Take Control of Compliance Improvement to Conquer Every Audit
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.
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.
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