Application
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.
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. 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 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.
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 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
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
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