The file an examiner sees.
The Audit Workflow takes a regulator's inquiry and answers it with a sealed, indexed, watermark-stamped Evidence Package — pulled directly from the directory, not assembled by hand.
The five compartments.
Every Evidence Package contains the same five compartments. Each is independently exportable. Each carries its own retention clock.
- EX · A.0101Lead ProfileFILED · MMXXVI · IV
- EX · A.0202Communication RecordsFILED · MMXXVI · IV
- EX · A.0303Enrollment RecordsFILED · MMXXVI · IV
- EX · A.0404Compliance EvidenceFILED · MMXXVI · IV
- EX · A.0505Audit LedgerFILED · MMXXVI · IV
The audit workflow.
- ISTAGE · 01
Receipt of Request
Examiner inquiry is logged, jurisdiction confirmed, and scope of authority verified against the requesting body's enabling statute.
- IISTAGE · 02
Scope Drafting
Counsel drafts a written scope of production: lead universe, date range, product line, and evidence categories — circulated under privilege.
- IIISTAGE · 03
Privilege Review
Records are run against the litigation hold matrix. Privileged or third-party-protected items are withheld with a privilege log.
- IVSTAGE · 04
Evidence Pack Assembly
The five-compartment Evidence Package is assembled directly from the directory: lead, communications, enrollment, compliance, ledger.
- VSTAGE · 05
Watermark & Seal
Each artifact is watermark-stamped with the matter number, examiner identity, and time of production. Recordings are sealed.
- VISTAGE · 06
Delivery
A time-bounded Box.com shared link is issued. Access is logged to the audit ledger. Counsel is copied on every request.
- VIISTAGE · 07
Post-Production Review
Counsel and the client conduct a written debrief; remediation items, if any, are entered against the firm's annual program review.
Counsel will issue a time-bounded link.
State DOI, CMS, OCR, FTC, and private examiners with a written authority of inquiry may request a Brown & Sullivan Evidence Package. Production proceeds under privilege and against a written scope of production.