Business Process Controls

There is always a cost attached to make a system idiot proof. The manual discipline is as much a need as that of system based controls to ensure data quality. People typically don’t want to apply much thought process in filling up the forms and also entering them into the business systems. Therefore the data quality assurance is as much an exercise in aesthetics and ergonomics as that of controls.

Front-End Data Entry Processes for data quality assurance

• The data entry operators on the front-end should be trained on the data standards he has to follow.
• The performance-linked and productivity-linked bonuses should be designed to minimize the errors.
• Pre- and post data entry quality checklists should be maintained for critical data elements.
• Double data-entry routines. The same data is entered twice.

Data Entry Forms

• Data Entry forms to be designed to make them in line with the data standards. If telephone is 00-XXX-YYY-ZZZ-AAAA, then the Data entry forms should have the designed number of boxes and hyphen separators.
• Data entry forms should replicate typically the system data entry flow. Not possible always, especially for external sources. Application forms are designed for customer convenience than that for data entry operators.
• Compartmentalize the information- Always mark segregated areas for the information to enter. Wherever possible, make separator OR boxes for the characters.
• Insist on legibility – Insist on writing in capital letters, marking commas OR decimals in separate boxes.
• Provide the sample – Create the sample of a filled-up form.
• Make a completeness and quality check list section- For large forms OR the forms where addendums have to be given (from which further information needs to be picked-up), a checklist should be attached. The receiving operator OR the person filling the form should tick the checklist to doubly ensure the quality.

Maker-Checker business process Controls

This is a control, which is implemented both at the system level as well as at the manual level. For example- If you are changing product parameters, chances are that the data entry form will be filled-up by the set-up specialist, followed by checker signature on the data entry form before it is sent to the system set-up administrator. Another example- For disbursements, the disbursement executive could execute the individual disbursement instructions. As a checker, the disbursements manager could sign the DTF (disbursement transmittal form) to the bank OR the check printing system.

Robust business processes for manual intervention points

A typical process will be having a business object traversing through IT and manual world. An organization automates on the basis of a business case, and it is not possible and desirable to automate everything. Therefore, there is a need for having strong process infrastructure, which is a combination of training, measurements, incentives, standardization etc.

Central Control on Data Related Forms and Documents

One needs to maintain a central control on all forms (mainly data-entry forms), so that any change in the system can be aligned to the data-entry forms or vice-versa. By Data-Entry forms, we do not mean only those forms which are filled-up internally. They also include the paper documents which are used by external entities. For example a credit card application form will also be a data-entry form from system perspective.