Compliance, process adherence and checklists

November 23, 2016 | Operational Excellence

process adherence

Process adherence ensures compliance, and is defined as the act or process of complying with a demand, desire, proposal or regimen which, invariably in our case, means some regulation or managerial direction created or implied by regulatory bodies or managerial best practices.

But how do we ensure that we are complying and that we are:

  • Able to prove we that we comply?
  • Acting on non-compliance?
  • Getting any business benefit from complying?

One way to comply is to have robust, dynamic and reportable compliance processes, which are often standalone from the actual processing/doing work and are:

  • Scheduled either periodically or continually
  • Can be used to show that compliance is taking place as cases or time-based events are causing the creation, execution and tracking of work

When taking this approach, OPX can be the system tracking those processes and providing more helpful information, such as:

  • How long does it take to carry out the compliance checks?
  • Who is doing it?
  • What sort of FTE cost is involved?
  • What sort of non-compliance processes, activities or cases were dealt with?

Sometimes, but not always, the non-compliance can also be used as a measure of failure demand.

Another approach to handling compliance is to embed the compliance function into the application.  In a modern, rules-based system this may be easy to do, but far too many systems in use today are not rules-based and so the cost of re-engineering the systems is high, if you choose to go down this route.

However, you can get the best of OPX with all scenarios.

OPX allows you to create Checklists and Surveys and decide when these Checklists and Surveys are presented to the user.  They can be presented before an activity starts, after an activity is completed or, can be presented based on the skill level of the user doing the activity.  These checklists are events rather than just a step in a process so they can be added without changing the processes and switched on and off in seconds.

Checklists, like surveys can be created by the business super users and then associated with the activities of interest.  They can have a variety of options including radio buttons for selecting one from a set of possible selections, grids for one from many, many from many and plain old data entry into text boxes.

Once defined, the results of the Checklist or Survey can be reported on using the provided report models which also allow for the export of the data to Excel if needed.

Checklists are a great way to ensure you are complying with ever changing regulation relating to the processes and ensuring the cost of this is kept low.

Why not have an OPX demo to find out how the process adherence could be improved within your business?

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