Assessor Resource

PSPFRU006
Develop fraud control plans

Assessment tool

Version 1.0
Issue Date: March 2024


This unit describes the skills required to plan actions in response to the organisation’s fraud/corruption control strategy, either the preparation of a specific fraud/corruption control plan based on a risk assessment or as an extension of the organisation’s documentation of its fraud/corruption control strategy. This includes identifying areas for action, gaining commitment to the plan, identifying qualitative and quantitative performance indicators, and documenting and disseminating the fraud/corruption control plan.

This unit applies to those working in roles involved in assessing fraud and corruption within their organisation.

The skills and knowledge described in this unit must be applied within the legislative, regulatory and policy environment in which they are carried out. Organisational policies and procedures must be consulted and adhered to.

Those undertaking this unit would work independently, consulting others as required, performing complex tasks in a range of contexts.

No licensing, legislative or certification requirements apply to unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)



Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions section.

1. Identify areas for action

1.1 Establish processes to identify fraud and corruption risks and vulnerability.

1.2 Identify areas for action through the fraud/corruption risk assessment process or some other process for identifying fraud and corruption vulnerability.

1.3 Develop initiatives in consultation with appropriate staff to control identified vulnerabilities.

1.4 Identify areas within the organisation responsible for fraud and corruption minimisation actions.

1.5 Undertake consultation with stakeholders to develop a shared understanding of responsibilities.

1.6 Specify timeframe for implementation of actions based upon an understanding of the nature of risk and resource ramifications.

2. Gain commitment to fraud/corruption control plan

2.1 Initiate professional development awareness and information programs in consultation with responsible staff.

2.2 Tailor fraud/corruption prevention initiatives to the organisational culture, core business and client groups.

3. Identify qualitative and quantitative performance indicators

3.1 Seek advice from internal and external specialist personnel.

3.2 Involve stakeholders in the development of performance indicators.

3.3 Develop performance indicators that relate to the objectives of the program and enable an assessment of the extent to which fraud and corruption control objectives are being achieved.

3.4 Establish feedback mechanisms to ensure that performance data informs improvements to fraud/corruption control strategies and activities.

4. Document fraud/corruption control plan

4.1 Document the control plan using concise language and structure tailored to the intended audience.

4.2 Define the responsibilities for fraud and corruption control of each area in the organisation in the plan.

4.3 Use the risks targeted by the risk assessment process to identify areas for action.

4.4 Describe a comprehensive fraud/corruption control strategy for the organisation in the plan.

4.5 Link the plan to internal audit to reduce overlap or duplication.

4.6 Address the requirements of any jurisdictional fraud and corruption control legislation and guidelines.

5. Disseminate fraud/corruption control plan

5.1 Make nonconfidential components of the fraud/corruption control plan accessible to staff, the Minister and clients of the organisation.

5.2 Document and store confidential components.

5.3 Review the plan in accordance with organisational and jurisdictional needs and requirements.

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the candidate must demonstrate evidence of performance of the following on at least one occasion.

identifying areas for action based upon an analysis and synthesis of objectives and information from the fraud/corruption control strategy, the processes established to identify fraud and corruption vulnerability, and agency corporate plans

planning, analysis and evaluation relating to fraud and corruption risk control

using communication, consultation and negotiation styles to suit different audiences and purposes

applying complex documents, including legislation, guidelines and standards

managing contractors if the fraud/corruption risk assessment is outsourced

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the depth of knowledge demonstrated must be appropriate to the job context of the candidate.

jurisdictional fraud and corruption control requirements

agency fraud and corruption control strategy and agency processes to measure fraud and corruption vulnerability

agency structure and core business activities

fraud and corruption risk factors in the organisation, agency clients, and any history of fraud and corruption in or against the agency

the processes established to identify fraud and corruption vulnerability and agency corporate plans

antidiscrimination and diversity legislation

legislation, policies and procedures relating to fraud and corruption control

This unit contains no specific industry-mandated assessment conditions. Guidance on suggested and recommended conditions and methods can be found in the Implementation Guide.

Assessors must satisfy the NVR/AQTF mandatory competency requirements for assessors.


Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)


Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions section.

1. Identify areas for action

1.1 Establish processes to identify fraud and corruption risks and vulnerability.

1.2 Identify areas for action through the fraud/corruption risk assessment process or some other process for identifying fraud and corruption vulnerability.

1.3 Develop initiatives in consultation with appropriate staff to control identified vulnerabilities.

1.4 Identify areas within the organisation responsible for fraud and corruption minimisation actions.

1.5 Undertake consultation with stakeholders to develop a shared understanding of responsibilities.

1.6 Specify timeframe for implementation of actions based upon an understanding of the nature of risk and resource ramifications.

2. Gain commitment to fraud/corruption control plan

2.1 Initiate professional development awareness and information programs in consultation with responsible staff.

2.2 Tailor fraud/corruption prevention initiatives to the organisational culture, core business and client groups.

3. Identify qualitative and quantitative performance indicators

3.1 Seek advice from internal and external specialist personnel.

3.2 Involve stakeholders in the development of performance indicators.

3.3 Develop performance indicators that relate to the objectives of the program and enable an assessment of the extent to which fraud and corruption control objectives are being achieved.

3.4 Establish feedback mechanisms to ensure that performance data informs improvements to fraud/corruption control strategies and activities.

4. Document fraud/corruption control plan

4.1 Document the control plan using concise language and structure tailored to the intended audience.

4.2 Define the responsibilities for fraud and corruption control of each area in the organisation in the plan.

4.3 Use the risks targeted by the risk assessment process to identify areas for action.

4.4 Describe a comprehensive fraud/corruption control strategy for the organisation in the plan.

4.5 Link the plan to internal audit to reduce overlap or duplication.

4.6 Address the requirements of any jurisdictional fraud and corruption control legislation and guidelines.

5. Disseminate fraud/corruption control plan

5.1 Make nonconfidential components of the fraud/corruption control plan accessible to staff, the Minister and clients of the organisation.

5.2 Document and store confidential components.

5.3 Review the plan in accordance with organisational and jurisdictional needs and requirements.

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the candidate must demonstrate evidence of performance of the following on at least one occasion.

identifying areas for action based upon an analysis and synthesis of objectives and information from the fraud/corruption control strategy, the processes established to identify fraud and corruption vulnerability, and agency corporate plans

planning, analysis and evaluation relating to fraud and corruption risk control

using communication, consultation and negotiation styles to suit different audiences and purposes

applying complex documents, including legislation, guidelines and standards

managing contractors if the fraud/corruption risk assessment is outsourced

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the depth of knowledge demonstrated must be appropriate to the job context of the candidate.

jurisdictional fraud and corruption control requirements

agency fraud and corruption control strategy and agency processes to measure fraud and corruption vulnerability

agency structure and core business activities

fraud and corruption risk factors in the organisation, agency clients, and any history of fraud and corruption in or against the agency

the processes established to identify fraud and corruption vulnerability and agency corporate plans

antidiscrimination and diversity legislation

legislation, policies and procedures relating to fraud and corruption control

This unit contains no specific industry-mandated assessment conditions. Guidance on suggested and recommended conditions and methods can be found in the Implementation Guide.

Assessors must satisfy the NVR/AQTF mandatory competency requirements for assessors.

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Establish processes to identify fraud and corruption risks and vulnerability. 
Identify areas for action through the fraud/corruption risk assessment process or some other process for identifying fraud and corruption vulnerability. 
Develop initiatives in consultation with appropriate staff to control identified vulnerabilities. 
Identify areas within the organisation responsible for fraud and corruption minimisation actions. 
Undertake consultation with stakeholders to develop a shared understanding of responsibilities. 
Specify timeframe for implementation of actions based upon an understanding of the nature of risk and resource ramifications. 
Initiate professional development awareness and information programs in consultation with responsible staff. 
Tailor fraud/corruption prevention initiatives to the organisational culture, core business and client groups. 
Seek advice from internal and external specialist personnel. 
Involve stakeholders in the development of performance indicators. 
Develop performance indicators that relate to the objectives of the program and enable an assessment of the extent to which fraud and corruption control objectives are being achieved. 
Establish feedback mechanisms to ensure that performance data informs improvements to fraud/corruption control strategies and activities. 
Document the control plan using concise language and structure tailored to the intended audience. 
Define the responsibilities for fraud and corruption control of each area in the organisation in the plan. 
Use the risks targeted by the risk assessment process to identify areas for action. 
Describe a comprehensive fraud/corruption control strategy for the organisation in the plan. 
Link the plan to internal audit to reduce overlap or duplication. 
Address the requirements of any jurisdictional fraud and corruption control legislation and guidelines. 
Make nonconfidential components of the fraud/corruption control plan accessible to staff, the Minister and clients of the organisation. 
Document and store confidential components. 
Review the plan in accordance with organisational and jurisdictional needs and requirements. 
Establish processes to identify fraud and corruption risks and vulnerability. 
Identify areas for action through the fraud/corruption risk assessment process or some other process for identifying fraud and corruption vulnerability. 
Develop initiatives in consultation with appropriate staff to control identified vulnerabilities. 
Identify areas within the organisation responsible for fraud and corruption minimisation actions. 
Undertake consultation with stakeholders to develop a shared understanding of responsibilities. 
Specify timeframe for implementation of actions based upon an understanding of the nature of risk and resource ramifications. 
Initiate professional development awareness and information programs in consultation with responsible staff. 
Tailor fraud/corruption prevention initiatives to the organisational culture, core business and client groups. 
Seek advice from internal and external specialist personnel. 
Involve stakeholders in the development of performance indicators. 
Develop performance indicators that relate to the objectives of the program and enable an assessment of the extent to which fraud and corruption control objectives are being achieved. 
Establish feedback mechanisms to ensure that performance data informs improvements to fraud/corruption control strategies and activities. 
Document the control plan using concise language and structure tailored to the intended audience. 
Define the responsibilities for fraud and corruption control of each area in the organisation in the plan. 
Use the risks targeted by the risk assessment process to identify areas for action. 
Describe a comprehensive fraud/corruption control strategy for the organisation in the plan. 
Link the plan to internal audit to reduce overlap or duplication. 
Address the requirements of any jurisdictional fraud and corruption control legislation and guidelines. 
Make nonconfidential components of the fraud/corruption control plan accessible to staff, the Minister and clients of the organisation. 
Document and store confidential components. 
Review the plan in accordance with organisational and jurisdictional needs and requirements. 

Forms

Assessment Cover Sheet

PSPFRU006 - Develop fraud control plans
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Assessment Record Sheet

PSPFRU006 - Develop fraud control plans

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Assessment task 1: [title] Result: Competent Not yet competent

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Overall assessment result: Competent Not yet competent

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