Phase 1

Initial Call, Comprehensive Document Request, and Risk-Based Review

• Initial Call: We begin with a detailed discussion with relevant personnel of the target to discuss and provide an overview of the project and its scope.
• Document Request: Following preliminary research on the target, we provide a comprehensive document request list related to the compliance, technology and operations topics within scope of the review. The initial document request list and supplemental request lists (as needed) will be based on Salus GRC’s regulatory expertise and knowledge of industry best practices.
• Analysis and Review: We conduct a risk-based review of the gathered documents to analyze the target’s compliance program and to identify gaps and regulatory risk areas.

Phase 2

Personnel Interviews

• Onsite Visits and Conference Calls: We conduct interviews with key personnel to gain deeper insights into their roles as it relates to compliance, technology and operations. The interviews are designed to supplement the risk-based review and to further analyze certain personnel’s familiarity and adherence to the target’s compliance policies and procedures.

Phase 3

Exit Call and Final Report

• Exit Call: Once review of the target is complete, we will schedule an exit call to discuss our findings and recommendations.
• Comprehensive Report: Salus GRC will draft and deliver a report summarizing gaps and issues identified at the target. This report will also provide guidance on the appropriate steps for the target to take in order to remediate the issues identified.