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.


Please note that the content on this page is retired. This content is not maintained and may contain information or links that are out of date.

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.

Book Your Workshop

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.

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.
  • Defined project charter.
1.2 Define roles and responsibilities.
  • Defined roles and responsibilities.
1.3 Establish compliance goals.
  • Defined compliance goals.

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.
  • List of relevant regulations.
2.2 Define change management process.
  • Assigned change management owner.
2.3 Conduct a sneak audit and prioritize gaps.
  • List of prioritized compliance gaps (within limited workshop scope).

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.
  • List of remediation plans.

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.
  • List of recurring gaps.
4.2 Conduct sneak audit.
  • List of root causes.
4.3 Conduct external/internal formal audit.
  • Official findings.
Visit our Exponential IT Research Center
Over 100 analysts waiting to take your call right now: 1-519-432-3550 x2019