ELEMENT

PERFORMANCE CRITERIA

1. Apply organisational philosophy regarding risk

1.1 Stakeholders are consulted in the management of the fraud/corruption risk assessment process.

1.2 Cultural, ethical and economic perspectives of the organisation are acknowledged and applied when making decisions regarding the development and implementation of the risk assessment process in the organisation.

2. Select risk assessment methodology

2.1 Selection of risk assessment methodology is based on an evaluation of a range of fraud/corruption risk management techniques, and factors such as the environment, culture and functions of the organisation.

2.2 Methodology is selected to meet the Australian standard for risk management, is compatible with the organisation's environment, culture, structure and core business and is able to be applied across all the organisation's programs and services.

2.3 Activities of personnel implementing the fraud/corruption risk assessment methodology are monitored in accordance with organisational policy and procedures.

3. Establish reporting and review mechanisms

3.1 The identification of appropriate actions to be implemented is included in reporting mechanisms.

3.2 Review mechanisms are established that acknowledge the need for flexibility and the ongoing nature of the fraud/corruption risk assessment process.

3.3 Reporting mechanisms are established to allow for advice to be provided at opportune times to facilitate a flexible response by management to any deficiencies identified.

3.4 Reporting mechanisms are established to meet the requirements of standards-setting organisations.

This section describes the essential skills and knowledge and their level, required for this unit.

Skill requirements

Look for evidence that confirms skills in:

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

responding to diversity, including gender and disability

effectively managing any consultants used to conduct the fraud/corruption risk assessment

applying occupational health and safety and environmental procedures in the context of managing fraud/corruption risk assessments and action plans

Knowledge requirements

Look for evidence that confirms knowledge and understanding of:

agency corporate plan and nature of service provided by the agency

external reporting requirements

risk profile of the agency

risk management standards and techniques

control framework operating in the agency

how the fraud/corruption risk assessment methodology addresses the agency-relevant criteria for measuring risk

public sector legislation, policies and procedures including anti-discrimination and diversity legislation, occupational health and safety, and environment in the context of fraud/corruption control

The Evidence Guide specifies the evidence required to demonstrate achievement in the unit of competency as a whole. It must be read in conjunction with the Unit descriptor, Performance Criteria, the Range Statement and the Assessment Guidelines for the Public Sector Training Package.

Units to be assessed together

Pre-requisite units that must be achieved prior to this unit:Nil

Co-requisite units that must be assessed with this unit:Nil

Co-assessed units that may be assessed with this unit to increase the efficiency and realism of the assessment process include, but are not limited to:

PSPETHC601B Maintain and enhance confidence in public service

PSPGOV601B Apply government systems

PSPGOV602B Establish and maintain strategic networks

PSPLEGN601B Manage compliance with legislation in the public sector

PSPMNGT604B Manage change

PSPMNGT608B Manage risk

PSPMNGT611A Manage evaluations

PSPPOL603A Manage policy implementation

Overview of evidence requirements

In addition to integrated demonstration of the elements and their related performance criteria, look for evidence that confirms:

the knowledge requirements of this unit

the skill requirements of this unit

application of the Employability Skills as they relate to this unit (see Employability Summaries in Qualifications Framework)

management of fraud/corruption risk assessment and action plans in a range of (2 or more) contexts (or occasions, over time)

Resources required to carry out assessment

These resources include:

legislation, policy and procedures relating to fraud/corruption control

fraud/corruption control guidelines and standards

public sector values and codes of conduct

case studies and workplace scenarios to capture the range of fraud/corruption risk assessment situations likely to be encountered

Where and how to assess evidence

Valid assessment of this unit requires:

a workplace environment or one that closely resembles normal work practice and replicates the range of conditions likely to be encountered when managing fraud/corruption risk assessment and action plans, including coping with difficulties, irregularities and breakdowns in routine

management of fraud/corruption risk assessment and action plan in a range of (2 or more) contexts (or occasions, over time)

Assessment methods should reflect workplace demands, such as literacy, and the needs of particular groups, such as:

people with disabilities

people from culturally and linguistically diverse backgrounds

Aboriginal and Torres Strait Islander people

women

young people

older people

people in rural and remote locations

Assessment methods suitable for valid and reliable assessment of this competency may include, but are not limited to, a combination of 2 or more of:

case studies

portfolios

projects

questioning

scenarios

authenticated evidence from the workplace and/or training courses

For consistency of assessment

Evidence must be gathered over time in a range of contexts to ensure the person can achieve the unit outcome and apply the competency in different situations or environments

The Range Statement provides information about the context in which the unit of competency is carried out. The variables cater for differences between States and Territories and the Commonwealth, and between organisations and workplaces. They allow for different work requirements, work practices and knowledge. The Range Statement also provides a focus for assessment. It relates to the unit as a whole. Text in bold italics in the Performance Criteria is explained here.

Stakeholders may include:

agency staff and senior management

agency clients

contractors and consultants

industry associations

internal/external audit personnel

standards-setting organisations

Risk assessmentmay include:

fraud/corruption risks identified in isolation or as part of a broader risk management strategy

assessments conducted across the agency as a whole and may include recent changes to the structure and nature of the service delivered by the agency

a single process assessing all functions and areas of an agency at the same time, a process that samples a number of agency functions or areas (rather than assessing them all), or a rolling program where all areas or functions are assessed sequentially rather than at the same time

Factors affecting fraud/corruption risk managementmay include:

agency size

program type and size

outsourcing

program and service changes

statutory and policy changes

data exchange

Australian standard for risk managementis:

AS/NZS 4360:1999 or as revised