Implementation Planning for Compliance Management System

This document provides an overview of the implementation planning process for a compliance management system. It includes information on personnel requirements, training options, and processes for identifying and managing compliance breaches. The document also discusses the integration of the compliance management system with existing policies and procedures.

Assessment Task 2- Implementation planning
Name of the Student
Name of the University
Author note

Table of Content
1. Introduction...........................................................................................................................5
1.1 Purpose...............................................................................................................................5
1.2 System overview................................................................................................................5
1.3 Implementation plan summary..........................................................................................5
2. COMPLIANCE MANAGEMENT SYSTEM OVERVIEW............................................5
2.1 COMPONENTS................................................................................................................6
2.1.1 Document specifications of various components/ elements of the system................6
2.2 DOCUMENTATION........................................................................................................6
2.2.1 Determine relevant documentation to support deliverables......................................6
2.3 MANAGEMENT INFORMATION SYSTEMS...............................................................6
2.3.1 Identify and document management information systems requirements for effective
and efficient operation........................................................................................................6
3. IMPLEMENTATION SUPPORT.......................................................................................8
3.1 PERSONNEL....................................................................................................................8
3.1.1 Determine personnel requirements for staffing.........................................................8
3.1.2 Select suitable personnel from those available within the case study.......................8
3.1.3 Assign key responsibilities to each position..............................................................8
3.2 TRAINING........................................................................................................................9
3.2.1 Training requirements for implementing........................................................................9
3.2.2 Suitable training options for staff............................................................................10
3.2.3 A strategy for developing a compliance management culture.................................11
3.3 PROCESSES...................................................................................................................11
3.3.1 A complaints management system..........................................................................11
3.3.2 A strategy for developing a compliance management culture.................................13
3.3.3 Processes and procedures for identifying and managing compliance breaches,
including integration with existing policies and procedures............................................14
3.3.4 Processes and procedures for meeting compliance reporting requirements............14
3.3.5 Performance indicators to be measured by the system so that it can be objectively
evaluated...........................................................................................................................14
3.4 ADMINISTRATION.......................................................................................................16
3.4.1 The budget required to resource implementation....................................................16
3.4.2 An action schedule outlining target milestones for all aspects of implementation,
including training, review and maintenance.....................................................................17

1. Introduction
1.1 Purpose
The purpose of compliance system is to assist the organisation to fulfil its obligations with
regards to legislation, industry codes, and organisational standards while maintaining good
corporate governance.
1.2 System overview
The system outlines the following components:
 Guidelines for managing information and record related to compliance
 Communication processes for compliance matters
 Processes for identifying, reporting and responding to compliance breaches
 Reporting procedures for managing compliance
 Process for handling complaints
 Roles, responsibilities and accountabilities for compliance
1.3 Implementation plan summary
Activity Implementation Dead line Responsible person
Strengthen the
compliance policies
Reviewing the existing
policies, making changes,
forecast the new policy
and training
Week 8 CEO, Business
manager, 2 Community
Care Centre managers
Reviewing and
strengthening the
financial handling
policy
Reviewing the existing
policies, making changes,
forecast the new policy
and training
Developing Record
keeping policies
Developing policies and
code of conducts,
Week 8 CEO, 2 Community

with privacy
concerns
forecast the new policy
and training
Care Centre managers
Developing
company asset and
facility handling
policy
Developing policies and
code of conducts,
forecast the new policy
and training
Week 9 CEO, Retail manager,
Warehouse manager
Developing stock
taking and inventory
policy
Developing policies and
code of conducts,
forecast the new policy
and training
Week 10 CEO, Retail manager,
Warehouse manager
2. COMPLIANCE MANAGEMENT SYSTEM OVERVIEW
2.1 COMPONENTS
2.1.1 Document specifications of various components/ elements of the system.
 Guidelines for managing information and record related to compliance
 Communication processes for compliance matters
 Processes for identifying, reporting and responding to compliance breaches
 Reporting procedures for managing compliance
 Process for handling complaints
 Roles, responsibilities and accountabilities for compliance
 Monitoring process and feedback mechanisms
2.2 DOCUMENTATION
2.2.1 Determine relevant documentation to support deliverables.
 Compliance policy
 Organisational chart
 Professional development records
 Continuous Improvement register
 Objectives and targets of compliance program
 Complaints and resolutions
 Results from audits and reviews
 List of priorities emerging from risk assessment

2.3 MANAGEMENT INFORMATION SYSTEMS
2.3.1 Identify and document management information systems requirements for
effective and efficient operation
 Types of MIS reports and reporting schedules
o Financial activity of the business – payroll system and accounting
information systems (MYOB)
o Sales and Marketing activities
o Record management
o Risk management
o Human resources
 Format of MIS reports
 Approval and rectification processes

3. IMPLEMENTATION SUPPORT
3.1 PERSONNEL
3.1.1 Determine personnel requirements for staffing
While considering the size of company, I would recommend that a Senior manager needs to
be recruited as Compliance Manager who would report to CEO and rest all the titles would
report to him.
3.1.2 Select suitable personnel from those available within the case study
Joan Murphy can be delegated with a responsibility of Acting Compliance Manager but I
strongly recommend to appoint someone who will report to Joan Murphy, CEO and would
control rest of the ranks in the organisation.
As per case study, responsibilities can be delegated amongst the follwoing:
i. Warehouse Manager – Jack O’Toole
ii. Retail Manager – Mary Taylor
iii. Woolloongabba Community centre manager – Judith Moore
iv. Spring Hill Community Centre Manager – Helen Ng
v. Bookkeeper – Jenny Aviel?

3.1.3 Assign key responsibilities to each position.
Compliance manager would be responsible to assist the senior management in establishing
compliance culture and in disseminating the information across the organisation. All the line
managers will be responsible to assist the Compliance manager in the implementation of
Compliance management system in place.
As per case study, Delegation of responsibilities should be done like:
a) Warehouse Manager – Jack O’Toole – asset management and asset security
b) Retail Manager – Mary Taylor – asset security, accounting information
c) Woolloongabba Community Centre Manager – Judith Moore – duty of care, cash
handling
d) Spring Hill Community Centre Manager – Helen Ng – asset management
e) Bookkeeper – Jenny Aviel – reconciliations
f) Payroll clerk – Tom Brown – authorisations
g) Accounts Receivable Clerk – Maggie Saldais – financial records
H) Accounts Payable Clerk – John Tomlin – financial records
i) Receptionist Spring Hill – Julie Jones – privacy
j) Receptionist Woolloongabba – Peggy White – privacy?
3.2 TRAINING
3.2.1 Training requirements for implementing
We will consider the following while determining the training needs:
 Legislative requirements
 Industry requirements
 Long term objectives
 Current / Short term objectives
 Current business requirement’s

As per case study, the training requiremetns for implementing the proposed compliance
management system are following:
 Company policy compliance – developing the policies will will allow Charity Care
to deal with the monitoring, maintaining, improving the compliance system while
making the employees aware of the system and regulatory procedure
 Computerised financial accounting systems – MYOB, Mind Your Own Business,
is an Australian multinational corporation that provides tax, accounting and other
business services software to small and medium businesses. Hence, training the
employees in MYOB will enable more error free and integrated financial control
and compliance.
3.2.2 Suitable training options for staff.
Two main categories that we can divide training into:
Formal: Class room based training, one to one sessions
Informal: Books, self-study, coaching and mentoring, online programs and
tutorials.
Training in following areas would be provided to the following staff
members:
vi. Warehouse Manager – Jack O’Toole – company policy compliance
vii. Retail Manager – Mary Taylor – emergency systems
viii. Payroll Clerk – Tom Brown –computerised payroll system
ix. Accounts Receivable Clerk – Maggie Saldais – computerised accounting system
x. Accounts Payable Clerk – John Tomlin – computerised accounting system
Bookkeeper – Jenny Aviel – personal development – computerised
accounting system

3.2.3 A strategy for developing a compliance management culture
 Ongoing professional development for staff emphasising on organisation’s
commitment to compliance
 Clearly defining people who are responsible for the compliance program
 Creating an awareness about reporting systems and processes
 Instilling knowledge and practice of required standard of conduct
 Establishing accountability and consequences of non-compliances
 Emphasising on the application of the program in relation to specific operating
environment
 Training staff on how the program will be maintained and monitored
 better communication (for example, effective standard of compliance is published);
training (may involve external providers)
 senior management focus on the communication of the value of compliance and
demonstration of management’s commitment to compliance
3.3 PROCESSES
3.3.1 A complaints management system
A complaints management system that:
 adheres to AS ISO 10002:2006 Guidelines for complaints handling
 creates a customer-focused culture
 establishes an open and responsive complaints-handling process
 resolves complaints in a consistent, systematic and responsive manner;
identifies trends; eliminates causes of complaints; and improves the
organisation’s operations
 includes continual review and analysis of the complaints-handling
process, the resolution of complaints, and process improvements?
Following flowchart can be followed:

Filing
complaints
Received through various
channels, the queries are
collected into a single,
centralized system; and the Press
and Public Relations Division
finalizes the query by
responding the customer. There
is already a properly-working
communication channel required
to forward the queries, which is
also continually improved.
There are various channels for
our customers to share their
suggestions and complaints.
They can send us their
comments via call, e-mail or
by accessing our website,
Complaint and Complaint and
Suggestion Boxes in the
stations, Social Media
channels or by fax.
Solution and
Response
In order to resolve the
complaints through a quick,
correct and customer-oriented
approach, the concerned teams
regularly participate in continual
improvement and training
programs.
The queries will be addressed
with highly-experienced
teams and respond the
customers properly and duly
inform.
Registration of
Complaints and
Suggestions
With this code, applicants will
be able to track the status of their
queries. In queries submitted via
SMS, the applicant will be
informed back again via SMS
that the query has been received.
All submitted queries will be
registered in the system. The
Complaint and Suggestion
Management process is
continually improved by
examining in detail the
received queries. The Public
Relations official in charge
provides the customer with a
query tracking number
verbally on the phone in the
case of Call Centre queries
and by e-mail in the case of
online queries.
Detailed
Review and
Information
Informing our customers about
the estimated date of response
and how they could track their
queries in the meantime. The
queries will be resolved by the
qualified PR Officials of our
Call Centre. In case the situation
entails a detailed investigation,
the officials forward the queries
to the experts of each concerned
unit, who in turn handle the
queries.
Resolving all queries as quick
as possible and in the initial
channel. In cases requiring
detailed review, each query
will be forwarded to the
concerned departments
according to the theme /
contents and the solution will
be eventually notified to the
customer by the PR officials.
Continual
Improvement
In order to avoid the recurrence
of complaints, we would take
corrective and preventive actions
to be incorporated into the
processes. We also improve our
processes by regularly
monitoring most common
subjects of complaint.
In order to identify potential
areas for improvement and
enhance effectiveness we will
regularly reviews, reports and
continually improve its
complaint and suggestion
management process as well
as the systems used.

3.3.2 A strategy for developing a compliance management culture
 Ongoing professional development for staff emphasising on organisation’s
commitment to compliance
 Clearly defining people who are responsible for the compliance program
 Creating an awareness about reporting systems and processes
 Instilling knowledge and practice of required standard of conduct
 Establishing accountability and consequences of non-compliances
 Emphasising on the application of the program in relation to specific operating
environment
 Training staff on how the program will be maintained and monitored
 better communication (for example, effective standard of compliance is published);
training (may involve external providers)
 senior management focus on the communication of the value of compliance and
demonstration of management’s commitment to compliance?

3.3.3 Processes and procedures for identifying and managing compliance breaches,
including integration with existing policies and procedures
 customer complaints procedures
 Notifications procedures
 Establish performance standards
 Describing consequences and likelihood of compliance breaches
 Development of KPIs –
 Monitoring and evaluation of performance
 Take corrective actions
3.3.4 Processes and procedures for meeting compliance reporting requirements.
 Stakeholder participation complaints procedures
 Notifications procedures
 Establish post meeting communication procedures
 Documentation and information handling
 Development documentation for forecasting and implementation
 Monitoring and evaluation of performance
3.3.5 Performance indicators to be measured by the system so that it can be objectively
evaluated, for example:
 Individual compliance/non-compliance
 To be used to identify the areas that are required to be improved
 To identify the training needs
 To identify the type of training that is required to be provided
 Method that will be used to review and evaluate the performance after
providing the training
 Training numbers

To check what all areas he/ she has been trained, what methods of training
and coaching had been used and how many hours of training had been
provided to him/ her.
 Numbers of complaints
While reviewing his / her performance, we can check the number of
complaints have been reported against the candidate. This will help us by
providing the opportunity to identify the areas that he/ she need to be
trained into.
 Numbers of breaches
While reviewing his / her performance, we can check the number of
breaches (internal and external policies) he/ she has made in particular
timeframe. Staff who knowingly and recklessly breach compliance
obligations may be subject to applicable legislative penalties or disciplinary
procedures.
 Ratio of payroll errors/breaches to number of transactions
In financial areas even, it is must for us to review the ratio of payroll errors to the number of
transactions as it will give us opportunity to improve upon systems and processes through
training and coaching. (Training calendar can be developed based on breaches identified)

3.4 ADMINISTRATION
3.4.1 The budget required to resource implementation (including human resources for
developing, implementing, reviewing and maintaining the proposed compliance
management system)
Activity centres Amount
Development of Policy $5400
Communication of policy $2700
Compliance management $2300
Compliance monitoring $1200
Enforcement of compliance $2200
Reviewing of Compliance $1200
Total $15000
3.4.2 An action schedule outlining target milestones for all aspects of implementation,
including training, review and maintenance.
Administrative Milestones for Implementation
TAS
K
Week 1
Week 2
Week 3
Week 4
Week 5
Week 6
Week 7
Week 8
Week 9
Week 10
1 Identify
Compliance
X X

issue
2 Management
support
X X X
3 Manager
appointed
X X X X
4 Determine
scope
X X X X X
5 Roles
established
X X X X X
6 Agreed
objectives
X X X X X X
7 Budget
approved
X X X X X X
8 Workplace
audit
X X X X X X X
9 Consultant/
Advisor
X X X X X X X
1
0
Allocated
resources
X X X X X X X X
1
1
Communicati
on Plan
X X X X X X X X
1
2
Policy and
procedures
X X X X X X X X X
1 Feedback X X X X X X X X X

3 system
1
4
Benchmarks
established
X X X X X X X X X X
Number of
tasks due
0 1 2 2 2 1 2 2 1 1