How can you ensure auditability in RPA processes?

Robotic process automation (RPA) can help you automate repetitive and rule-based tasks, saving time and resources. However, RPA also requires proper governance and control to ensure compliance, quality, and security. One of the key aspects of RPA governance is auditability, which means the ability to track and verify the actions and outcomes of the automated processes. Auditability can help you identify errors, monitor performance, enforce standards, and demonstrate accountability. In this article, you will learn how to ensure auditability in RPA processes by following some best practices and using some advanced features.

1 Document your processes

The first step to ensure auditability is to document your processes clearly and consistently. Documentation can help you define the scope, purpose, logic, and expected results of each process, as well as the roles and responsibilities of the stakeholders involved. Documentation can also help you communicate and align your processes with the business objectives, policies, and regulations. You can use various tools and methods to document your processes, such as flowcharts, diagrams, templates, checklists, and annotations.

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Leonardo Queiroz

⁯⁯⁯⁯⁯⁯Desenvolvedor RPA | Top Process Automation Voice | Microsoft MCT Low Code | UiPath | Automation Anywhere | Power Platform | Blue Prism |
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It is important to carry out documentation during the project, PDDs SDDs and other documentation. Detailed documentation of automated processes seeks to generate security and transparency about how the robot should behave, this allows responsible auditors to be able to validate information clearly and accurately, seeking optimize the compliance assessment and assurance process.

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Martin Cavas

HPT Team Lead at Sopra Steria
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It is important to document all the resources that are used as input and what to expect as output. There are templates which you can use such as a Proces Design Document, broadly known as PDD. Next to that make sure proper and proven RPA development standards are in place. During promotion of your project make sure that the changes are being stored in a binary repository or code repository for version control. Maintain a change log for documentation, recording modifications, authors, and reasons for changes. Do this in your online collaboration tool so its accessible and transparant for everyone. Lastly you should establish a review and approval process for documentation changes to enhance accountability.

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2 Implement logging and reporting

The second step to ensure auditability is to implement logging and reporting mechanisms for your processes. Logging means recording the events, actions, and data that occur during the execution of the processes, such as inputs, outputs, errors, exceptions, and timestamps. Reporting means generating and presenting the information derived from the logs, such as metrics, indicators, dashboards, and alerts. Logging and reporting can help you track and measure the performance, quality, and compliance of your processes, as well as identify and resolve issues. You can use various tools and features to implement logging and reporting, such as log files, databases, audit trails, and analytics platforms.

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Aman Jain

Project Manager at Ericsson | Operational Excellence & Strategy | Simplification & Automation | Data Analytics | Enterprise PMO | Change Management
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Version Control: Keep a version control system in place for all RPA scripts and workflows to ensure that changes are documented, and previous versions are available for reference.

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Martin Cavas

HPT Team Lead at Sopra Steria
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Logging and reporting is not only important to maintain transparancy for third parties that want to do audits now and then. But it is also important for when production incidents arise and to check generic robot health. Make sure to not log any GDPR sensitive information as this will result in Findings and red flags.

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3 Use exception handling and recovery

The third step to ensure auditability is to use exception handling and recovery mechanisms for your processes. Exception handling means defining and applying the rules and actions that should be taken when an unexpected or undesired event occurs during the execution of the processes, such as errors, failures, or interruptions. Recovery means restoring the normal state and operation of the processes after an exception occurs, such as retrying, resuming, or restarting. Exception handling and recovery can help you prevent and mitigate the impact of errors, ensure the continuity and reliability of your processes, and avoid data loss or corruption. You can use various tools and features to use exception handling and recovery, such as try-catch blocks, error codes, notifications, and checkpoints.

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Martin Cavas

HPT Team Lead at Sopra Steria
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When you look at auditability, I am not sure how exception handling is going to be as effective to reach that goal of auditability. It indeed is important to reset the state of the robot by using proper and thoroughly tested exception handling, but I can not think of anything else that would possibly be beneficial for auditability in general. Exception and Error handling itself is one of the most important aspects to maintain high robot quality, but it isnt primarily meant for auditability.

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4 Apply security and encryption

The fourth step to ensure auditability is to apply security and encryption measures for your processes. Security means protecting the access, integrity, and confidentiality of the data and resources involved in the execution of the processes, such as credentials, files, databases, and applications. Encryption means transforming the data into a form that can only be read or processed by authorized parties, such as passwords, keys, or certificates. Security and encryption can help you prevent and detect unauthorized or malicious actions, comply with data protection and privacy regulations, and avoid data breaches or leaks. You can use various tools and features to apply security and encryption, such as roles, permissions, firewalls, encryption algorithms, and secure protocols.

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Martin Cavas

HPT Team Lead at Sopra Steria
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Security and Encryption are often, I think, in all cases managed on server level. This kind of job is usually done by the more technical guys in the organisation, those who facilitate the RPA tooling environment. RPA Engineers should maintain focus on RPA engineering at all times. Try to outsource the technical facilitation to a dedicated infrastructure engineering team. Infrastructure team is able to facilitate and maintain databases, rpa platform, security, encryption, package versioning, pipelines etc.

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5 Review and test your processes

The fifth step to ensure auditability is to review and test your processes regularly and systematically. Reviewing means examining and evaluating the design, logic, and functionality of your processes, as well as the documentation, logging, reporting, exception handling, and security measures. Testing means executing and verifying the behavior and results of your processes, as well as the performance, quality, and compliance indicators. Reviewing and testing can help you ensure the accuracy, efficiency, and effectiveness of your processes, as well as identify and correct any errors, gaps, or improvements. You can use various tools and methods to review and test your processes, such as peer reviews, code reviews, unit testing, integration testing, and user acceptance testing.

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6 Update and maintain your processes

The sixth step to ensure auditability is to update and maintain your processes periodically and proactively. Updating means modifying and enhancing your processes to adapt to the changes in the business requirements, policies, regulations, or technologies. Maintaining means keeping your processes in good working condition, as well as fixing any bugs, issues, or defects that may arise. Updating and maintaining can help you ensure the relevance, sustainability, and scalability of your processes, as well as avoid obsolescence, inefficiency, or inconsistency. You can use various tools and features to update and maintain your processes, such as version control, change management, configuration management, and automation lifecycle management.

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Aman Jain

Project Manager at Ericsson | Operational Excellence & Strategy | Simplification & Automation | Data Analytics | Enterprise PMO | Change Management
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Change Management: Establish a change management process for all RPA processes to ensure that any changes to the process are managed and documented.

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7 Here’s what else to consider

This is a space to share examples, stories, or insights that don’t fit into any of the previous sections. What else would you like to add?

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Aman Jain

Project Manager at Ericsson | Operational Excellence & Strategy | Simplification & Automation | Data Analytics | Enterprise PMO | Change Management
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Compliance: Ensure that RPA processes comply with any applicable regulations or compliance requirements, such as GDPR, HIPAA, or SOX.

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How can you ensure auditability in RPA processes?

1

2

3

4

5

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1 Document your processes

2 Implement logging and reporting

3 Use exception handling and recovery

4 Apply security and encryption

5 Review and test your processes

6 Update and maintain your processes

7 Here’s what else to consider

Process Automation

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How can you ensure auditability in RPA processes?

1

2

3

4

5

6

7

1 Document your processes

2 Implement logging and reporting

3 Use exception handling and recovery

4 Apply security and encryption

5 Review and test your processes

6 Update and maintain your processes

7 Here’s what else to consider

Process Automation

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