Take Control of Compliance Improvement to Conquer Every Audit
Don’t gamble recklessly with external compliance. Play a winning system and take calculated risks to stack the odds in your favor.
Onsite Workshop
A reactive approach to compliance can result in:
- People, process, and technology lagging behind changing business and compliance requirements.
- Disruptive mandated changes following an adverse audit opinion.
- Punitive fines or injunctions.
- Exposure to personal liability.
A proactive approach to compliance leads to:
- Clear understanding of regulatory requirements and business needs as they evolve.
- Reduced risk of non-compliance.
- Reduced non-compliance costs.
- Expedited audits that bring value rather than disruption.
Module 1: Launch Proactive Compliance
The Purpose
- Identify areas for compliance improvement.
- Identify benefits of compliance management.
- Identify: compliance priority, capability, budget, capacity requirements, and resource constraints.
- Establish External Compliance Management Working Group and compliance goals.
- Establish a starting point for compliance improvement.
Key Benefits Achieved
- Clearly defined pain points of compliance management.
- Defined compliance improvement plan.
- Defined compliance team, mandate, scope, and goals for compliance improvement.
| Activities: | Outputs: | |
|---|---|---|
| 1.1 | Define scope and mandate of compliance committee. |
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| 1.2 | Define roles and responsibilities. |
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| 1.3 | Establish compliance goals. |
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Module 2: Assess Compliance
The Purpose
- Identify relevant regulatory requirements.
- Determine a change management process.
- Determine compliance gaps within a limited workshop scope.
- Prioritize compliance gaps based on risk likelihood and impact.
Key Benefits Achieved
- Defined regulatory requirements.
- Determined change management process.
- Identified compliance gaps.
- Prioritized gaps.
| Activities: | Outputs: | |
|---|---|---|
| 2.1 | Define regulatory requirements. |
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| 2.2 | Define change management process. |
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| 2.3 | Conduct a sneak audit and prioritize gaps. |
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Module 3: Remediate Non-Compliance
The Purpose
- Determine plausible remediation plans for high priority gaps.
Key Benefits Achieved
- Planned remediation measures.
| Activities: | Outputs: | |
|---|---|---|
| 3.1 | Determine remediation plans. |
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Module 4: Confirm Compliance
The Purpose
- Confirm and assure compliance.
Key Benefits Achieved
- Identify recurring compliance gaps.
- Confirm adherence to remediation.
- Assure compliance.
| Activities: | Outputs: | |
|---|---|---|
| 4.1 | Conduct stakeholder interviews. |
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| 4.2 | Conduct sneak audit. |
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| 4.3 | Conduct external/internal formal audit. |
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Onsite Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn’t enough, we offer low-cost onsite delivery of our Project Workshops. We take you through every phase of your project and ensure that you have a road map in place to complete your project successfully.
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