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Evidence Guide: PSPFRU004 - Anticipate and detect possible fraud activity

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

 

PSPFRU004 - Anticipate and detect possible fraud activity

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

Hypothesise fraud and corruption situations

  1. Formulate hypotheses and specify guidelines for input into information system design.
  2. Collect data and information from a variety of sources and methods.
  3. Use hypothetical fraud and corruption situations to identify new potential risk areas.
Formulate hypotheses and specify guidelines for input into information system design.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Collect data and information from a variety of sources and methods.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use hypothetical fraud and corruption situations to identify new potential risk areas.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Initiate projects to test newly identified risk areas

  1. Initiate new projects and define parameters in accordance with fraud/corruption control plan.
  2. Justify significance and value of the project and ensure consistency with fraud/corruption control plan and strategy.
  3. Review previous and ongoing activities in the relevant areas for their contributions to the outcomes of the project.
  4. Design project activities utilising current knowledge, methods and techniques for the identification of risks.
Initiate new projects and define parameters in accordance with fraud/corruption control plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Justify significance and value of the project and ensure consistency with fraud/corruption control plan and strategy.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review previous and ongoing activities in the relevant areas for their contributions to the outcomes of the project.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Design project activities utilising current knowledge, methods and techniques for the identification of risks.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse trends in fraud and corruption activities and investigations

  1. Review project and investigation outcomes to identify emerging patterns of behaviour reflected in data.
  2. Draw conclusions from data and statistical information as well as qualitative sources including information gathered and reports from previous investigations.
  3. Identify risks and strengths as a result of a project’s analysis of trends inside and outside the organisation.
  4. Include discussion with colleagues and other experienced organisational staff as an additional source of information on trends.
  5. Use networks to provide useful contacts and information for investigation.
  6. Produce performance reports that identify trends in fraud and corruption activities and investigations.
Review project and investigation outcomes to identify emerging patterns of behaviour reflected in data.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Draw conclusions from data and statistical information as well as qualitative sources including information gathered and reports from previous investigations.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify risks and strengths as a result of a project’s analysis of trends inside and outside the organisation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Include discussion with colleagues and other experienced organisational staff as an additional source of information on trends.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use networks to provide useful contacts and information for investigation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Produce performance reports that identify trends in fraud and corruption activities and investigations.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Recommend course/s of action

  1. Consider relevant elements during evaluation, prior to recommending course of action.
  2. Identify investigation targets, and refer suggestions for future areas of investigation to management.
  3. Recommend changes to organisational controls and initiatives to target potential trouble spots.
  4. Check reliability of data.
  5. Make practical recommendations providing management with feasible options, balancing management issues and concerns against public interest and political concerns and operational demands against contributions to strategic plan.
Consider relevant elements during evaluation, prior to recommending course of action.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify investigation targets, and refer suggestions for future areas of investigation to management.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Recommend changes to organisational controls and initiatives to target potential trouble spots.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Check reliability of data.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Make practical recommendations providing management with feasible options, balancing management issues and concerns against public interest and political concerns and operational demands against contributions to strategic plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide information on recommended actions

  1. Provide reports containing suggestions for actions and sufficient supporting information for management to resource future projects.
  2. Provide advice regarding appropriate controls and initiatives required to address fraud and corruption.
  3. Prepare and give operational briefings and other presentations, as required.
  4. Take advantage of ad hoc opportunities to explain operational risks as they arise.
  5. Give information in terms that clearly explain the nature of possible risk, with possible solutions outlined.
Provide reports containing suggestions for actions and sufficient supporting information for management to resource future projects.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide advice regarding appropriate controls and initiatives required to address fraud and corruption.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare and give operational briefings and other presentations, as required.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Take advantage of ad hoc opportunities to explain operational risks as they arise.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Give information in terms that clearly explain the nature of possible risk, with possible solutions outlined.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Hypothesise fraud and corruption situations

  1. Formulate hypotheses and specify guidelines for input into information system design.
  2. Collect data and information from a variety of sources and methods.
  3. Use hypothetical fraud and corruption situations to identify new potential risk areas.
Formulate hypotheses and specify guidelines for input into information system design.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Collect data and information from a variety of sources and methods.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use hypothetical fraud and corruption situations to identify new potential risk areas.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Initiate projects to test newly identified risk areas

  1. Initiate new projects and define parameters in accordance with fraud/corruption control plan.
  2. Justify significance and value of the project and ensure consistency with fraud/corruption control plan and strategy.
  3. Review previous and ongoing activities in the relevant areas for their contributions to the outcomes of the project.
  4. Design project activities utilising current knowledge, methods and techniques for the identification of risks.
Initiate new projects and define parameters in accordance with fraud/corruption control plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Justify significance and value of the project and ensure consistency with fraud/corruption control plan and strategy.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review previous and ongoing activities in the relevant areas for their contributions to the outcomes of the project.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Design project activities utilising current knowledge, methods and techniques for the identification of risks.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse trends in fraud and corruption activities and investigations

  1. Review project and investigation outcomes to identify emerging patterns of behaviour reflected in data.
  2. Draw conclusions from data and statistical information as well as qualitative sources including information gathered and reports from previous investigations.
  3. Identify risks and strengths as a result of a project’s analysis of trends inside and outside the organisation.
  4. Include discussion with colleagues and other experienced organisational staff as an additional source of information on trends.
  5. Use networks to provide useful contacts and information for investigation.
  6. Produce performance reports that identify trends in fraud and corruption activities and investigations.
Review project and investigation outcomes to identify emerging patterns of behaviour reflected in data.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Draw conclusions from data and statistical information as well as qualitative sources including information gathered and reports from previous investigations.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify risks and strengths as a result of a project’s analysis of trends inside and outside the organisation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Include discussion with colleagues and other experienced organisational staff as an additional source of information on trends.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use networks to provide useful contacts and information for investigation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Produce performance reports that identify trends in fraud and corruption activities and investigations.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Recommend course/s of action

  1. Consider relevant elements during evaluation, prior to recommending course of action.
  2. Identify investigation targets, and refer suggestions for future areas of investigation to management.
  3. Recommend changes to organisational controls and initiatives to target potential trouble spots.
  4. Check reliability of data.
  5. Make practical recommendations providing management with feasible options, balancing management issues and concerns against public interest and political concerns and operational demands against contributions to strategic plan.
Consider relevant elements during evaluation, prior to recommending course of action.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify investigation targets, and refer suggestions for future areas of investigation to management.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Recommend changes to organisational controls and initiatives to target potential trouble spots.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Check reliability of data.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Make practical recommendations providing management with feasible options, balancing management issues and concerns against public interest and political concerns and operational demands against contributions to strategic plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide information on recommended actions

  1. Provide reports containing suggestions for actions and sufficient supporting information for management to resource future projects.
  2. Provide advice regarding appropriate controls and initiatives required to address fraud and corruption.
  3. Prepare and give operational briefings and other presentations, as required.
  4. Take advantage of ad hoc opportunities to explain operational risks as they arise.
  5. Give information in terms that clearly explain the nature of possible risk, with possible solutions outlined.
Provide reports containing suggestions for actions and sufficient supporting information for management to resource future projects.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide advice regarding appropriate controls and initiatives required to address fraud and corruption.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare and give operational briefings and other presentations, as required.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Take advantage of ad hoc opportunities to explain operational risks as they arise.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Give information in terms that clearly explain the nature of possible risk, with possible solutions outlined.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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. Hypothesise fraud and corruption situations

1.1 Formulate hypotheses and specify guidelines for input into information system design.

1.2 Collect data and information from a variety of sources and methods.

1.3 Use hypothetical fraud and corruption situations to identify new potential risk areas.

2. Initiate projects to test newly identified risk areas

2.1 Initiate new projects and define parameters in accordance with fraud/corruption control plan.

2.2 Justify significance and value of the project and ensure consistency with fraud/corruption control plan and strategy.

2.3 Review previous and ongoing activities in the relevant areas for their contributions to the outcomes of the project.

2.4 Design project activities utilising current knowledge, methods and techniques for the identification of risks.

3. Analyse trends in fraud and corruption activities and investigations

3.1 Review project and investigation outcomes to identify emerging patterns of behaviour reflected in data.

3.2 Draw conclusions from data and statistical information as well as qualitative sources including information gathered and reports from previous investigations.

3.3 Identify risks and strengths as a result of a project’s analysis of trends inside and outside the organisation.

3.4 Include discussion with colleagues and other experienced organisational staff as an additional source of information on trends.

3.5 Use networks to provide useful contacts and information for investigation.

3.6 Produce performance reports that identify trends in fraud and corruption activities and investigations.

4. Recommend course/s of action

4.1 Consider relevant elements during evaluation, prior to recommending course of action.

4.2 Identify investigation targets, and refer suggestions for future areas of investigation to management.

4.3 Recommend changes to organisational controls and initiatives to target potential trouble spots.

4.4 Check reliability of data.

4.5 Make practical recommendations providing management with feasible options, balancing management issues and concerns against public interest and political concerns and operational demands against contributions to strategic plan.

5. Provide information on recommended actions

5.1 Provide reports containing suggestions for actions and sufficient supporting information for management to resource future projects.

5.2 Provide advice regarding appropriate controls and initiatives required to address fraud and corruption.

5.3 Prepare and give operational briefings and other presentations, as required.

5.4 Take advantage of ad hoc opportunities to explain operational risks as they arise.

5.5 Give information in terms that clearly explain the nature of possible risk, with possible solutions outlined.

Required Skills and Knowledge

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. Hypothesise fraud and corruption situations

1.1 Formulate hypotheses and specify guidelines for input into information system design.

1.2 Collect data and information from a variety of sources and methods.

1.3 Use hypothetical fraud and corruption situations to identify new potential risk areas.

2. Initiate projects to test newly identified risk areas

2.1 Initiate new projects and define parameters in accordance with fraud/corruption control plan.

2.2 Justify significance and value of the project and ensure consistency with fraud/corruption control plan and strategy.

2.3 Review previous and ongoing activities in the relevant areas for their contributions to the outcomes of the project.

2.4 Design project activities utilising current knowledge, methods and techniques for the identification of risks.

3. Analyse trends in fraud and corruption activities and investigations

3.1 Review project and investigation outcomes to identify emerging patterns of behaviour reflected in data.

3.2 Draw conclusions from data and statistical information as well as qualitative sources including information gathered and reports from previous investigations.

3.3 Identify risks and strengths as a result of a project’s analysis of trends inside and outside the organisation.

3.4 Include discussion with colleagues and other experienced organisational staff as an additional source of information on trends.

3.5 Use networks to provide useful contacts and information for investigation.

3.6 Produce performance reports that identify trends in fraud and corruption activities and investigations.

4. Recommend course/s of action

4.1 Consider relevant elements during evaluation, prior to recommending course of action.

4.2 Identify investigation targets, and refer suggestions for future areas of investigation to management.

4.3 Recommend changes to organisational controls and initiatives to target potential trouble spots.

4.4 Check reliability of data.

4.5 Make practical recommendations providing management with feasible options, balancing management issues and concerns against public interest and political concerns and operational demands against contributions to strategic plan.

5. Provide information on recommended actions

5.1 Provide reports containing suggestions for actions and sufficient supporting information for management to resource future projects.

5.2 Provide advice regarding appropriate controls and initiatives required to address fraud and corruption.

5.3 Prepare and give operational briefings and other presentations, as required.

5.4 Take advantage of ad hoc opportunities to explain operational risks as they arise.

5.5 Give information in terms that clearly explain the nature of possible risk, with possible solutions outlined.

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.

analysing trends in fraud and corruption activities and investigations

hypothesising fraud and corruption situations

using communication and negotiation styles to suit different audiences and purposes

undertaking the timely detection of fraud and corruption and the identification of fraud and corruption trends

using staff and other personnel effectively in the investigation of trends

explaining complex concepts and recommendations relating to risk control

collecting data and information from a variety of sources and methods, including fraud/corruption records, audit records, fraud/corruption risk assessment, past investigations and other organisations

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.

agency structure and core business activities

legislation, policies and procedures relating to anticipation and detection of fraud and corruption activities, including privacy and confidentiality requirements

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

fraud and corruption and how they relate to the specific functions and activities of the organisation, together with an understanding of ethical standards required by the organisation of its staff, contractors and suppliers