Assessor Resource

PSPFRU009
Develop fraud control strategy

Assessment tool

Version 1.0
Issue Date: November 2018


This unit describes the skills required to develop a fraud/corruption control strategy as an integral part of the broader corporate management strategy for an organisation. It includes identifying organisational needs and obligations, benchmarking the fraud/corruption control strategy, assessing stakeholder and environmental considerations, implementing the organisation’s fraud/corruption control strategy and analysing and reviewing the effectiveness of the strategy.

This unit applies to those working in roles involving the development of strategies to control 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 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. Identify organisational needs and obligations

1.1 Research obligations of the organisation based upon the concept of fraud and corruption as both ethical and law enforcement issues that impede effective performance of the organisation’s core business.

1.2 Identify all formal internal and external reporting requirements.

1.3 Identify organisational data analysis and information needs for fraud and corruption detection in line with privacy, confidentiality and law enforcement policy and legislative requirements.

1.4 Reflect a strategic management approach to the prevention of corruption/fraudulent activities in the needs identification.

1.5 Identify organisational responsibility for the coordination, monitoring, implementation, ongoing review and promotion of the organisation’s strategy and agree upon in consultation with senior management.

1.6 Identify organisational responsibility and agree upon for the protection of persons who provide information under legislation related to public interest disclosures, protected disclosures or whistleblowing legislation.

2. Benchmark fraud/corruption control strategy

2.1 Identify performance indicators.

2.2 Use best practice examples in the development of benchmarks.

2.3 Use standards-setting organisations where appropriate to assist in the identification of benchmarks relative to the organisation’s needs and core business.

3. Assess stakeholder and environmental considerations

3.1 Incorporate client entitlements including right to privacy, confidentiality, freedom from reprisals and freedom of information.

3.2 Consider issues, including profile of clients, corporate history and culture and staffing profile.

3.3 Consider constraints of operating environment, including staff shortages, geographical spread of staff and budgeting constraints.

3.4 Consider client and community expectations.

3.5 Identify management perspectives through consultations with those with relevant responsibilities in terms of the organisation’s business, and those with overall responsibility for oversight and implementation of fraud/corruption control in the organisation.

4. Develop organisation’s fraud/corruption control strategy

4.1 Achieve balance between compliance requirements and operational pressures.

4.2 Identify strategies to enable constant updating of the fraud/corruption control strategy to incorporate changing and newly identified risks.

4.3 Incorporate key factors, including the organisational environment and core business.

4.4 Recommend internal and external strategies based on assessment of relevant factors.

4.5 Incorporate internal and external quality assurance into the strategy and allocate responsibility for maintaining quality assurance.

4.6 Obtain acceptance of the strategy by authorities within the organisation and ensure it meet the requirements of the relevant standards-setting organisations.

5. Implement fraud/corruption control strategy

5.1 Develop initiatives required to minimise fraud and corruption in consultation with stakeholders.

5.2 Identify timeframe for implementation of strategy based upon an understanding of resource ramifications.

5.3 Identify areas within the organisation responsible for actions to minimise fraud and corruption.

5.4 Develop procedures for the reporting of information and the protection of persons who provide information under public interest disclosures, protected disclosures or whistleblowing legislation.

5.5 Undertake consultations with relevant personnel to facilitate a shared understanding of responsibilities.

6. Analyse and review effectiveness of strategy

6.1 Structure review to incorporate key features of the strategy underpinning the need for the strategy to be holistic and comprehensive.

6.2 Monitor and review to accommodate lessons learnt during application of the strategy.

6.3 Establish feedback and reporting mechanisms to provide information to senior management about effectiveness of the strategy measured against objectives, and to provide advice regarding changes to management practices.

6.4 Incorporate results of analysis and review to improve fraud and corruption control.

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.

undertaking analysis and strategic development

incorporating essential attributes of an effective fraud/corruption control policy into the strategy

consulting with senior management regarding the integration of the fraud/corruption control strategy with the broader corporate objectives

using liaison and communication styles to suit different audiences and purposes

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.

the concepts of fraud/corruption risk management

risk management standards and techniques

agency corporate objectives and policy planning processes

the relationship between the fraud/corruption control strategy and the corporate goals and management practice of the agency

external reporting requirements

risk profile of the agency

control framework operating in the agency

jurisdictional fraud/corruption control requirements

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

public sector legislation, policies and procedures including antidiscrimination and diversity legislation, work health and safety, and environment

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 organisational needs and obligations

1.1 Research obligations of the organisation based upon the concept of fraud and corruption as both ethical and law enforcement issues that impede effective performance of the organisation’s core business.

1.2 Identify all formal internal and external reporting requirements.

1.3 Identify organisational data analysis and information needs for fraud and corruption detection in line with privacy, confidentiality and law enforcement policy and legislative requirements.

1.4 Reflect a strategic management approach to the prevention of corruption/fraudulent activities in the needs identification.

1.5 Identify organisational responsibility for the coordination, monitoring, implementation, ongoing review and promotion of the organisation’s strategy and agree upon in consultation with senior management.

1.6 Identify organisational responsibility and agree upon for the protection of persons who provide information under legislation related to public interest disclosures, protected disclosures or whistleblowing legislation.

2. Benchmark fraud/corruption control strategy

2.1 Identify performance indicators.

2.2 Use best practice examples in the development of benchmarks.

2.3 Use standards-setting organisations where appropriate to assist in the identification of benchmarks relative to the organisation’s needs and core business.

3. Assess stakeholder and environmental considerations

3.1 Incorporate client entitlements including right to privacy, confidentiality, freedom from reprisals and freedom of information.

3.2 Consider issues, including profile of clients, corporate history and culture and staffing profile.

3.3 Consider constraints of operating environment, including staff shortages, geographical spread of staff and budgeting constraints.

3.4 Consider client and community expectations.

3.5 Identify management perspectives through consultations with those with relevant responsibilities in terms of the organisation’s business, and those with overall responsibility for oversight and implementation of fraud/corruption control in the organisation.

4. Develop organisation’s fraud/corruption control strategy

4.1 Achieve balance between compliance requirements and operational pressures.

4.2 Identify strategies to enable constant updating of the fraud/corruption control strategy to incorporate changing and newly identified risks.

4.3 Incorporate key factors, including the organisational environment and core business.

4.4 Recommend internal and external strategies based on assessment of relevant factors.

4.5 Incorporate internal and external quality assurance into the strategy and allocate responsibility for maintaining quality assurance.

4.6 Obtain acceptance of the strategy by authorities within the organisation and ensure it meet the requirements of the relevant standards-setting organisations.

5. Implement fraud/corruption control strategy

5.1 Develop initiatives required to minimise fraud and corruption in consultation with stakeholders.

5.2 Identify timeframe for implementation of strategy based upon an understanding of resource ramifications.

5.3 Identify areas within the organisation responsible for actions to minimise fraud and corruption.

5.4 Develop procedures for the reporting of information and the protection of persons who provide information under public interest disclosures, protected disclosures or whistleblowing legislation.

5.5 Undertake consultations with relevant personnel to facilitate a shared understanding of responsibilities.

6. Analyse and review effectiveness of strategy

6.1 Structure review to incorporate key features of the strategy underpinning the need for the strategy to be holistic and comprehensive.

6.2 Monitor and review to accommodate lessons learnt during application of the strategy.

6.3 Establish feedback and reporting mechanisms to provide information to senior management about effectiveness of the strategy measured against objectives, and to provide advice regarding changes to management practices.

6.4 Incorporate results of analysis and review to improve fraud and corruption control.

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.

undertaking analysis and strategic development

incorporating essential attributes of an effective fraud/corruption control policy into the strategy

consulting with senior management regarding the integration of the fraud/corruption control strategy with the broader corporate objectives

using liaison and communication styles to suit different audiences and purposes

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.

the concepts of fraud/corruption risk management

risk management standards and techniques

agency corporate objectives and policy planning processes

the relationship between the fraud/corruption control strategy and the corporate goals and management practice of the agency

external reporting requirements

risk profile of the agency

control framework operating in the agency

jurisdictional fraud/corruption control requirements

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

public sector legislation, policies and procedures including antidiscrimination and diversity legislation, work health and safety, and environment

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
Research obligations of the organisation based upon the concept of fraud and corruption as both ethical and law enforcement issues that impede effective performance of the organisation’s core business. 
Identify all formal internal and external reporting requirements. 
Identify organisational data analysis and information needs for fraud and corruption detection in line with privacy, confidentiality and law enforcement policy and legislative requirements. 
Reflect a strategic management approach to the prevention of corruption/fraudulent activities in the needs identification. 
Identify organisational responsibility for the coordination, monitoring, implementation, ongoing review and promotion of the organisation’s strategy and agree upon in consultation with senior management. 
Identify organisational responsibility and agree upon for the protection of persons who provide information under legislation related to public interest disclosures, protected disclosures or whistleblowing legislation. 
Identify performance indicators. 
Use best practice examples in the development of benchmarks. 
Use standards-setting organisations where appropriate to assist in the identification of benchmarks relative to the organisation’s needs and core business. 
Incorporate client entitlements including right to privacy, confidentiality, freedom from reprisals and freedom of information. 
Consider issues, including profile of clients, corporate history and culture and staffing profile. 
Consider constraints of operating environment, including staff shortages, geographical spread of staff and budgeting constraints. 
Consider client and community expectations. 
Identify management perspectives through consultations with those with relevant responsibilities in terms of the organisation’s business, and those with overall responsibility for oversight and implementation of fraud/corruption control in the organisation. 
Achieve balance between compliance requirements and operational pressures. 
Identify strategies to enable constant updating of the fraud/corruption control strategy to incorporate changing and newly identified risks. 
Incorporate key factors, including the organisational environment and core business. 
Recommend internal and external strategies based on assessment of relevant factors. 
Incorporate internal and external quality assurance into the strategy and allocate responsibility for maintaining quality assurance. 
Obtain acceptance of the strategy by authorities within the organisation and ensure it meet the requirements of the relevant standards-setting organisations. 
Develop initiatives required to minimise fraud and corruption in consultation with stakeholders. 
Identify timeframe for implementation of strategy based upon an understanding of resource ramifications. 
Identify areas within the organisation responsible for actions to minimise fraud and corruption. 
Develop procedures for the reporting of information and the protection of persons who provide information under public interest disclosures, protected disclosures or whistleblowing legislation. 
Undertake consultations with relevant personnel to facilitate a shared understanding of responsibilities. 
Structure review to incorporate key features of the strategy underpinning the need for the strategy to be holistic and comprehensive. 
Monitor and review to accommodate lessons learnt during application of the strategy. 
Establish feedback and reporting mechanisms to provide information to senior management about effectiveness of the strategy measured against objectives, and to provide advice regarding changes to management practices. 
Incorporate results of analysis and review to improve fraud and corruption control. 
Research obligations of the organisation based upon the concept of fraud and corruption as both ethical and law enforcement issues that impede effective performance of the organisation’s core business. 
Identify all formal internal and external reporting requirements. 
Identify organisational data analysis and information needs for fraud and corruption detection in line with privacy, confidentiality and law enforcement policy and legislative requirements. 
Reflect a strategic management approach to the prevention of corruption/fraudulent activities in the needs identification. 
Identify organisational responsibility for the coordination, monitoring, implementation, ongoing review and promotion of the organisation’s strategy and agree upon in consultation with senior management. 
Identify organisational responsibility and agree upon for the protection of persons who provide information under legislation related to public interest disclosures, protected disclosures or whistleblowing legislation. 
Identify performance indicators. 
Use best practice examples in the development of benchmarks. 
Use standards-setting organisations where appropriate to assist in the identification of benchmarks relative to the organisation’s needs and core business. 
Incorporate client entitlements including right to privacy, confidentiality, freedom from reprisals and freedom of information. 
Consider issues, including profile of clients, corporate history and culture and staffing profile. 
Consider constraints of operating environment, including staff shortages, geographical spread of staff and budgeting constraints. 
Consider client and community expectations. 
Identify management perspectives through consultations with those with relevant responsibilities in terms of the organisation’s business, and those with overall responsibility for oversight and implementation of fraud/corruption control in the organisation. 
Achieve balance between compliance requirements and operational pressures. 
Identify strategies to enable constant updating of the fraud/corruption control strategy to incorporate changing and newly identified risks. 
Incorporate key factors, including the organisational environment and core business. 
Recommend internal and external strategies based on assessment of relevant factors. 
Incorporate internal and external quality assurance into the strategy and allocate responsibility for maintaining quality assurance. 
Obtain acceptance of the strategy by authorities within the organisation and ensure it meet the requirements of the relevant standards-setting organisations. 
Develop initiatives required to minimise fraud and corruption in consultation with stakeholders. 
Identify timeframe for implementation of strategy based upon an understanding of resource ramifications. 
Identify areas within the organisation responsible for actions to minimise fraud and corruption. 
Develop procedures for the reporting of information and the protection of persons who provide information under public interest disclosures, protected disclosures or whistleblowing legislation. 
Undertake consultations with relevant personnel to facilitate a shared understanding of responsibilities. 
Structure review to incorporate key features of the strategy underpinning the need for the strategy to be holistic and comprehensive. 
Monitor and review to accommodate lessons learnt during application of the strategy. 
Establish feedback and reporting mechanisms to provide information to senior management about effectiveness of the strategy measured against objectives, and to provide advice regarding changes to management practices. 
Incorporate results of analysis and review to improve fraud and corruption control. 

Forms

Assessment Cover Sheet

PSPFRU009 - Develop fraud control strategy
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PSPFRU009 - Develop fraud control strategy

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