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Back to Basics: A Regulatory Pro To-Do List Cheat Sheet (DRAFT) by [deleted]

Back to Basics: A Regulatory Pro To-Do List

This is a draft cheat sheet. It is a work in progress and is not finished yet.


The plan outlined is only a sugges­tion, and it’s made without specific knowledge of workload, regulatory policies, corporate hierarchy, company size, budgets, techno­logical prowess, etc. With that said, please read on for six back-t­o-basic actions that have worked

1. Conduct a standards review

Conduct a standards review to ensure the latest versions of each standard; all required criterion are present; and there is approp­riate access.

2. Survey internal customers

Survey internal customers regarding service level to determine how well you and/or the regulatory depart­men­t/f­unction are serving team members and whether any improv­ements can be made.

3. Evaluate for proces­s/s­ystem improv­ements

Evaluate any opport­unity for process or system improv­ement. Perhaps look at the company as a whole to determine whether the entire organi­zation can benefit from a particular process improv­ement, and whether other functions are interested in pursuing the opport­unity. Or take a narrower view and decide how the regulatory depart­men­t/f­unction can potent­ially drive continuous improv­ement. Consider these steps:
Engage with the Six Sigma team (if there is one) and, taking a broad view, determine whether a role exists for the regulatory depart­men­t/f­unc­tion.
Communicate with people who provide input to you specif­ically or the regulatory depart­men­t/f­unction in general, to outline ways to improve their service level.
Think about the cost of implem­ent­ation and return on invest­ment, using the Six Sigma team if applic­able, and consider collab­orating with the finance depart­men­t/f­unc­tion.

4. Review job descri­ptions

Review job descri­ptions to gauge accuracy and deem whether your company’s training curricula are approp­riate.

5. Review profes­sional develo­pment plans

Review profes­sional develo­pment plans, or create one if there is none for the current year. I like to:
Conduct at least two profes­sional develo­pment activities every year.
Focus on the quality of the develo­pment activities rather than conven­ience and cost.
Focus on what works best for me and the company.

6. Take time to think.

Take time to think. It seems many of us do not take enough time to really ponder the major sources of concern, whether they are problems, opport­uni­ties, or challe­nging situat­ions. Produc­tivity can improve signif­icantly if we take the time to carefully evaluate and sort out sources of stress in our lives. I recommend taking the following steps:
Clear your schedule for 30 minutes.
Find a quiet place, or at least a place that seems quiet.
Think about what is truly important to you at work, at home, and in your relati­ons­hips.


Although results will vary for each individual and company, implem­enting a “back-­to-­basics” strategy in the new year will help resolve old issues and better enable regulatory profes­sionals to plan for the future, thus ensuring their companies maintain a compet­itive advantage in the compliance arena. It is always a good idea to set aside time to sharpen our cognitive tools and collect our thoughts.

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