COURSE OVERVIEW:

Welcome to the Design & Implement a Compliance Plan course. This program will equip you with the knowledge, frameworks, and practical tools required to design, implement, verify, and continually improve a compliance plan that ensures organisational policies and procedures are followed consistently and effectively. You will explore how compliance supports operational integrity, reduces risk, improves quality, and strengthens accountability. This course also examines how measurement, auditing, and continuous improvement methods sustain long-term adherence and drive organisational excellence.

This course begins by examining what a compliance plan is, how to achieve total compliance, and how to design and carry out a compliance plan that is structured, measurable, and aligned with organisational goals. You will explore how to establish a compliance plan through clear documentation, defined responsibilities, and accessible procedures. This section also examines the verification process for policies and procedures and explains why the ability to measure compliance accurately is essential for improvement.

The next learning area focuses on measurement and improvement. You will explore how measurements are key to improvement, how to measure specific attributes in an organisation, and how measurement informs decision-making. This section introduces the Policies and Procedures Improvement Cycle (PPIC), the compliance plan layout, and the commonly used compliance methods for policies and procedures. You will also examine how to use the compliance plan as an operational tool to guide behaviour, track performance, and reinforce consistent standards.

A further section examines self-assessment techniques. You will explore the benefits of using a self-assessment checklist, how to develop a checklist, and the steps for designing and processing it. This section also introduces the assessment preparation table, how to evaluate results, and how to use continuous improvement tools to measure compliance. You will explore the importance of metrics and measurements, the relevance of variation, and why using numbers supports objective and effective decision-making.

The program then examines the full suite of continuous improvement tools (Quality Tools). You will explore how to apply tools such as Brainstorming, Affinity Diagram, Matrix Diagram, Force Field Diagram, Cause and Effect Diagram, Check Sheet, Checklist, Tree Diagram, Pareto Chart, Sequence Flow Chart, Scatter Diagram, Run Chart, Control Chart, and Histogram to support compliance tracking, identify root causes, and drive performance improvement.

The next learning area focuses on systems audits as a cornerstone of compliance. You will explore how to conduct systems audits, the important components of successful audits, and why audits are not always successful. This section examines common reasons for lack of action on audit results, the auditing methods available, and the purpose of the systems audit in verifying performance, identifying gaps, and guiding corrective actions. You will also explore the role of the policy analyst as systems auditor, the tools used by auditors, and how to develop an audit plan.

A further section examines auditing procedures. You will explore the steps involved in pre-audit and post-audit conferences, the use of questionnaires, and why auditors may find a “procedure as a checklist” more beneficial than traditional questionnaires. You will also examine how to prepare an audit report that is clear, actionable, and aligned with organisational standards, and the importance of follow-up after improvements to ensure that changes are sustained and embedded into daily operations.

By the end of this course you will be able to design a comprehensive compliance plan, measure organisational performance effectively, use continuous improvement tools to strengthen compliance, conduct systems audits, analyse audit results, implement corrective actions, and maintain a cycle of ongoing improvement that ensures policies and procedures are consistently followed and organisational integrity is preserved.

LEARNING OUTCOMES:

By the end of this course, you will be able to understand:

• What is a compliance plan?
• How to get to total compliance?
• How to design and carry out a compliance plan?
• How to establish a compliance plan?
• The verification process for policies and procedures
• How measurements are key to improvement?
• How to do measurements of specific attributes in an organisation?
• The policies and procedures improvement cycle (PPIC)
• The compliance plan layout
• The commonly used compliance methods for policies and procedures
• How to use the compliance plan?
• The benefits of using a self-assessment checklist
• How to develop a self-assessment checklist?
• The steps for designing and processing a checklist?
• The assessment preparation table
• How to evaluate the results?
• How to use continuous improvement tools to measure compliance?
• The importance of metrics and measurements
• How to perform measurements of specific attributes in an organisation?
• The importance of variation
• The importance of using numbers to help make decisions
• The continuous improvement tools (Quality Tools)
• How to conduct systems audits?
• The important components to successful audits
• Why audits are not always successful?
• The reasons for lack of action on the audit results
• The auditing methods
• The purpose of the systems audit
• The role of policy analyst as systems auditor
• The tools of the auditor
• The audit plan
• The pre-audit and post-audit conferences
• The questionnaire
• Why the auditor may find the "procedure as a checklist" more beneficial than a questionnaire?
• The audit report
• The follow up after improvements

COURSE DURATION:

The typical duration of this course is approximately 2-3 hours to complete. Your enrolment is Valid for 12 Months. Start anytime and study at your own pace.

ASSESSMENT:

A simple 10-question true or false quiz with Unlimited Submission Attempts.

CERTIFICATION:

Upon course completion, you will receive a customised digital “Certificate of Completion”.