Specific and consistent processes

Summary

Make sure requests or claims use a specific form, process or system for consistency.

Why this countermeasure matters

Not using a specific form, process or system to manage requests or claims can lead to:

• disorganised practices
• inconsistent decision-making
• less transparency and ability to track decisions and past processes
• weaknesses in other countermeasures
• fraudsters deliberately using confusion and deception to exploit dysfunctional processes.

How you might apply this countermeasure

Some ways to implement this countermeasure include requiring:

• all program claims to be made using a specific form
• all overtime claims to be processed through the HR system
• all updates to provider bank accounts to be processed using the provider portal
• all assets to be requested through a specific process or form
• a plagiarism check to be completed using a specified process and/or tool
• an integrity review to be completed for all research reports before publishing, using a specific process and system.

How to check if your countermeasures are effective

Here are some ways to measure the effectiveness of this type of countermeasure:

• analyse completed requests and claims to confirm the specific form, process or system was used on all occasions.
• review forms and processes to see if they conform to national guidelines and frameworks.
• review a sample of completed requests and claims to confirm the specific form, process or system was used on all occasions.
• undertake testing or a process walk-through to confirm that processes cannot be worked around.
• review procedures or guidance to confirm they clearly specify the form, process or system to be used.
• confirm forms, processes or systems are always available.
• ask staff about the forms, processes or systems to make sure they have a consistent understanding.
• confirm that someone cannot get past the requirement to use a specific form, process or system even when subject to pressure or coercion.