a worked example · operations

Have you ever lost a whole week to gathering files for an audit?

The work was done properly. Proving it meant digging through folders, inboxes and memory, while everyone stopped to help.

Is this you?

A regulator, surveyor, auditor or carrier can ask you for evidence.
The evidence exists, but it's scattered across systems.
Before each review, your team assembles the file by hand.

When we'd advise against it

If reviews are rare and light, a well-kept folder is enough. If your procedures aren't written down yet, write them first. We'd help with that before building.

Where it goes wrong

Rule
Procedure
Work done
Proof captured
Checked
Filed
Request answered

Proof gets collected in a rush, after the request arrives.

Signatures, sign-offs and training records sit in different places. The examiner finds the gaps before you do.

In wealth management, it's the regulator's document request. In home health, it's the state survey and the notes behind it. In manufacturing, it's the quality audit. In an insurance agency, it's the signed declination nobody can find.

What we would build: an always-ready evidence log

It files proof as the work happens, and checks for gaps every week.

What would change

Proof is captured when the work is done, not months later.
Each record is filed against the rule it proves.
Gaps are flagged weekly, while they're still easy to fix.
A request list is answered in hours, from files that already exist.

What it's worth to you

Count the people who stopped work for your last review, and the days they spent on it. Multiply by their daily cost.

Then add any finding or repeat visit that a missing record caused.

Evidence check · Monday

1,018 records against 34 rules

Complete and filed: 997
Missing a signature, owners told: 10
Training records past due: 6
Client files without a signed agreement: 5
Request-list items ready today: 31 of 34

This is the shape of the output, with names left out. A person decides on every line.

How it would run

Read every step

What it reads

Your core system, shared drives, e-signature records and compliance calendar. It runs weekly, and as soon as a review is announced. We confirm each source with you in the first conversation.

The steps

Maps each rule to the records that prove it.
Files each new record against the right rule.
Checks every file for signatures, dates and required fields.
Sends each gap to its owner, every week.
Follows each fix until the gap is closed.
Builds the response to a request list from files you already have.

Where a person signs off

Your compliance lead approves every response. Nothing reaches an examiner unreviewed.

What it never does

It never edits, backdates or removes a record. It never answers a regulator for you.

What we'd need from you

Your rule list, or your last request list. Read access to where records live. One person who owns compliance.

What usually comes with it

Credential tracking, so staff files stay current between reviews.
A document chase, so missing client signatures are asked for early.
An invoice match desk, so every payment approval is on file.

You become the firm that's always ready to show its work.

When the request list arrives, the files are already waiting.

Yours won't look exactly like this. A first conversation is where we work out what it should look like.

If this sounds like your week, write to us.

We'd suggest a first conversation with one of our co-founders. It's free, about an hour, and needs no access.

Ask for a first conversation

A person replies, usually within one working day.