Process Compliance Checklist

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 1. Process Compliance: Key Roles and Responsibilities.

• Compliance Managers. The role of Compliance Manager is dedicated to managing and controlling people involved in process compliance. It includes the following key jobs and responsibilities:
  • Develop a single process compliance framework for managing and monitoring project compliance procedures.
  • Manage specialists and coordinate analysts.
  • Approve process compliance documents and guides necessary for managing compliance.
• Analysts. The role of Analyst is dedicated to investigating potential issues of project compliance and providing reports and suggestions to compliance managers. It includes the following key jobs and responsibilities:
  • Conduct analysis and investigations of process compliance issues and exceptions and define reasons for process non-compliance.
  • Provide suggestions and recommendations on process improvements to compliance managers for approval.
  • Generate regular process compliance reports and submit them to senior management.
• Specialists. The role of Specialist is to do tasks and jobs assigned by compliance managers and also to follow recommendations and suggestions provided by analysts and approved by compliance managers. It covers the following key duties and responsibilities:
  • Directly do tasks and jobs related to managing process compliance.
  • Follow guidance and rules stated and provided by compliance managers.
  • Collaborate with analysts to perform tasks and jobs in accordance with approved recommendations and suggestions for process improvements.

2. Issue Management and Remediation.

• A systematic mechanism of investigation and remediation should be developed for handling identified issues or exceptions that create a risk of process non-compliance.
• Compliance managers need to collaborate with appropriate personnel and make task assignments for 1) investigation and 2) remedial actions (remediation).
• Investigation tasks should be assigned to analysts and tracked by compliance managers.
• Every task for remediation should be verified for effectiveness by compliance managers and then assigned to specialists for accomplishment.
• Any exceptions in issue management should be open till an effective plan of remedial actions is developed and ready for implementation by appropriate staff.
• Compliance managers need to track the status of identified issues and also provide process compliance control to unsolved issues and postponed exceptions.

3. Monitoring and Resolving Compliance Deficiencies.

• An enterprise-wide process monitoring system that provides visibility into process compliance status and highlights both solved and pending issues should be available and used for process compliance checking and tracking.
• This software system should have a capability to track process compliance model status, process ownership, assessment plans, etc. on graphical diagrams and charts that can be based on global information and display data in real-time mode. You need ...

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