Implementation Planning for Compliance Management System

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