Compliance Program Roadmap Recommendation

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COMPLIANCE PROGRAM ROADMAP
This roadmap is intended to provide an estimate for the sequence and timing of Compliance Program implementation activities over a 12 month + period.
Pre-Kickoff
Month 1
Month 2
Month 3
Months 4-6
Months 7-9
Months 10-12
2. Executive
1.Compliance
3. Update job
compliance
program strategy /
descriptions to include
Tone at the Top
communication
mission
compliance
workplan
responsibilities
2. Standardized risk
1. Compliance
assessment process
Risk Assessment
risk assessment
3. Regulatory change
management process
3. Compliance
1. Anonymous hotline
Lines of
communication
2. Hotline
Communication
strategy
management process
3. Launch Management
1. Finalize Compliance
2. Designate a
Oversight and
Compliance Committee
Program Document
Chief Compliance
Responsibility
Officer
4. Design Board of Directors reports and dashboards
3. Implement enterprise-
4. Inventory and review
Policies &
1. Approve Code of
2. Enterprise-wide policy
wide policy and
policies and procedures
Procedures
Conduct
and procedure template
procedure structure and
process
2. Develop a
1. Initial Board
4. Inventory and review
compliance training
3. Develop training
Training
training
functional area training
program and
disciplinary standards
commence trainings
2. Third-party oversight
1. Compliance monitoring
Monitoring
and monitoring program
methodology and
program
1. Commence
compliance audits
2/3. Annual compliance
Auditing
4. Develop audit
5. Develop a third-party
with DHS staff
audit workplan and
reporting process
audit program
ongoing process
1. Track, trend and
Response and
follow-up on reported
2. Compliance issue
3. Regulator
Prevention
compliance issues
reporting dashboard
communication log
3.
Update administrative
1. Include disciplinary
2. Include disciplinary
Enforcement and
policies to include
standards in Code of
standards in trainings
disciplinary procedures for
Discipline
Conduct
compliance violations

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