Mandatory information

This control targets external fraud risks.

Examples

Examples of this control include:

mandatory fields to be completed for online claim forms
applicants providing income and asset statements with their claim
vendors providing business details, e.g. their New Zealand Business Number
service providers, grant recipients or vendors to provide business details, e.g. their New Zealand Business Number, business address, email address, phone number, authorised contact and associates
requiring supporting evidence to be submitted with claims.

Not collecting mandatory information to support claims or requests can lead to:

manual follow-up and processing increasing the opportunities for omissions and errors
fraudsters deliberately making false claims by omitting relevant information
fraudsters receiving payments or services they are not entitled to
fraudsters concealing information that would affect their entitlement to funding or services.

Methods to evaluate the effectiveness of this control include:

confirming the existence of reference and guidance material that clearly outlines what information is required
confirming mandatory information is consistently obtained
reviewing a sample of completed requests or transactions to confirm all mandatory information was provided
asking employees about the mandatory requirements to make sure they have a consistent and correct understanding
undertaking fraud control testing or a process walkthrough to confirm that mandatory information must be provided, even when pressure or coercion is applied
identifying how mandatory requirements are communicated to employees, clients and third parties
reviewing the training employees receive to make sure it includes information about collecting and using mandatory information
reviewing approvals processes and make sure mandatory information is checked.

Other capability, prevention, detection and response controls that can enhance this control’s effectiveness:

Types of behaviour this control is designed to mitigate:

Explore a range of controls that can be put in place to reduce the risk of fraud happening in your organisation.