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REGULATORY AND AUDIT COMPLIANCE

Securing compliance and acing audits

Regulated industries understand that managing information is simply a part of staying in business. Access Sciences stays up-to-date on information-related regulations and is readily available to prep your organization for the next round of audits.

EVALUATING

BUSINESS RISK TO MEET A COMPLIANCE DEADLINE

Due to a compliance finding, a global energy company curated a diverse project team to help clean, organize, and label its SharePoint Online (SPOL) environment before a non-records disposal (NRD) deadline. The company set a goal to label 62 million documents in SPOL by October 31, just 10 months’ time from the start of the project. After that date, all unlabeled documents…

Access-Sciences-Regulatory-and-Audit-Compliance-Capabilities-Featured-Case-Study

REGULATORY AND AUDIT COMPLIANCE

Securing compliance and acing audits

Regulated industries understand that managing information is simply a part of staying in business. Access Sciences stays up-to-date on information-related regulations and is readily available to prep your organization for the next round of audits.

Access-Sciences-Regulatory-and-Audit-Compliance-Capabilities-Featured-Case-Study

EVALUATING

BUSINESS RISK TO MEET A COMPLIANCE DEADLINE

Due to a compliance finding, a global energy company curated a diverse project team to help clean, organize, and label its SharePoint Online (SPOL) environment before a non-records disposal (NRD) deadline. The company set a goal to label 62 million documents in SPOL by October 31, just 10 months’ time from the start of the project. After that date, all unlabeled documents…

Internal Audit/Corrective Action Support

Our teams provide support for information-centric audits and expert guidance when designing and executing corrective actions.

Program Assessment and Roadmap

We assess existing information-centric practices and develop program roadmaps to address gaps.

Policy and Process Development

We develop relevant, actionable information management and governance policies and processes.

Data Map Development

Our professionals develop data maps to support internal and external audit requirements.

Internal Audit/Corrective Action Support

Our teams provide support for information-centric audits and expert guidance when designing and executing corrective actions.

Program Assessment and Roadmap

We assess existing information-centric practices and develop program roadmaps to address gaps.

Policy and Process Development

We develop relevant, actionable information management and governance policies and processes.

Data Map Development

Our professionals develop data maps to support internal and external audit requirements.

Preparing for information-centric audits

If an organization can’t demonstrate reliable record keeping, it can face penalties, fines, or – in extreme cases – a shutdown. We recognize that the best way to meet regulatory requirements is to have a well-designed, properly governed information management program in place.

Access-Sciences-Regulatory-and-Audit-Compliance-FAQ

I’ve received negative audit findings about the way we manage our information. What do we do next?

YOU ASKED:

The first step after receiving a negative audit finding is to perform root cause analysis. Why did this occur? This analysis can be done internally or through an external third party. In order to create a plan for remediation, it’s important to identify the true causes as well as to review the IM program holistically. Possible causes could be related to people, process, or technology.

You will also want to engage business stakeholders to demonstrate how this audit finding can have impacts on the business in terms of reputation, costs, and most importantly, safe operations. Transparency and accountability are important during this process.

Once a plan for remediation has been set, don’t forget a framework to demonstrate progress to internal and external stakeholders.

Access-Sciences-Regulatory-and-Audit-Compliance-FAQ

I’ve received negative audit findings about the way we manage our information. What do we do next?

YOU ASKED:

The first step after receiving a negative audit finding is to perform root cause analysis. Why did this occur? This analysis can be done internally or through an external third party. In order to create a plan for remediation, it’s important to identify the true causes as well as to review the IM program holistically. Possible causes could be related to people, process, or technology.

You will also want to engage business stakeholders to demonstrate how this audit finding can have impacts on the business in terms of reputation, costs, and most importantly, safe operations. Transparency and accountability are important during this process.

Once a plan for remediation has been set, don’t forget a framework to demonstrate progress to internal and external stakeholders.

Success Story:

Automated Response Eliminates Snap Audit Penalties

This highly-regulated financial services company owns and operates more than 700 retail locations in North America and the United Kingdom.  In recent years, changes to laws in many states…

Success Story:

Achieving GDPR Compliance In Record Time

A global retailer with operations in multiple countries faced challenges preparing to meet data privacy rules under GDPR.  With just over two months to spare and 600 applications with potentially relevant PII (personally identifiable information)…

Success Story:

Rapid Assessment Inspires Long-Term Roadmap

For companies in regulated industries, information management is critical. It doesn’t matter how good your products or processes are: if you can’t produce the required documentation to demonstrate compliance, then you risk penalties…

MEET OUR TEAM

Since 1985, Access Sciences’ dynamic team of experts in information governance, technology enablement, and business strategy have been committed to meeting each clients’ unique information needs.

Access-Sciences-Regulatory-and-Audit-Compliance-Subject-Matter-Expert-Amelia-Johnson

AMELIA JOHNSON

Access Sciences' Team of Experts
SME_Claudette-Lloyd

CLAUDETTE LLOYD

Access Sciences' Team of Experts
Access Sciences Business Strategy Subject Matter Expert Lisa Cromwell

LISA CROMWELL

Access Sciences' Team of Experts

SOLVING

Business Challenges

Each organization has unique challenges and opportunities. Let’s talk about yours.

Solving Business

Challenges

Each organization has unique challenges and opportunities. Let’s talk about yours.