Establishment of system
The scope of a compliance system within an organization is to mark a boundary and framework within which each variable functions. While implementing compliance management systems there is need to form a framework and structure such that each and every member of the organization can contribute to it. Australian compliance systems require organizations adopt processes and procedures according to laid down compliance structures. Health safety norms, consumer safety regulations, company management frameworks and so on. compliance systems needs to be established by growing a compliance related culture within the organization. The scope of the current organization requires training and developing necessary skills amongst individuals for establishing the compliance system. The following steps will be incorporated in order that compliance management system can be applied;
i. Setting Standards: Australia follows international compliance based standards and management systems that enable them to research qualitative and quantitative data with respect to the organization such that the system can be established in a proper way.
ii. Gap Analysis: The implementation program in the current organization will include evaluation of current compliance management systems and then analyzing the relevant gap in such systems.
iii. Employee Training: While introducing of the new system all employees and other relevant stakeholders needs to be trained. All operation management personnel will be taken into consideration for applying of compliance systems.
iv. Communication of Procedures: All components of compliance management systems and their applications need to be clearly communicated such that there are no discrepancies or errors in applying.
v. Setting Performance Indicators: Each and every department will need to have key performance areas which will need to be accommodated.
vi. Allocation of Duties: Duties of each person have to be specifically communicated such that performance of people can be enhanced. While implementing a compliance system responsible person, managers from each department has to be identified and responsibilities given to them. Establishing compliance management system has to be proceeded by way of determining key areas of application, handling duties and responsibilities and allocating tasks to employees for successful implementation.
2. a) Monitoring Methodology
Effective monitoring and application of compliance management system needs to have proper monitoring methodologies. Monitoring methodologies will include approaches that help in monitoring of performance systems. While the entire organization is expected to provide key deliverable and attain overall objectives of compliance management systems, certain methods and approaches has to be followed. The external consultant will follow the following methods for attainment of overall objectives as below;
i. Setting of Key Performance Indicators: Monitoring methodologies include processes and systems that are included as a part of system application procedure such that appropriate success on the desired compliance system can be achieved. Monitoring methodologies start with setting of key performance indicators (KPI) for each and every department as marketing, finance, resource allocation, production and so on.
ii. Setting Departmental Targets: For attaining overall compliance procedure the entire organization needs to adhere and meet the specific requirements. All departments has to comply with such procedures as specified, as marketing department needs to adhere by consumer safety acts, authenticity of information and various other similar acts and regulations. Finance departments have to follow diligently standards specified by Australian Accounting Boards in regards to the disclosure. Production department has to abide by environmental standards and norms such that it is able to attain standardized goals and aims. All processes and departments will have indicators which need to be met, for overall organization to meet the standardized procedure and processes.
iii. Allocating Responsibilities: Each and every department will be allocated responsible managers and leaders, who will be in-charge of handling employee responsibilities. These managers will be trained such that they can understand and analyse progress of each and every employee in regards to their performance. Each and every managers will have targeted work sheets which they will need to fill-up timely for compliance procedures and work progress.
iv. Regular Feedback: Implementing compliance is not a one day task or procedure, hence as a consultant regular feedback regarding the progress of work has to be done such that work-in-progress and success of implementation can be evaluated.
v. Recognizing performance: Each and every department’s performance needs to be evaluated in a timely manner and then proper recognition has to be given for departments that are able to attain targeted objectives. Giving recognition will motivate and provide enthusiasm for proper application and implementation. This will enhance and help speed-up application of compliance management systems.
b. Results and Analysis
Once compliance management systems has been implemented, proper monitoring technique has to be ascertained. Monitoring techniques and methodologies allows for implementation procedure and in reaching desired results. The scope of the current organization, has implemented a compliance management system and has incorporated a system for monitoring methodology as well, but results and analysis can greatly vary. Results from mentoring activities and timely reporting for feedback provides the following analysis:
i. Casualness in Application: While each department was trained to implement and include compliance system within their work procedure, there has been immense casualness with its application. Each departmental managers though were very serious regarding work management of the compliances system, however employees showed immense reluctance while implementing the same.
ii. Inability to attain results: The analysis of results reflects that the achievement was far from expected targets and norms. There was huge variation and deviation in data which is why the implementation procedure has been deemed to have not achieved its desired outcomes.
iii. Not able to create desired results: The compliance management system has failed to attain the desired results due to which a fresh plan needs to be designed. A new plan for implementation will enable the organization to cater to and meet high standards in compliance management systems.
Conclusion
The consultant has been successful in communicating the desired compliance management system outcomes and objectives; however it has not been able to attain success in the area. Managers and leaders in the organization have worked in a disciplinary manner however, integration of compliance systems with organization culture was not done properly which led to its gap in attainment. Some of the recommendations that can allow for better application procedure are;
- Make specific employee objectives with specific targets.
- Communicate targets to entire team highlighting the benefits to the organization.
- Make specific revisiting plans such that organizational goals can be met.
