Regulatory Information Management Toolkit

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Save time, empower your teams and effectively upgrade your processes with access to this practical Regulatory Information Management Toolkit and guide. Address common challenges with best-practice templates, step-by-step work plans and maturity diagnostics for any Regulatory Information Management related project.

Download the Toolkit and in Three Steps you will be guided from idea to implementation results.

The Toolkit contains the following practical and powerful enablers with new and updated Regulatory Information Management specific requirements:


STEP 1: Get your bearings

Start with...

  • The latest quick edition of the Regulatory Information Management Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.

Organized in a data driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…

  • Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation

Then find your goals...


STEP 2: Set concrete goals, tasks, dates and numbers you can track

Featuring 997 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Regulatory Information Management improvements can be made.

Examples; 10 of the 997 standard requirements:

  1. How can data intensive regulatory business processes be supported by rich information management applications where expectations of ubiquity and better user experience are of utmost importance?

  2. How would one be able to document and maintain all of the combinations that require evaluation without using an electronic information management system?

  3. Does the current regulatory information sharing relationship structure pose challenges for ensuring the sound and safety of the financial system?

  4. How does management obtain and use information to stay abreast of changes in the competitive, technological and regulatory environments?

  5. Are employees trained in the appropriate use of the shared drive to file records and information and the responsibilities for retention?

  6. Is there a formal process in place to capture, track, and record information for financial, legal, regulatory, media purposes?

  7. How well do your data management and analytical capabilities support your risk management and regulatory reporting efforts?

  8. Does the record management staff work with information technology staff to ensure the integrity of the shared drives?

  9. Do you have responsibility for, or influence over, strategic decisions on risk management in your organization?

  10. Does your organization rely on other financial institutions to carry out its beneficial ownership requirements?


Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:

  • The workbook is the latest in-depth complete edition of the Regulatory Information Management book in PDF containing 997 requirements, which criteria correspond to the criteria in...

Your Regulatory Information Management self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:

  • The Self-Assessment Excel Dashboard; with the Regulatory Information Management Self-Assessment and Scorecard you will develop a clear picture of which Regulatory Information Management areas need attention, which requirements you should focus on and who will be responsible for them:

    • Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix
    • Gives you a professional Dashboard to guide and perform a thorough Regulatory Information Management Self-Assessment
    • Is secure: Ensures offline data protection of your Self-Assessment results
    • Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:

 

STEP 3: Implement, Track, follow up and revise strategy

The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage Regulatory Information Management projects with the 62 implementation resources:

  • 62 step-by-step Regulatory Information Management Project Management Form Templates covering over 1500 Regulatory Information Management project requirements and success criteria:

Examples; 10 of the check box criteria:

  1. Risk Audit: Has risk management been considered when planning an event?

  2. Lessons Learned: How effectively were issues managed on the Regulatory Information Management project?

  3. Closing Process Group: What is the amount of funding and what Regulatory Information Management project phases are funded?

  4. Project or Phase Close-Out: Who exerted influence that has positively affected or negatively impacted the Regulatory Information Management project?

  5. Activity Cost Estimates: In which phase of the acquisition process cycle does source qualifications reside?

  6. Procurement Management Plan: Are software metrics formally captured, analyzed and used as a basis for other Regulatory Information Management project estimates?

  7. Risk Register: Manageability – have mitigations to the risk been identified?

  8. Requirements Management Plan: Are actual resource expenditures versus planned still acceptable?

  9. Quality Audit: How does your organization know that its staff entrance standards are appropriately effective and constructive and being implemented consistently?

  10. Process Improvement Plan: Modeling current processes is great, and will you ever see a return on that investment?

 
Step-by-step and complete Regulatory Information Management Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:

  • 1.1 Regulatory Information Management project Charter
  • 1.2 Stakeholder Register
  • 1.3 Stakeholder Analysis Matrix


2.0 Planning Process Group:

  • 2.1 Regulatory Information Management project Management Plan
  • 2.2 Scope Management Plan
  • 2.3 Requirements Management Plan
  • 2.4 Requirements Documentation
  • 2.5 Requirements Traceability Matrix
  • 2.6 Regulatory Information Management project Scope Statement
  • 2.7 Assumption and Constraint Log
  • 2.8 Work Breakdown Structure
  • 2.9 WBS Dictionary
  • 2.10 Schedule Management Plan
  • 2.11 Activity List
  • 2.12 Activity Attributes
  • 2.13 Milestone List
  • 2.14 Network Diagram
  • 2.15 Activity Resource Requirements
  • 2.16 Resource Breakdown Structure
  • 2.17 Activity Duration Estimates
  • 2.18 Duration Estimating Worksheet
  • 2.19 Regulatory Information Management project Schedule
  • 2.20 Cost Management Plan
  • 2.21 Activity Cost Estimates
  • 2.22 Cost Estimating Worksheet
  • 2.23 Cost Baseline
  • 2.24 Quality Management Plan
  • 2.25 Quality Metrics
  • 2.26 Process Improvement Plan
  • 2.27 Responsibility Assignment Matrix
  • 2.28 Roles and Responsibilities
  • 2.29 Human Resource Management Plan
  • 2.30 Communications Management Plan
  • 2.31 Risk Management Plan
  • 2.32 Risk Register
  • 2.33 Probability and Impact Assessment
  • 2.34 Probability and Impact Matrix
  • 2.35 Risk Data Sheet
  • 2.36 Procurement Management Plan
  • 2.37 Source Selection Criteria
  • 2.38 Stakeholder Management Plan
  • 2.39 Change Management Plan


3.0 Executing Process Group:

  • 3.1 Team Member Status Report
  • 3.2 Change Request
  • 3.3 Change Log
  • 3.4 Decision Log
  • 3.5 Quality Audit
  • 3.6 Team Directory
  • 3.7 Team Operating Agreement
  • 3.8 Team Performance Assessment
  • 3.9 Team Member Performance Assessment
  • 3.10 Issue Log


4.0 Monitoring and Controlling Process Group:

  • 4.1 Regulatory Information Management project Performance Report
  • 4.2 Variance Analysis
  • 4.3 Earned Value Status
  • 4.4 Risk Audit
  • 4.5 Contractor Status Report
  • 4.6 Formal Acceptance


5.0 Closing Process Group:

  • 5.1 Procurement Audit
  • 5.2 Contract Close-Out
  • 5.3 Regulatory Information Management project or Phase Close-Out
  • 5.4 Lessons Learned

 

Results

With this Three Step process you will have all the tools you need for any Regulatory Information Management project with this in-depth Regulatory Information Management Toolkit.

In using the Toolkit you will be better able to:

  • Diagnose Regulatory Information Management projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices
  • Implement evidence-based best practice strategies aligned with overall goals
  • Integrate recent advances in Regulatory Information Management and put process design strategies into practice according to best practice guidelines

Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role; In EVERY company, organization and department.

Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'

This Toolkit empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Regulatory Information Management investments work better.

This Regulatory Information Management All-Inclusive Toolkit enables You to be that person.

 

Includes lifetime updates

Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.