NTISthis.com

Evidence Guide: PSPFRU006 - 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

 

PSPFRU006 - Develop fraud control plans

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

Identify areas for action

  1. Establish processes to identify fraud and corruption risks and vulnerability.
  2. Identify areas for action through the fraud/corruption risk assessment process or some other process for identifying fraud and corruption vulnerability.
  3. Develop initiatives in consultation with appropriate staff to control identified vulnerabilities.
  4. Identify areas within the organisation responsible for fraud and corruption minimisation actions.
  5. Undertake consultation with stakeholders to develop a shared understanding of responsibilities.
  6. Specify timeframe for implementation of actions based upon an understanding of the nature of risk and resource ramifications.
Establish processes to identify fraud and corruption risks and vulnerability.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify areas for action through the fraud/corruption risk assessment process or some other process for identifying fraud and corruption vulnerability.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop initiatives in consultation with appropriate staff to control identified vulnerabilities.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify areas within the organisation responsible for fraud and corruption minimisation actions.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Undertake consultation with stakeholders to develop a shared understanding of responsibilities.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Specify timeframe for implementation of actions based upon an understanding of the nature of risk and resource ramifications.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Gain commitment to fraud/corruption control plan

  1. Initiate professional development awareness and information programs in consultation with responsible staff.
  2. Tailor fraud/corruption prevention initiatives to the organisational culture, core business and client groups.
Initiate professional development awareness and information programs in consultation with responsible staff.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Tailor fraud/corruption prevention initiatives to the organisational culture, core business and client groups.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify qualitative and quantitative performance indicators

  1. Seek advice from internal and external specialist personnel.
  2. Involve stakeholders in the development of performance indicators.
  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.
  4. Establish feedback mechanisms to ensure that performance data informs improvements to fraud/corruption control strategies and activities.
Seek advice from internal and external specialist personnel.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Involve stakeholders in the development of performance indicators.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish feedback mechanisms to ensure that performance data informs improvements to fraud/corruption control strategies and activities.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document fraud/corruption control plan

  1. Document the control plan using concise language and structure tailored to the intended audience.
  2. Define the responsibilities for fraud and corruption control of each area in the organisation in the plan.
  3. Use the risks targeted by the risk assessment process to identify areas for action.
  4. Describe a comprehensive fraud/corruption control strategy for the organisation in the plan.
  5. Link the plan to internal audit to reduce overlap or duplication.
  6. Address the requirements of any jurisdictional fraud and corruption control legislation and guidelines.
Document the control plan using concise language and structure tailored to the intended audience.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Define the responsibilities for fraud and corruption control of each area in the organisation in the plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use the risks targeted by the risk assessment process to identify areas for action.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Describe a comprehensive fraud/corruption control strategy for the organisation in the plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Link the plan to internal audit to reduce overlap or duplication.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Address the requirements of any jurisdictional fraud and corruption control legislation and guidelines.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Disseminate fraud/corruption control plan

  1. Make nonconfidential components of the fraud/corruption control plan accessible to staff, the Minister and clients of the organisation.
  2. Document and store confidential components.
  3. Review the plan in accordance with organisational and jurisdictional needs and requirements.
Make nonconfidential components of the fraud/corruption control plan accessible to staff, the Minister and clients of the organisation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document and store confidential components.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify areas for action

  1. Establish processes to identify fraud and corruption risks and vulnerability.
  2. Identify areas for action through the fraud/corruption risk assessment process or some other process for identifying fraud and corruption vulnerability.
  3. Develop initiatives in consultation with appropriate staff to control identified vulnerabilities.
  4. Identify areas within the organisation responsible for fraud and corruption minimisation actions.
  5. Undertake consultation with stakeholders to develop a shared understanding of responsibilities.
  6. Specify timeframe for implementation of actions based upon an understanding of the nature of risk and resource ramifications.
Establish processes to identify fraud and corruption risks and vulnerability.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify areas for action through the fraud/corruption risk assessment process or some other process for identifying fraud and corruption vulnerability.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop initiatives in consultation with appropriate staff to control identified vulnerabilities.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify areas within the organisation responsible for fraud and corruption minimisation actions.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Undertake consultation with stakeholders to develop a shared understanding of responsibilities.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Specify timeframe for implementation of actions based upon an understanding of the nature of risk and resource ramifications.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Gain commitment to fraud/corruption control plan

  1. Initiate professional development awareness and information programs in consultation with responsible staff.
  2. Tailor fraud/corruption prevention initiatives to the organisational culture, core business and client groups.
Initiate professional development awareness and information programs in consultation with responsible staff.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Tailor fraud/corruption prevention initiatives to the organisational culture, core business and client groups.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify qualitative and quantitative performance indicators

  1. Seek advice from internal and external specialist personnel.
  2. Involve stakeholders in the development of performance indicators.
  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.
  4. Establish feedback mechanisms to ensure that performance data informs improvements to fraud/corruption control strategies and activities.
Seek advice from internal and external specialist personnel.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Involve stakeholders in the development of performance indicators.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish feedback mechanisms to ensure that performance data informs improvements to fraud/corruption control strategies and activities.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document fraud/corruption control plan

  1. Document the control plan using concise language and structure tailored to the intended audience.
  2. Define the responsibilities for fraud and corruption control of each area in the organisation in the plan.
  3. Use the risks targeted by the risk assessment process to identify areas for action.
  4. Describe a comprehensive fraud/corruption control strategy for the organisation in the plan.
  5. Link the plan to internal audit to reduce overlap or duplication.
  6. Address the requirements of any jurisdictional fraud and corruption control legislation and guidelines.
Document the control plan using concise language and structure tailored to the intended audience.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Define the responsibilities for fraud and corruption control of each area in the organisation in the plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use the risks targeted by the risk assessment process to identify areas for action.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Describe a comprehensive fraud/corruption control strategy for the organisation in the plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Link the plan to internal audit to reduce overlap or duplication.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Address the requirements of any jurisdictional fraud and corruption control legislation and guidelines.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Disseminate fraud/corruption control plan

  1. Make nonconfidential components of the fraud/corruption control plan accessible to staff, the Minister and clients of the organisation.
  2. Document and store confidential components.
  3. Review the plan in accordance with organisational and jurisdictional needs and requirements.
Make nonconfidential components of the fraud/corruption control plan accessible to staff, the Minister and clients of the organisation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document and store confidential components.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

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. 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 nonconfidential components of the fraud/corruption control plan accessible to staff, the Minister and clients of the organisation.

5.2 Document and store confidential components.

5.3 Review the plan in accordance with organisational and jurisdictional needs and requirements.

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. 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 nonconfidential components of the fraud/corruption control plan accessible to staff, the Minister and clients of the organisation.

5.2 Document and store confidential components.

5.3 Review the plan in accordance with organisational and jurisdictional needs and requirements.

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 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

antidiscrimination and diversity legislation

legislation, policies and procedures relating to fraud and corruption control