BSBCOM603Plan and Establish Compliance Management Systems1
Table of ContentsPart I3Research Plan3Research Methods3Research Budget Allocation 5Part II6Compliance Requirements6Compliance Effects12Compliance Systems 15Part III19Written Reflection192
Part I:1.Research PlanCharity-Care is based in Brisbane and is a public company that is limited by guarantee underthe Corporations Act 2001. It is registered as a charity under the Collections Act 1966. Theorganization has grown quickly to its current size from its single centre opening just twoyears ago. This report is conducting research into and proposing an appropriate compliancemanagement system for the company. The following are the tasks that need to beundertaken:1.Research if Charity-Care is complying with its External, Internal and Industryrequirements.2.Identify the external, internal and industry requirements3.There are existing policies documented by the Charity-Care, but not in asystematic manner. Those policies are to be identified, grouped and explained inthe report. 4.A systematic compliance requirements will provide the company a structuredcompliance policy and easy to update. The compliance policy will then beconducted to all related staff through briefing and training programs to ensurethe message is delivered and properly implemented. 2.Research MethodsQuantitative and Qualitative research methods will be conducted in this report. Quantitative Research:It is used to quantify the problem by way of generating numerical data or data that canbe transformed into useable statistics. It is used to quantify attitudes, opinions,behaviours, and other defined variables – and generalize results from a larger samplepopulation. 3
Survey/ QuestionnairesPre/post testsExisting DatabasesStatistical AnalysisQualitative Research:It is used to gain an understanding of underlying reasons, opinions, and motivations. Itprovides insights into the problem or helps to develop ideas or hypotheses for potentialquantitative research. Qualitative Research is also used to uncover trends in thought andopinions, and dive deeper into the problem. ObservationInterviewsGroup DiscussionOther non-statistical methodsStatistical AnalysisIn the case of Charity-Care, the following methods were used:Assess the Board, Management and Staff of understanding the relevance andapplication of obligations and responsibilities, in terms of awareness,communication and training program,Assess risk assessments and risk treatment plans,Identifying and mitigating areas of risk exposure that could arise from non-compliance, such as the gap analysis,Assess organizational compliance framework performance,Review reports related of compliance systems, legislative changes andcompliance breaches,Review results of training programs have developed.