Application
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.
Elements and Performance Criteria
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 non 5.2 Document and store confidential components. 5.3 Review the plan in accordance with organisational and jurisdictional needs and requirements. |
Evidence of Performance
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 of Knowledge
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
anti
legislation, policies and procedures relating to fraud and corruption control
Assessment Conditions
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.
Foundation Skills
Foundation skills are embedded within the elements and performance criteria of this unit.
Competency Field
Fraud control