrate critical analysis techniques, reasoning, problem solving and decision making;  Read, interpret and explain complex documents such as legislation and guidelines;  Undertake project management to achieve stated objectives of the investigation and effective utilisation of resources; budgets, human, and physical resources Outcomes CIT Solutions Pty Ltd Complete Learning Solutions

3.  Conduct complex oral briefings and team meetings and prepare written reports requiring formal language and precision of expression;  Manage the ongoing process of investigation, particularly compliance with legislative, judicial and agency requirements; demonstrate organisational and planning skills to co-ordinate crucial and diverse clients, law enforcement providers and stakeholders;  Work within multi-agency and multi jurisdictional environments; and  Identify ongoing improvements in investigation policy, practices and protocols. Cont’d CIT Solutions Pty Ltd Complete Learning Solutions

4. Day 1

5.  What is an investigation  What is an investigation manager and what is their role  What are an investigations manager’s responsibilities  What is the role of a Senior Investigation Manager  What is investigations management  The role of communication for investigations managers  Managing an investigation team  Leading an investigation team  Managing up and out Day 1 – Session Objectives CIT Solutions Pty Ltd Complete Learning Solutions

6. A planned, systematic inquiry to search out and conduct a detailed or careful examination in an attempt to learn the facts about something hidden, unique, or complex, especially in an attempt to find a motive, cause, or culprit. ICAT - 2013 Investigation CIT Solutions Pty Ltd Complete Learning Solutions

7. What is investigation management? CIT Solutions Pty Ltd Complete Learning Solutions

8. Professional investigation management adopts the following principles:  decisions must focus on achieving the specific outcomes.  investigations are subject to the realities of resource allocations.  Investigators should use a ‘system’ to manage their investigation.  the system used to manage investigations must be flexible.  communications must be clear and unambiguous.  the investigation process must be open to administrative, operational and judicial review. Investigation Management CIT Solutions Pty Ltd Complete Learning Solutions

9.  Practitioners must manage QUALITY, TIME AND COST.  Practitioners should use a ‘system’ to manage their investigation.  There must be a formal recording of critical decisions made during the course of an investigation.  Where relevant, independent formal reviews of ongoing investigations should be commissioned to ensure, among other things, that an effective and efficient investigation is being conducted.  Where relevant, Quality Assurance Reviews (QAR’s) should be conducted on completed investigations to identify and encourage ‘best practice’. Applying the principles of Investigation Management CIT Solutions Pty Ltd Complete Learning Solutions

10. “Effective management is the attainment of organisational goals in an effective and efficient manner through planning, organising, leading, and controlling organisational resources.” (Daft, 1991: 5) (Daft, 1991: 5) CIT Solutions Pty Ltd Complete Learning Solutions

11. Planning Organising Leading Controlling The four fundamental elements of management: CIT Solutions Pty Ltd Complete Learning Solutions

12. ‘defining goals for future organisational performance and deciding on the tasks and resource use needed to attain them’ (Daft, 1991) INCLUDES; Defining goals Establishing strategy Developing plans to coordinate activities (Robbins, 1997;8) PLANNING CIT Solutions Pty Ltd Complete Learning Solutions

13. ‘...concerned with assigning tasks, grouping tasks into department, and allocating resources’ (Daft, 1991) INCLUDES; Determining tasks How it will be done Who is to do them Reporting mechanisms Where decisions are to be made ORGANISING CIT Solutions Pty Ltd Complete Learning Solutions

14. ‘... involves the use of influence to motivate employees to achieve the organisation’s goals’ (Daft, 1991) INCLUDES; motivating directing others selecting the most effective communication channels resolving conflicts ) (Robbins 1997: 8 ) LEADING CIT Solutions Pty Ltd Complete Learning Solutions

16. ‘... concerned with monitoring employees’ activities, keeping the organisation on track towards its goals, and making corrections as needed.’ (Daft, 1991) INCLUDES; Monitoring activities to ensure that they are being accomplished as planned Correcting any significant deviations CONTROLLING CIT Solutions Pty Ltd Complete Learning Solutions

17. RISK MANAGEMENT CIT Solutions Pty Ltd Complete Learning Solutions

18. 18 “The beauty of not planning is that failure comes as a complete surprise and is not preceded by long periods of anxiety and self- doubt”. CIT Solutions Pty Ltd Complete Learning Solutions

19. 19 “To be defeated after a well-fought battle is acceptable, but to be surprised before the battle starts is totally inexcusable.” (Napoleon Bonaparte) CIT Solutions Pty Ltd Complete Learning Solutions

20. 20 Risk Management is about identifying the uncertainty of future events. It enables us to manage the adverse effects of those events and to take advantage of any potential opportunities. “…the chance of something happening that will have an impact upon objectives.” What is Risk Management?

21. 21 Personal Risks Sleeping through your alarm Falling off your motorcycle Being run down by a car Winning the lottery CIT Solutions Pty Ltd Complete Learning Solutions

22. 22 Work-related risks Threat to physical safety Equipment failure Failure to communicate Investigation Security CIT Solutions Pty Ltd Complete Learning Solutions

23. Investigation related risks: Information is not available Information is not reliable No witnesses Conflicting witnesses More than one suspect Evidence has been lost The suspect becomes aware of your interest CIT Solutions Pty Ltd Complete Learning Solutions

24. 24 What are the risks during an investigation? How do we manage risk ? The AFP Investigation Risk Management Model is specifically designed for investigations risk analysis and will be referred to hereafter; The risk management process: “…is the systematic application of, practices and procedures, to the tasks of identifying, analysing, evaluating, treating, monitoring and communicating risk, within the context of the investigation.” CIT Solutions Pty Ltd Complete Learning Solutions

25. 25 What are the benefits? In a law enforcement investigations environment – Develops an operational environment where all team- members assume responsibility for managing the identified risk. Demonstrates transparent and responsible decision- making through processes that align with accepted best practice. Ensures future ‘investigations’ are not compromised by counter intelligence attention. CIT Solutions Pty Ltd Complete Learning Solutions

26. 26 What are the benefits? To law enforcement ‘investigations’ management - Maximises efficient allocation of available resources. Minimises time and resource wastage on ’high risk’ situations. Provides a sound basis for decision-making. Provides a more accurate selection of high-risk targets and identifies the risks involved. CIT Solutions Pty Ltd Complete Learning Solutions

27. 27 Step 1 - ESTABLISH THE CONTEXT Set objectives and scope. Define the internal and external environment. Identify stakeholders. Develop risk criteria. The Process CIT Solutions Pty Ltd Complete Learning Solutions

28. 28 Step 2 - IDENTIFY THE RISKS What can happen? How (and why) it can happen? The Process CIT Solutions Pty Ltd Complete Learning Solutions

29. 29 Step 3 - ANALYSE THE RISKS What is the likelihood of the risk occurring? What will be the consequences if it does occur? Determine the level of risk. The Process CIT Solutions Pty Ltd Complete Learning Solutions

30. 30 LevelDescriptorDescription AAlmost CertainThe event is expected to occur in most circumstances BLikelyThe event will probably occur in most circumstances CPossibleThe event might occur at some time DUnlikelyThe event not likely to occur at some time ERareThe event may occur only in exceptional circumstances. Qualitative measures of Likelihood CIT Solutions Pty Ltd Complete Learning Solutions

31. 31 Step 4 - EVALUATE THE RISKS Compare against risk criteria Is the risk acceptable? (a risk is considered to be acceptable if it is not going to be treated) The Process CIT Solutions Pty Ltd Complete Learning Solutions

32. 32 LevelDescriptorExample detail description 1InsignificantInconvenience and some delay to investigation. All operational objectives achieved. Can be dealt with through existing controls. 2MinorSome lowering of operational capability and disruption to investigation. Damage contained, principal objectives achieved. Can be dealt with through existing controls or introducing additional controls. 3ModerateNot all operational objectives achieved. Some damage to investigation. Review of objectives required. 4MajorSignificant damage to investigation. Major objectives not achieved. Recovery from this would be time consuming, probably not practicable. 5CatastrophicNo objectives achieved, Compromise or failure of investigation. A complete independent review of the investigation would be required. Qualitative measures of Consequence or Impact

33. 33 Consequences LikelihoodInsignificant Minor Moderate MajorCatastrophic 1. RareLLLLL 2. UnlikelyLLMMM 3. PossibleLMMSS 4. LikelyLMSHH 5. Almost certain LMSHC Qualitative Risk Analysis Matrix – Level of Risk CIT Solutions Pty Ltd Complete Learning Solutions

34. 34 RatingRequired Action CriticalImmediate action is required by very senior level management. HighImmediate action is required that may involve senior management. SignificantRequires attention at functional area management level. Brief functional area manager. MediumManagement contained within the functional area. Brief Team Leader. LowMonitor through routine processes. Risk Rating – Required Action CIT Solutions Pty Ltd Complete Learning Solutions

35. 35 Step - 5 Risk Criteria A risk is considered unacceptable if the outcome would be damaging to the Organisation. If, by not managing the risk, the Organisation is not doing the job that it is expected to do. The Process CIT Solutions Pty Ltd Complete Learning Solutions

36. 36 Step 5 - Risk Criteria Especially: A threat to human life. A threat to national security. A major political embarrassment. Impact on your Organisation’s integrity. The Process CIT Solutions Pty Ltd Complete Learning Solutions

37. 37 Step 6 - TREAT THE RISKS Reduce the likelihood or consequences (or both). Transfer the risk. Avoid the risk. The Process CIT Solutions Pty Ltd Complete Learning Solutions

38. 38 Step 6 - MONITOR & REVIEW Continually review each step of the Risk Analysis process. Circumstances will change. Identified risks will change. Revisit any or all of the steps as and when necessary. The Process CIT Solutions Pty Ltd Complete Learning Solutions

39. 39 SUMMARY Identify potential risks. Manage risks systematically. Document each stage of the process. Remember, risks change. Be prepared to alter your plans as circumstances change. CIT Solutions Pty Ltd Complete Learning Solutions