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Evidence Guide: PSPFRU007 - Implement fraud control activities

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

 

PSPFRU007 - Implement fraud control activities

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

Assess options and select actions

  1. Assess existing systems and procedures for compliance with fraud/corruption control plan and strategy, and broader organisational objectives.
  2. Determine possible courses of action based on an assessment of relevant resources and personnel available and integration with organisational activities.
  3. Obtain agreement of relevant staff and management on key features of the fraud/corruption control activities within their area of responsibility.
  4. Assess resource implications and efficiency and effectiveness of options.
  5. Specify desired outcomes in consultation with stakeholders.
  6. Recommend preferred options to senior management and seek agreement by those responsible for implementation.
Assess existing systems and procedures for compliance with fraud/corruption control plan and strategy, and broader organisational objectives.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine possible courses of action based on an assessment of relevant resources and personnel available and integration with organisational activities.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Obtain agreement of relevant staff and management on key features of the fraud/corruption control activities within their area of responsibility.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess resource implications and efficiency and effectiveness of options.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Specify desired outcomes in consultation with stakeholders.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Recommend preferred options to senior management and seek agreement by those responsible for implementation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Set down procedures and expectations for staff

  1. Specify key tasks and deadlines and prepare a project timeline when appropriate.
  2. Develop ethical standards and guidelines in consultation with stakeholders.
  3. Develop procedures outlining the obligations and protections relating to public interest disclosures, protected disclosures or whistleblowing legislation.
  4. Document, test and disseminate procedures through most effective channels.
  5. Include opportunities for identifying possible new risks and threats in the procedures.
  6. Update procedures on the basis of regular reviews and evaluation.
Specify key tasks and deadlines and prepare a project timeline when appropriate.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop ethical standards and guidelines in consultation with stakeholders.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop procedures outlining the obligations and protections relating to public interest disclosures, protected disclosures or whistleblowing legislation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document, test and disseminate procedures through most effective channels.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Include opportunities for identifying possible new risks and threats in the procedures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Update procedures on the basis of regular reviews and evaluation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement performance evaluation and monitoring systems

  1. Identify mechanisms to monitor implementation through consultation with appropriate people.
  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. Assess quality of work, extent of progress, resource usage and other critical features and recommend variations or adjustments to the fraud/corruption control plan.
  4. Inform authorities of progress of implementation and problems as they arise.
  5. Use regular reporting activities to provide advice regarding impact of procedures on effectiveness of fraud/corruption control strategy.
Identify mechanisms to monitor implementation through consultation with appropriate people.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Obtain agreement between those involved of relevant information and methods of comparing progress of implementation procedures to objectives of fraud/corruption control plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess quality of work, extent of progress, resource usage and other critical features and recommend variations or adjustments to the fraud/corruption control plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Inform authorities of progress of implementation and problems as they arise.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use regular reporting activities to provide advice regarding impact of procedures on effectiveness of fraud/corruption control strategy.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess options and select actions

  1. Assess existing systems and procedures for compliance with fraud/corruption control plan and strategy, and broader organisational objectives.
  2. Determine possible courses of action based on an assessment of relevant resources and personnel available and integration with organisational activities.
  3. Obtain agreement of relevant staff and management on key features of the fraud/corruption control activities within their area of responsibility.
  4. Assess resource implications and efficiency and effectiveness of options.
  5. Specify desired outcomes in consultation with stakeholders.
  6. Recommend preferred options to senior management and seek agreement by those responsible for implementation.
Assess existing systems and procedures for compliance with fraud/corruption control plan and strategy, and broader organisational objectives.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine possible courses of action based on an assessment of relevant resources and personnel available and integration with organisational activities.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Obtain agreement of relevant staff and management on key features of the fraud/corruption control activities within their area of responsibility.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess resource implications and efficiency and effectiveness of options.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Specify desired outcomes in consultation with stakeholders.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Recommend preferred options to senior management and seek agreement by those responsible for implementation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Set down procedures and expectations for staff

  1. Specify key tasks and deadlines and prepare a project timeline when appropriate.
  2. Develop ethical standards and guidelines in consultation with stakeholders.
  3. Develop procedures outlining the obligations and protections relating to public interest disclosures, protected disclosures or whistleblowing legislation.
  4. Document, test and disseminate procedures through most effective channels.
  5. Include opportunities for identifying possible new risks and threats in the procedures.
  6. Update procedures on the basis of regular reviews and evaluation.
Specify key tasks and deadlines and prepare a project timeline when appropriate.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop ethical standards and guidelines in consultation with stakeholders.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop procedures outlining the obligations and protections relating to public interest disclosures, protected disclosures or whistleblowing legislation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document, test and disseminate procedures through most effective channels.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Include opportunities for identifying possible new risks and threats in the procedures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Update procedures on the basis of regular reviews and evaluation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement performance evaluation and monitoring systems

  1. Identify mechanisms to monitor implementation through consultation with appropriate people.
  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. Assess quality of work, extent of progress, resource usage and other critical features and recommend variations or adjustments to the fraud/corruption control plan.
  4. Inform authorities of progress of implementation and problems as they arise.
  5. Use regular reporting activities to provide advice regarding impact of procedures on effectiveness of fraud/corruption control strategy.
Identify mechanisms to monitor implementation through consultation with appropriate people.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Obtain agreement between those involved of relevant information and methods of comparing progress of implementation procedures to objectives of fraud/corruption control plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess quality of work, extent of progress, resource usage and other critical features and recommend variations or adjustments to the fraud/corruption control plan.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Inform authorities of progress of implementation and problems as they arise.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use regular reporting activities to provide advice regarding impact of procedures on effectiveness of fraud/corruption control strategy.

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. 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.

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. 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 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 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