Take a mobile game approach to process compliance

If you have ever downloaded a mobile game on your phone, you will know that it is almost impossible to get things wrong at the outset. Whether you are conquering kingdoms or harvesting crops, there is always a clear, helpful and carefully guided tutorial that walks you through every step of the process, helping you make all the right decisions.

While the stakes there may be low, it is worth noting just how easy it is to learn the ropes and stay on track — something to consider when looking at process onboarding and compliance.

Set up automated process guidelines

The tutorial approach to software is not new and is used to greater or lesser effect in various tools and platforms. Now the same can be achieved through the use of process automation tools, which can replicate that experience at a process level.

By setting up automation to guide process users, you can significantly improve their onboarding experience and ensure they understand the required steps at each point.

While that is a great approach for introducing users to new processes, there is no reason the same cannot be done for ongoing compliance in process execution, too.

Some processes can be automated outright, removing the human element and reducing the potential for errors in data handling. Teams have the benefit of RPA bots and workflow automations that can accelerate process execution and accuracy significantly.

Use automation for the review of processes

Not every process is a good candidate for automation and in some cases there is an undisputed need for human input. Even so, those inputs should be governed by business rules since the potential harm from errors or non-compliance with established requirements is real.

It is in these cases that process automation tools can be used to provide checks and balances across process execution. By establishing business rules around the expected parameters for any input or field, users have a backstop that will check their work in real time.

If the data input does not fit within the expected framework, the process can be stopped and the error flagged. Whether an exception needs to be made or the user needs to revise the data will have to be addressed on a case-by-case basis. The important element is that the question is asked and the process paused until it can be addressed.

This approach creates a compliance safety-net, allowing businesses to rely on the automated rulesets to oversee manual data handling while ensuring staff have the freedom to apply their own judgment to those elements. It ensures exceptions are identified and addressed immediately and proper oversight given to any variations from the established rules.

There are three key steps to setting up a compliance safety net:

Identify potential processes

• Consider the processes with the highest compliance requirements and explore where automation can make a difference. In some instances, RPA and workflow automation will be effective on their own. Where those tools cannot be relied upon, consider how clearly the expectations around the manual elements can be defined.

Establish the rules

• Where there are identifiable action points for human agents, identify what business rules should govern the decision making. What are the key compliance requirements? What are the ranges of acceptable inputs or decision making? Set those boundaries as the safeguards for those teams executing the process.

Account for exceptions

• The idea behind business rules is that there are not exceptions, but where you rely on human decision making, they will always occur. There needs to be a sound process for addressing those events, should they come up. Who are the immediate stakeholders? Who has authority to allow exceptions, if anyone? What are the implications of overriding the boundaries set in that instance? Those questions need to be asked before the situation arises in order to quickly and effectively return the process to its tracks.

It is very hard to get it wrong when you begin playing a game on your phone, and so it should be. The idea is to help you relax and enjoy the experience. While process management is not quite so leisurely, there is no reason why you cannot borrow some of those approaches to take a little stress out of process onboarding and compliance.