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Evidence Guide: PSPFRU012 - Review 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

 

PSPFRU012 - Review fraud control activities

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

Prepare for review of fraud/corruption control activities

  1. Identify current fraud/corruption prevention activities, taking into account the objectives of the organisation’s fraud/corruption control strategy, plan and procedures.
  2. Establish timetable for evaluation and review.
  3. Gather information from relevant areas across the organisation.
  4. Include perspectives of staff and management, clients and reporting organisations in the assessment.
Identify current fraud/corruption prevention activities, taking into account the objectives of the organisation’s fraud/corruption control strategy, plan and procedures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish timetable for evaluation and review.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Gather information from relevant areas across the organisation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Include perspectives of staff and management, clients and reporting organisations in the assessment.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess the ability of control activities to minimise fraud and corruption

  1. Assess implementation of the organisation’s fraud/corruption control plan and activities in terms of progress in areas relevant to the organisation.
  2. Conduct assessment taking into account core business and broader management activities of the organisation and utilising knowledge of best practice initiatives in fraud/corruption prevention.
  3. Assess effectiveness of performance indicators in collecting fraud/corruption control information.
  4. Assess efficacy of mechanisms to assist staff to minimise fraud/corruption.
  5. Assess efficacy of fraud/corruption control awareness-raising activities against their objectives.
Assess implementation of the organisation’s fraud/corruption control plan and activities in terms of progress in areas relevant to the organisation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct assessment taking into account core business and broader management activities of the organisation and utilising knowledge of best practice initiatives in fraud/corruption prevention.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess effectiveness of performance indicators in collecting fraud/corruption control information.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess efficacy of mechanisms to assist staff to minimise fraud/corruption.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess efficacy of fraud/corruption control awareness-raising activities against their objectives.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide advice and recommend action to improve effectiveness of fraud/corruption controls

  1. Provide advice based on significant knowledge of the organisation’s culture, structures, programs and services, and constraints under which the organisation is operating.
  2. Recommend options for action, based on consultation with stakeholders, and balance strict compliance with operational and political pressures.
  3. Revise, as a result of consultation with stakeholders, fraud/corruption control objectives that are found to be unrealistic, and provide advice regarding amendment to the fraud/corruption control strategy and procedures.
  4. Report on the effectiveness of fraud/corruption control activities in the organisation.
Provide advice based on significant knowledge of the organisation’s culture, structures, programs and services, and constraints under which the organisation is operating.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Recommend options for action, based on consultation with stakeholders, and balance strict compliance with operational and political pressures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Revise, as a result of consultation with stakeholders, fraud/corruption control objectives that are found to be unrealistic, and provide advice regarding amendment to the fraud/corruption control strategy and procedures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report on the effectiveness of fraud/corruption control activities in the organisation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare for review of fraud/corruption control activities

  1. Identify current fraud/corruption prevention activities, taking into account the objectives of the organisation’s fraud/corruption control strategy, plan and procedures.
  2. Establish timetable for evaluation and review.
  3. Gather information from relevant areas across the organisation.
  4. Include perspectives of staff and management, clients and reporting organisations in the assessment.
Identify current fraud/corruption prevention activities, taking into account the objectives of the organisation’s fraud/corruption control strategy, plan and procedures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish timetable for evaluation and review.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Gather information from relevant areas across the organisation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Include perspectives of staff and management, clients and reporting organisations in the assessment.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess the ability of control activities to minimise fraud and corruption

  1. Assess implementation of the organisation’s fraud/corruption control plan and activities in terms of progress in areas relevant to the organisation.
  2. Conduct assessment taking into account core business and broader management activities of the organisation and utilising knowledge of best practice initiatives in fraud/corruption prevention.
  3. Assess effectiveness of performance indicators in collecting fraud/corruption control information.
  4. Assess efficacy of mechanisms to assist staff to minimise fraud/corruption.
  5. Assess efficacy of fraud/corruption control awareness-raising activities against their objectives.
Assess implementation of the organisation’s fraud/corruption control plan and activities in terms of progress in areas relevant to the organisation.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct assessment taking into account core business and broader management activities of the organisation and utilising knowledge of best practice initiatives in fraud/corruption prevention.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess effectiveness of performance indicators in collecting fraud/corruption control information.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess efficacy of mechanisms to assist staff to minimise fraud/corruption.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess efficacy of fraud/corruption control awareness-raising activities against their objectives.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide advice and recommend action to improve effectiveness of fraud/corruption controls

  1. Provide advice based on significant knowledge of the organisation’s culture, structures, programs and services, and constraints under which the organisation is operating.
  2. Recommend options for action, based on consultation with stakeholders, and balance strict compliance with operational and political pressures.
  3. Revise, as a result of consultation with stakeholders, fraud/corruption control objectives that are found to be unrealistic, and provide advice regarding amendment to the fraud/corruption control strategy and procedures.
  4. Report on the effectiveness of fraud/corruption control activities in the organisation.
Provide advice based on significant knowledge of the organisation’s culture, structures, programs and services, and constraints under which the organisation is operating.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Recommend options for action, based on consultation with stakeholders, and balance strict compliance with operational and political pressures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Revise, as a result of consultation with stakeholders, fraud/corruption control objectives that are found to be unrealistic, and provide advice regarding amendment to the fraud/corruption control strategy and procedures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report on the effectiveness of fraud/corruption control activities in the organisation.

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. Prepare for review of fraud/corruption control activities

1.1 Identify current fraud/corruption prevention activities, taking into account the objectives of the organisation’s fraud/corruption control strategy, plan and procedures.

1.2 Establish timetable for evaluation and review.

1.3 Gather information from relevant areas across the organisation.

1.4 Include perspectives of staff and management, clients and reporting organisations in the assessment.

2. Assess the ability of control activities to minimise fraud and corruption

2.1 Assess implementation of the organisation’s fraud/corruption control plan and activities in terms of progress in areas relevant to the organisation.

2.2 Conduct assessment taking into account core business and broader management activities of the organisation and utilising knowledge of best practice initiatives in fraud/corruption prevention.

2.3 Assess effectiveness of performance indicators in collecting fraud/corruption control information.

2.4 Assess efficacy of mechanisms to assist staff to minimise fraud/corruption.

2.5 Assess efficacy of fraud/corruption control awareness-raising activities against their objectives.

3. Provide advice and recommend action to improve effectiveness of fraud/corruption controls

3.1 Provide advice based on significant knowledge of the organisation’s culture, structures, programs and services, and constraints under which the organisation is operating.

3.2 Recommend options for action, based on consultation with stakeholders, and balance strict compliance with operational and political pressures.

3.3 Revise, as a result of consultation with stakeholders, fraud/corruption control objectives that are found to be unrealistic, and provide advice regarding amendment to the fraud/corruption control strategy and procedures.

3.4 Report on the effectiveness of fraud/corruption control activities in the organisation.

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. Prepare for review of fraud/corruption control activities

1.1 Identify current fraud/corruption prevention activities, taking into account the objectives of the organisation’s fraud/corruption control strategy, plan and procedures.

1.2 Establish timetable for evaluation and review.

1.3 Gather information from relevant areas across the organisation.

1.4 Include perspectives of staff and management, clients and reporting organisations in the assessment.

2. Assess the ability of control activities to minimise fraud and corruption

2.1 Assess implementation of the organisation’s fraud/corruption control plan and activities in terms of progress in areas relevant to the organisation.

2.2 Conduct assessment taking into account core business and broader management activities of the organisation and utilising knowledge of best practice initiatives in fraud/corruption prevention.

2.3 Assess effectiveness of performance indicators in collecting fraud/corruption control information.

2.4 Assess efficacy of mechanisms to assist staff to minimise fraud/corruption.

2.5 Assess efficacy of fraud/corruption control awareness-raising activities against their objectives.

3. Provide advice and recommend action to improve effectiveness of fraud/corruption controls

3.1 Provide advice based on significant knowledge of the organisation’s culture, structures, programs and services, and constraints under which the organisation is operating.

3.2 Recommend options for action, based on consultation with stakeholders, and balance strict compliance with operational and political pressures.

3.3 Revise, as a result of consultation with stakeholders, fraud/corruption control objectives that are found to be unrealistic, and provide advice regarding amendment to the fraud/corruption control strategy and procedures.

3.4 Report on the effectiveness of fraud/corruption control activities in the organisation.

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.

reviewing fraud/corruption control processes and assessing key functions of overall strategy

writing reports requiring formal structure and language and precision of expression

providing advice and recommendations tailored to the needs of stakeholders

using communication and presentation styles to suit different audiences and purposes

preparing reports tailored to various audiences regarding the effectiveness of fraud/corruption control activities in the organisation

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 structures, programs and services

agency fraud/corruption control strategy

legislative framework under which the organisation operates

external reporting requirements

law enforcement needs

best practice initiatives in fraud/corruption control

the role of fraud/corruption control in the broader agency corporate planning environment

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