PSPFRU007 - Implement fraud control activities assessment tool

Assessor Resource

PSPFRU007
Implement fraud control activities

Assessment tool

Version 1.0
Issue Date: April 2024

This unit describes the skills required to implement controls and educate staff in order to reduce or eliminate the risk of fraud and corruption. It includes assessing options and selecting actions for fraud and corruption control activities, setting down procedures and expectations for staff, and implementing performance evaluation and monitoring systems.

This unit applies to those working in roles involving fraud control implementation.

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 autonomously, performing complex tasks in a range of familiar 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. Assess options and select actions	1.1 Assess existing systems and procedures for compliance with fraud/corruption control plan and strategy, and broader organisational objectives. 1.2 Determine possible courses of action based on an assessment of relevant resources and personnel available and integration with organisational activities. 1.3 Obtain agreement of relevant staff and management on key features of the fraud/corruption control activities within their area of responsibility. 1.4 Assess resource implications and efficiency and effectiveness of options. 1.5 Specify desired outcomes in consultation with stakeholders. 1.6 Recommend preferred options to senior management and seek agreement by those responsible for implementation.
2. Set down procedures and expectations for staff	2.1 Specify key tasks and deadlines and prepare a project timeline when appropriate. 2.2 Develop ethical standards and guidelines in consultation with stakeholders. 2.3 Develop procedures outlining the obligations and protections relating to public interest disclosures, protected disclosures or whistleblowing legislation. 2.4 Document, test and disseminate procedures through most effective channels. 2.5 Include opportunities for identifying possible new risks and threats in the procedures. 2.6 Update procedures on the basis of regular reviews and evaluation.
3. Implement performance evaluation and monitoring systems	3.1 Identify mechanisms to monitor implementation through consultation with appropriate people. 3.2 Obtain agreement between those involved of relevant information and methods of comparing progress of implementation procedures to objectives of fraud/corruption control plan. 3.3 Assess quality of work, extent of progress, resource usage and other critical features and recommend variations or adjustments to the fraud/corruption control plan. 3.4 Inform authorities of progress of implementation and problems as they arise. 3.5 Use regular reporting activities to provide advice regarding impact of procedures on effectiveness of fraud/corruption control strategy.

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.

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

ensuring compliance of activities with fraud/corruption control plan and fraud/corruption control strategy

consulting with staff or personnel responsible for relevant activities or components of the activities specified

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

writing reports requiring formal language and structure on the effectiveness of fraud and corruption control activities

managing widespread dissemination of activities in the agency

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

best practice initiatives in fraud and corruption control

client base and any history of fraud and corruption against the agency

control testing and evaluation

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

anti-discrimination and diversity legislation

legislation and procedures relating to public interest disclosures, protected disclosures or whistleblowing

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. Assess options and select actions	1.1 Assess existing systems and procedures for compliance with fraud/corruption control plan and strategy, and broader organisational objectives. 1.2 Determine possible courses of action based on an assessment of relevant resources and personnel available and integration with organisational activities. 1.3 Obtain agreement of relevant staff and management on key features of the fraud/corruption control activities within their area of responsibility. 1.4 Assess resource implications and efficiency and effectiveness of options. 1.5 Specify desired outcomes in consultation with stakeholders. 1.6 Recommend preferred options to senior management and seek agreement by those responsible for implementation.
2. Set down procedures and expectations for staff	2.1 Specify key tasks and deadlines and prepare a project timeline when appropriate. 2.2 Develop ethical standards and guidelines in consultation with stakeholders. 2.3 Develop procedures outlining the obligations and protections relating to public interest disclosures, protected disclosures or whistleblowing legislation. 2.4 Document, test and disseminate procedures through most effective channels. 2.5 Include opportunities for identifying possible new risks and threats in the procedures. 2.6 Update procedures on the basis of regular reviews and evaluation.
3. Implement performance evaluation and monitoring systems	3.1 Identify mechanisms to monitor implementation through consultation with appropriate people. 3.2 Obtain agreement between those involved of relevant information and methods of comparing progress of implementation procedures to objectives of fraud/corruption control plan. 3.3 Assess quality of work, extent of progress, resource usage and other critical features and recommend variations or adjustments to the fraud/corruption control plan. 3.4 Inform authorities of progress of implementation and problems as they arise. 3.5 Use regular reporting activities to provide advice regarding impact of procedures on effectiveness of fraud/corruption control strategy.