Keeping EyeMed in check: Document it and close it
Rounding third and heading for home with response documentation
You just implemented a process change, regulatory requirement or finished another successful audit. You found the root process/cause, you put a solution in place and you’re practicing your Sono award acceptance speech. All that’s left? Documenting your triumph, of course.
Don’t skip that crucial last step. Clients and regulators need proof that EyeMed maintains a rapid response to process change, regulation change or audit finding, and that we have an effective internal audit and monitoring processes to achieve compliance. If your process change, regulation change or audit response isn’t documented, we can’t prove that it happened. And, they won’t count your Sono award as evidence.
Process change – Any process revision, update or change to fix or improve a process.
Regulation change – Any enacted new or revised regulation, guidance, law, legislation or compliance requirement issued by state or federal regulators.
Audit finding – Noncompliance discovered by an internal or external audit source.
Here’s what compliance needs from you when they ask you to document your process change, regulatory change or audit finding response:
- Put it in writing. Writing a memo for your manager? That works. Prefer to email? That’ll work too. Haiku collection? Knock us out. Tell us what you did and when you did it.
- Tell us the regulatory or audit response results. Maybe you can confirm that a process is working properly, or that a new solution works. Maybe you found something you didn’t expect. Maybe the fix won’t be in place until 2019.
- Take credit for your work. Auditors and client compliance officers love it when they see people take ownership. Go ahead and put your name in all caps.
Review the response documentation checklist to make sure you’re in compliance.
Questions? Concerns? Got a haiku about closing a process change, regulation change or audit finding? Share it with Compliance at GITcomp@eyemed.com.