Only send what’s specifically requested.

Our biggest frustration in providing policies and procedures manuals is the misuse of these in the licensing application and examination review process. Customers purchase complete packages - designed to meet all compliance requirements beyond simply those requested by a regulator or examiner - and submit the entire set of materials. This causes a great deal of frustration and extra work on the examiner's part.

Tip 1:  If an examiner asks for a specific policy, find and extract the policy or module they are requesting instead of sending the examiner EVERYTHING. We have created that stack on the rubric below. 

Tip 2: Print the extracted policy to a *.pdf and name and number EXACTLY as the regulator request reads. So if the examiner says "provide Red Flags ID Theft Plan," extract that section from your policy and name it "Red Flags ID Theft Plan."
For Example

In this case the customer sent the regulator what they asked. The regulator asked for “Employee Policies and Procedures” but then followed that request with specific delineations. Instead of quickly locating the documents, the regulator cited the customer for failing to provide the requested documentation.

    1. The regulator requested an ID Theft Red Flag policy, and the customer sent the entire review process, which made finding the red flags program difficult since these overlap with different elements.

    2. Customer Complaints are handled in the Compliance Module 2-80

    3. Disaster Recovery is part of the IT/Cyber Security Policy 2-97

    4. Employee Training is in 2-0 Compliance 2-74

    5. Employees likely will not read entire swaths of company policies and procedures, so we provide PIPs (policies in practice) that employees can acknowledge and follow.

 

We have developed this product as an answer to this problem. Instead of sorting through complete policies and procedures, this a-la-carte option system allows you to purchase only the pieces you need for your examination as part of the Audit Prep Service.

 

We provide audit prep services if it’s too much work or you don’t understand what the regulator requests.
State Audit Preparation Service