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Evidence Guide: PSPFRAU601B - Develop fraud control strategy

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

 

PSPFRAU601B - Develop fraud control strategy

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

Identify organisational needs and obligations

  1. Obligations of the organisation are researched 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.
  2. All formal internal and external reporting requirements are identified
  3. Organisational data analysis and information needs for fraud and corruption detection are identified in line with privacy, confidentiality and law enforcement policy and legislative requirements.
  4. A strategic management approach to the prevention of corruption/fraudulent activities is reflected in the needs identification.
  5. Organisational responsibility for the coordination, monitoring, implementation, ongoing review and promotion of the organisation's strategy is identified and agreed in consultation with senior management.
  6. Organisational responsibility is identified and agreed for the protection of persons who provide information under legislation related to public interest disclosures, protected disclosures or whistleblowing legislation.
Obligations of the organisation are researched 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.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

All formal internal and external reporting requirements are identified

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Organisational data analysis and information needs for fraud and corruption detection are identified in line with privacy, confidentiality and law enforcement policy and legislative requirements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

A strategic management approach to the prevention of corruption/fraudulent activities is reflected in the needs identification.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Organisational responsibility for the coordination, monitoring, implementation, ongoing review and promotion of the organisation's strategy is identified and agreed in consultation with senior management.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Organisational responsibility is identified and agreed for the protection of persons who provide information under legislation related to public interest disclosures, protected disclosures or whistleblowing legislation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Benchmark fraud/corruption control strategy

  1. Performance indicators are identified to facilitate benchmarking the fraud/corruption control strategy.
  2. Best practice examples are utilised in the development of benchmarks.
  3. Standards-setting organisations are utilised where appropriate to assist in the identification of benchmarks relative to the organisation's needs and core business.
Performance indicators are identified to facilitate benchmarking the fraud/corruption control strategy.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Best practice examples are utilised in the development of benchmarks.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Standards-setting organisations are utilised where appropriate to assist in the identification of benchmarks relative to the organisation's needs and core business.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess stakeholder and environmental considerations

  1. Client entitlements such as right to privacy, confidentiality, freedom from reprisals, and freedom of information, are incorporated.
  2. Issues such as profile of clients, corporate history and culture and staffing profile are considered.
  3. Constraints of operating environment, such as staff shortages, geographical spread of staff and budgeting constraints, are taken into consideration.
  4. Client and community expectations are considered.
  5. Management perspectives are identified 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.
Client entitlements such as right to privacy, confidentiality, freedom from reprisals, and freedom of information, are incorporated.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Issues such as profile of clients, corporate history and culture and staffing profile are considered.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Constraints of operating environment, such as staff shortages, geographical spread of staff and budgeting constraints, are taken into consideration.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Client and community expectations are considered.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Management perspectives are identified 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.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop organisation's fraud/corruption control strategy

  1. Balance between compliance requirements and operational pressures is achieved.
  2. Strategies are identified to enable constant updating of the fraud/corruption control strategy to incorporate changing and newly identified risks.
  3. Key factors such as the organisational environment and core business are incorporated within the fraud/corruption control strategy.
  4. Internal and external strategies are recommended based on assessment of relevant factors.
  5. Internal and external quality assurance is incorporated into the strategy with responsibility for maintaining quality assurance allocated in accordance with organisational policy and procedures.
  6. Strategy is accepted by authorities within the organisation and meets the requirements of the relevant standards-setting organisations.
Balance between compliance requirements and operational pressures is achieved.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Strategies are identified to enable constant updating of the fraud/corruption control strategy to incorporate changing and newly identified risks.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Key factors such as the organisational environment and core business are incorporated within the fraud/corruption control strategy.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Internal and external strategies are recommended based on assessment of relevant factors.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Internal and external quality assurance is incorporated into the strategy with responsibility for maintaining quality assurance allocated in accordance with organisational policy and procedures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Strategy is accepted by authorities within the organisation and meets the requirements of the relevant standards-setting organisations.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement fraud/corruption control strategy

  1. Initiatives required to minimise fraud and corruption are developed in consultation with stakeholders.
  2. Timeframe for implementation of strategy is identified based upon an understanding of resource ramifications.
  3. Areas within the organisation responsible for actions to minimise fraud and corruption are identified.
  4. Procedures are developed for the reporting of information and the protection of persons who provide information under public interest disclosures, protected disclosures or whistleblowing legislation.
  5. Consultations with relevant personnel are undertaken to facilitate a shared understanding of responsibilities.
Initiatives required to minimise fraud and corruption are developed in consultation with stakeholders.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Timeframe for implementation of strategy is identified based upon an understanding of resource ramifications.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Procedures are developed for the reporting of information and the protection of persons who provide information under public interest disclosures, protected disclosures or whistleblowing legislation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consultations with relevant personnel are undertaken to facilitate a shared understanding of responsibilities.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse and review effectiveness of strategy

  1. Review is structured to incorporate key features of the strategy and is underpinned by the need for the strategy to be holistic and comprehensive.
  2. Regular reviews are undertaken to accommodate lessons learnt during application of the strategy.
  3. Feedback mechanisms are established.
  4. Reporting mechanisms are established to provide information to senior management about effectiveness of the strategy measured against objectives, and to provide advice regarding changes to management practices to enhance effectiveness of the strategy.
  5. Results of analysis and review are incorporated to improve fraud and corruption control.
Review is structured to incorporate key features of the strategy and is underpinned by the need for the strategy to be holistic and comprehensive.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Regular reviews are undertaken to accommodate lessons learnt during application of the strategy.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Feedback mechanisms are established.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Reporting mechanisms are established to provide information to senior management about effectiveness of the strategy measured against objectives, and to provide advice regarding changes to management practices to enhance effectiveness of the strategy.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Results of analysis and review are incorporated to improve fraud and corruption control.

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:

PSPETHC601B Maintain and enhance confidence in public service

PSPFRAU603B Manage fraud control awareness

PSPFRAU605B Review fraud control activities

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)

development of a fraud/corruption control strategy 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

legislation and procedures relating to public interest disclosures, protected disclosures or whistleblowing

public sector values and codes of conduct

case studies and workplace scenarios to capture the range of fraud/corruption control requirements 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 developing fraud/corruption control strategy, including coping with difficulties, irregularities and breakdowns in routine

development of a fraud/corruption control strategy 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

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:

undertaking analysis and strategic development

incorporating essential attributes of an effective fraud/corruption control policy into the strategy

consulting with senior management regarding the integration of the fraud/corruption control strategy with the broader corporate objectives

using a range of liaison and communication styles to suit different audiences and purposes

responding to diversity, including gender and disability

applying occupational health and safety and environmental procedures in the context of developing and implementing fraud/corruption information systems

Knowledge requirements

Look for evidence that confirms knowledge and understanding of:

the concepts of fraud/corruption risk management

risk management standards and techniques

agency corporate objectives and policy planning processes

the relationship between the fraud/corruption control strategy and the corporate goals and management practice of the agency

external reporting requirements

risk profile of the agency

control framework operating in the agency

jurisdictional fraud/corruption control requirements

legislation and procedures relating to public interest disclosures, protected disclosures or whistleblowing

public sector legislation, policies and procedures including anti-discrimination and diversity legislation, occupational health and safety, and environment

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.

Obligations may include:

promotion of effective delivery of service

management of public resources to protect against losses through fraud, corruption, waste, mismanagement and abuse

management of human resources to ensure employees' rights and responsibilities are upheld

promotion of ethical behaviour, and accountability

protection of persons who provide information under public interest disclosures, protected disclosures or whistleblowing legislation

risk management

evaluation

Needs identificationmay include:

consultation with:

staff

peers

clients

fraud/corruption prevention network

relevant standards-setting organisations

Requirements to be incorporatedmay include:

legislative and judicial requirements relevant to the jurisdiction

guidelines and legislative requirements from standards-setting organisations relevant to the jurisdiction

Attributes of a fraud/corruption control strategy:

may vary from agency to agency but should include:

integration into the broader policies and values of the agency

internal and external fraud and corruption reporting systems

external notification

investigation standards

fraud/corruption risk assessment

responsibility structures

employee and customer and community awareness

conduct and disciplinary standards

procedures for providing information under public interest disclosures, protected disclosures or whistleblowing legislation

protection of persons who provide information under public interest disclosures, protected disclosures or whistleblowing legislation

Quality assurance processesmay include:

internal review

external review

Stakeholders may include:

relevant government Ministers

agency staff and senior management

agency clients

community and lobby groups

contractors and consultants

suppliers

industry associations

other agencies with an interest in fraud/corruption control including standards-setting bodies

law enforcement agencies

prosecution agencies

internal/external audit

Effective channels for information dissemination on the strategymay include:

public documents

internal documents, for example fraud/corruption control plan

training and awareness sessions

contact with press networks

consultation with industry organisations, clients, community groups and watchdogs

electronic communication such as intranet, Internet and email