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Improving process efficiency through game-based assessment

Sundaraparipurnan Narayanan (snarayanan@skpgroup.com) is Director of Forensic Services for SKP Group in Mumbai, India.

The efforts of in-house investigation teams are integral to upholding an organization’s ethics and compliance (E&C). These teams must navigate through a maze of evidence to uncover violations and take appropriate disciplinary action. Larger E&C teams with hundreds of cases a year need to focus on efficiency, besides the pivotal responsibility of objectivity and independence in conducting investigations. With more cases, evolving case trends, and increased expectations of senior management and boards of directors, investigation processes need to be efficient.

E&C teams need to interface with multiple personnel and functions during an investigation. Lead time and efforts around such interactions are often cited as key hot spots for inefficiency. However, an E&C team may have inefficiencies associated with other factors also. Start to explore the potential for efficiencies in case handling by asking the following fundamental questions:

  1. Is there optimum efficiency at work?

  2. Are there efficiency gaps in small actions/activities undertaken by the team?

  3. Are there gaps associated with the use of technology?

Inefficiencies in case handling affect more than just the lead time for case closures. It affects the trust of the reporter in the system, the perception about the E&C function, as well as the feasibility of gathering tangible evidence.

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