BSBCOM603
Plan and Establish Compliance Management Systems
1
Table of Contents
Part I
3
Research Plan3
Research Methods
3
Research Budget Allocation 5
Part II
6
Compliance Requirements
6
Compliance Effects
12
Compliance Systems 15
Part III
19
Written Reflection
19
2
Part I:
1.
Research Plan
Charity-Care is based in Brisbane and is a public company that is limited by guarantee under
the Corporations Act 2001. It is registered as a charity under the Collections Act 1966. The
organization has grown quickly to its current size from its single centre opening just two
years ago. This report is conducting research into and proposing an appropriate compliance
management system for the company. The following are the tasks that need to be
undertaken:
1.
Research if Charity-Care is complying with its External, Internal and Industry
requirements.
2.
Identify the external, internal and industry requirements
3.
There are existing policies documented by the Charity-Care, but not in a
systematic manner. Those policies are to be identified, grouped and explained in
the report.
4.
A systematic compliance requirements will provide the company a structured
compliance policy and easy to update. The compliance policy will then be
conducted to all related staff through briefing and training programs to ensure
the message is delivered and properly implemented.
2.
Research Methods
Quantitative 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 can
be transformed into useable statistics. It is used to quantify attitudes, opinions,
behaviours, and other defined variables – and generalize results from a larger sample
population.
3
Survey/ Questionnaires
Pre/post tests
Existing Databases
Statistical Analysis
Qualitative Research:
It is used to gain an understanding of underlying reasons, opinions, and motivations. It
provides insights into the problem or helps to develop ideas or hypotheses for potential
quantitative research. Qualitative Research is also used to uncover trends in thought and
opinions, and dive deeper into the problem.
Observation
Interviews
Group Discussion
Other non-statistical methods
Statistical Analysis
In the case of Charity-Care, the following methods were used:
Assess the Board, Management and Staff of understanding the relevance and
application 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 and
compliance breaches,
Review results of training programs have developed.
