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Evidence Guide: PSPFRAU505B - Develop fraud control plans

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

PSPFRAU505B - Develop fraud control plans

What evidence can you provide to prove your understanding of each of the following citeria?

Identify areas for action

  1. Processes are established to identify fraud and corruption risks and vulnerability
  2. Areas are identified for action through the fraud/corruption risk assessment process or some other process for identifying fraud and corruption vulnerability
  3. Initiatives are developed in consultation with appropriate staff to control identified vulnerabilities
  4. Areas within the organisation responsible for fraud and corruption minimisation actions are identified
  5. Consultation with stakeholders is undertaken to develop a shared understanding of responsibilities
  6. Timeframe for implementation of actions is specified based upon an understanding of the nature of risk and resource ramifications
Processes are established to identify fraud and corruption risks and vulnerability

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Areas are identified for action through the fraud/corruption risk assessment process or some other process for identifying fraud and corruption vulnerability

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Initiatives are developed in consultation with appropriate staff to control identified vulnerabilities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Areas within the organisation responsible for fraud and corruption minimisation actions are identified

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consultation with stakeholders is undertaken to develop a shared understanding of responsibilities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Timeframe for implementation of actions is specified based upon an understanding of the nature of risk and resource ramifications

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Gain commitment to fraud/corruption control plan

  1. Professional development awareness and information programs are initiated in consultation with responsible staff
  2. Fraud/corruption prevention initiatives are tailored to the organisational culture, core business and client groups
Professional development awareness and information programs are initiated in consultation with responsible staff

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Fraud/corruption prevention initiatives are tailored to the organisational culture, core business and client groups

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify qualitative and quantitative performance indicators

  1. Advice is sought from internal and external specialist personnel
  2. Stakeholders are involved in the development of performance indicators
  3. Performance indicators are developed 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
  4. Feedback mechanisms are established to ensure that performance data informs improvements to fraud/corruption controlstrategies and activities
Advice is sought from internal and external specialist personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Stakeholders are involved in the development of performance indicators

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Performance indicators are developed 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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Feedback mechanisms are established to ensure that performance data informs improvements to fraud/corruption controlstrategies and activities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document fraud/corruption control plan

  1. Control plan is documented using concise language and structure tailored to the intended audience/s
  2. The responsibilities for fraud and corruption control of each area in the organisation are clearly articulated in the plan
  3. Risks targeted by the risk assessment process are used to identify areas for action
  4. A comprehensive fraud/corruption control strategy for the organisation is reflected in the plan
  5. The plan is linked to internal audit to reduce overlap or duplication
  6. The requirements of any jurisdictional fraud and corruption control legislation and guidelines are addressed in the plan
Control plan is documented using concise language and structure tailored to the intended audience/s

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

The responsibilities for fraud and corruption control of each area in the organisation are clearly articulated in the plan

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Risks targeted by the risk assessment process are used to identify areas for action

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

A comprehensive fraud/corruption control strategy for the organisation is reflected in the plan

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

The plan is linked to internal audit to reduce overlap or duplication

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

The requirements of any jurisdictional fraud and corruption control legislation and guidelines are addressed in the plan

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Disseminate fraud/corruption control plan

  1. Non-confidential components of the fraud/corruption control plan are made accessible to staff, the Minister and clients of the organisation
  2. Confidential components are documented and stored appropriately
  3. Review of the plan is conducted in accordance with organisational and jurisdictional needs and requirements
Non-confidential components of the fraud/corruption control plan are made accessible to staff, the Minister and clients of the organisation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confidential components are documented and stored appropriately

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review of the plan is conducted in accordance with organisational and jurisdictional needs and requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify areas for action

  1. Processes are established to identify fraud and corruption risks and vulnerability.
  2. Areas are identified for action through the fraud/corruption risk assessment process or some other process for identifying fraud and corruption vulnerability.
  3. Initiatives are developed in consultation with appropriate staff to control identified vulnerabilities.
  4. Areas within the organisation responsible for fraud and corruption minimisation actions are identified.
  5. Consultation with stakeholders is undertaken to develop a shared understanding of responsibilities.
  6. Timeframe for implementation of actions is specified based upon an understanding of the nature of risk and resource ramifications.
Processes are established to identify fraud and corruption risks and vulnerability.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Areas are identified for action through the fraud/corruption risk assessment process or some other process for identifying fraud and corruption vulnerability.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Initiatives are developed in consultation with appropriate staff to control identified vulnerabilities.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Areas within the organisation responsible for fraud and corruption minimisation actions are identified.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consultation with stakeholders is undertaken to develop a shared understanding of responsibilities.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Timeframe for implementation of actions is specified based upon an understanding of the nature of risk and resource ramifications.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Gain commitment to fraud/corruption control plan

  1. Professional development awareness and information programs are initiated in consultation with responsible staff.
  2. Fraud/corruption prevention initiatives are tailored to the organisational culture, core business and client groups.
Professional development awareness and information programs are initiated in consultation with responsible staff.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Fraud/corruption prevention initiatives are tailored to the organisational culture, core business and client groups.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify qualitative and quantitative performance indicators

  1. Advice is sought from internal and external specialist personnel.
  2. Stakeholders are involved in the development of performance indicators.
  3. Performance indicators are developed 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.
  4. Feedback mechanisms are established to ensure that performance data informs improvements to fraud/corruption control strategies and activities.
Advice is sought from internal and external specialist personnel.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Stakeholders are involved in the development of performance indicators.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Performance indicators are developed 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.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Feedback mechanisms are established to ensure that performance data informs improvements to fraud/corruption control strategies and activities.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document fraud/corruption control plan

  1. Control plan is documented using concise language and structure tailored to the intended audience/s.
  2. The responsibilities for fraud and corruption control of each area in the organisation are clearly articulated in the plan.
  3. Risks targeted by the risk assessment process are used to identify areas for action.
  4. A comprehensive fraud/corruption control strategy for the organisation is reflected in the plan.
  5. The plan is linked to internal audit to reduce overlap or duplication.
  6. The requirements of any jurisdictional fraud and corruption control legislation and guidelines are addressed in the plan.
Control plan is documented using concise language and structure tailored to the intended audience/s.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

The responsibilities for fraud and corruption control of each area in the organisation are clearly articulated in the plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Risks targeted by the risk assessment process are used to identify areas for action.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

A comprehensive fraud/corruption control strategy for the organisation is reflected in the plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

The plan is linked to internal audit to reduce overlap or duplication.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

The requirements of any jurisdictional fraud and corruption control legislation and guidelines are addressed in the plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Disseminate fraud/corruption control plan

  1. Non-confidential components of the fraud/corruption control plan are made accessible to staff, the Minister and clients of the organisation.
  2. Confidential components are documented and stored appropriately.
  3. Review of the plan is conducted in accordance with organisational and jurisdictional needs and requirements.
Non-confidential components of the fraud/corruption control plan are made accessible to staff, the Minister and clients of the organisation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confidential components are documented and stored appropriately.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review of the plan is conducted in accordance with organisational and jurisdictional needs and requirements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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:

PSPETHC501B Promote the values and ethos of public service

PSPFRAU502B Anticipate and detect possible fraud activity

PSPFRAU504B Conduct fraud risk assessments

PSPGOV502B Develop client services

PSPGOV504B Undertake research and analysis

PSPGOV517A Coordinate risk management

PSPLEGN501B Promote compliance with legislation in the public sector

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)

development of fraud/corruption control plans in a range of (3 or more) contexts (or occasions, over time)

Resources required to carry out assessment

These resources include:

legislation, policy and procedures relating to fraud and corruption control

fraud and corruption control guidelines and standards

AS/NZS 4360:1999 or as revised

public sector values and codes of conduct

case studies and workplace scenarios to capture the range of fraud/corruption planning activities likely to be undertaken

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 developing fraud and corruption control plans, including coping with difficulties, irregularities and breakdowns in routine

development of fraud/corruption control plans in a range of (3 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

Required Skills and Knowledge

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

Skill requirements

Look for evidence that confirms skills in:

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

applying complex documents such as legislation, guidelines and standards

managing contractors if the fraud/corruption risk assessment is outsourced

responding to diversity, including gender and disability

applying occupational health and safety and environmental procedures in the context of fraud and corruption control

Knowledge requirements

Look for evidence that confirms knowledge and understanding of:

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-discrimination and diversity legislation

legislation, policies and procedures relating to fraud and corruption control

Range Statement

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.

Identification of areas may include:

information from internal and external sources

Stakeholders may include:

agency staff and senior management

contractors and consultants

standards-setting organisations

Specialist personnelmay include:

consultants and contractors

internal and external audit personnel

personnel from law enforcement and prosecution agencies

personnel from standards-setting organisations

Fraud/corruption control strategies and activitiesinclude:

fraud/corruption control strategy

process for identifying risks

fraud/corruption vulnerability risk assessment methodology

fraud/corruption control plan

Components of a fraud/corruption control planmay include as a minimum:

overview of agency's attitude to fraud and corruption and the means by which it encourages ethical behaviour

responsibilities in relation to fraud and corruption control and the agency's relationships with other agencies

outlines of how risks are identified and assessed

descriptions of the processes which are vulnerable to fraud and corruption and actions proposed to overcome those vulnerabilities

responsibilities within the agency for actions identified within the plan and an implementation timetable

procedures for the preparation, maintenance and review of the agency's fraud/corruption control plans

agency fraud and corruption awareness and training strategy

agency conduct and disciplinary standards

statement on how the plan aligns with legislative and judicial requirements (such as reporting and confidentiality)

relevant contacts for further information (internal and external)

Relevant legislation and guidelines may include:

jurisdictional legislation covering agency responsibilities in fraud and corruption control

guidelines such as:

Fraud control policy of the Commonwealth

Commonwealth fraud control guidelines

Fraud control: developing an effective strategy (NSW)

those released by standards-setting organisations such as Risk management, AS/NZS 4360:1999 or as revised