Elements and Performance Criteria
- Identify organisational needs and obligations
- 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.
- Benchmark fraud/corruption control strategy
- Assess stakeholder and environmental considerations
- 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.
- Develop organisation’s fraud/corruption control strategy
- 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.
- Implement fraud/corruption control strategy
- 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.
- Analyse and review effectiveness of strategy
- 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.
- Identify organisational needs and obligations
- 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.
- Benchmark fraud/corruption control strategy
- Assess stakeholder and environmental considerations
- 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.
- Develop organisation’s fraud/corruption control strategy
- 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.
- Implement fraud/corruption control strategy
- 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.
- Analyse and review effectiveness of strategy
- 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.