BSBCOM603 PLAN AND ESTABLISH COMPLIANCE MANAGEMENT SYSTEMS 1

BSBCOM603 PLAN AND ESTABLISH COMPLIANCE MANAGEMENT SYSTEMS

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BSBCOM603 PLAN AND ESTABLISH COMPLIANCE MANAGEMENT SYSTEMS 2

BSBCOM603 PLAN AND ESTABLISH COMPLIANCE MANAGEMENT SYSTEMS

Compliance Management System (Implementation Plan)

Specifications

A. Management Information System Requirements

The major requirements regarding a management information system include hardware and

software. The most important thing in this regard is a robust IT infrastructure that enables to

integrate various organizational departments. The primary aim of a management information

system for Charity-Care is to keep and manage internal and external data of the organization.

The proposed management information system for Charity-Care has five major components or

parts including people, business, processes, data, hardware, and software. It means that it is

important for Charity-Care to have a robust infrastructure to accommodate management

information system along with employee skills and abilities to incorporate this system.

Therefore, Charity-Care has to train its staff for successful implementation of management

information system and to cultivate the best advantages of this system in all aspects.

B. All components of the compliance management system

The components of proposed compliance management system for Charity-Care include

 Secure workflow

 Concise action plan

 Security management (granular)

 Auditing system

 Dashboard (for outside parties)

BSBCOM603 PLAN AND ESTABLISH COMPLIANCE MANAGEMENT SYSTEMS 3

 Risk management system

 Notification system

The documents required in this regard include risk management form, action plan, schedule,

workflow plan, and auditing documents.

C. Specifications of each component

The primary specifications of each component include

 Secure workflow: It would make it easy for Charity-Care to ensure secure

communication

 Action Plan: It would help Charity-Care to plan its activities actively.

 Security Management: It would allow Charity-Care to secure its business

 Auditing System: The system would highlight issues in Charity-Care

 Dashboard: It would allow outside stakeholders to interact with organization.

 Risk management system: The system would highlight risks and propose risk mitigation

strategies.

 Notification System: The system would notify events and issues collectively.

1. Personnel

A. Personnel Requirement for Staffing

Personnel requirements for staffing include

Personnel
CEO
Business Manager
Warehouse manager
Community-Centre manager
BSBCOM603 PLAN AND ESTABLISH COMPLIANCE MANAGEMENT SYSTEMS 4

Record-keeper
Payroll clerk
Accounts receivable clerk

B. Suitable Personnel

The most suitable personnel from the list available in the case study include community-center

manager. A community-center manager plays the key role in this regard. The primary

responsibility of the community-center manager in this case to help Charity-Care to manage its

internal and external business requirements.

C. Assigning key responsibilities.

Personnel Responsibility
CEO For managing organizational operations and

related task force.

Business Manager A business manager is required for organizing

business operations.
Warehouse manager Warehouse manager is responsible for

managing warehouse operations and related

tasks.
Community-Centre manager A community center manager plays a

significant role for managing internal and

external operations of Charity-Care

Record-keeper The primary role of record keeper is to update

the organizational record on compliance

management system
Payroll clerk The primary job of a payroll clerk in this

regard is to update monetary data by fulfilling

 BSBCOM603 PLAN AND ESTABLISH COMPLIANCE MANAGEMENT SYSTEMS 5

compliance requirements in this regard.

Accounts receivable clerk The major role of an accounts receivable clerk

is to receive charity and gifts to upload on the

management information system

Training Needs

A. Training Needs Analysis for three employees

Designations: Position: Assessor:

HR manager Community-Centre manager CEO

Compliance manager

Operations manager

Responsibilitie Required knowledge (Insert Identified gaps When? Training

s knowledge required to use (What training will (When provider?

(Insert tasks) KMS) be required to cover will (Who

gaps?) this will be

trainin undertaki

g take ng this

place? training?

Over )

what

timefra

me?)
 BSBCOM603 PLAN AND ESTABLISH COMPLIANCE MANAGEMENT SYSTEMS 6

Managing Knowledge about managing Communication skills Six months External

internal organizational internal matter training trainer

community

matters
Managing Knowledge about managing Technical trainings Three Auditor

external organizational external matter months

community

matters
Managing Ability to deal with monetary data and Financial management Six months Finance

charity funds having knowledge regarding its use skills and training manager
Dealing with Ability to deal with clients Customer care training Four Human

clients and communication months resource

skills training manager

What will be the expected benefit for the employee of this training?

The employee training would add skills to employees and it would improve organizational

productivity and performance. In the same manner, training would improve organizational

internal environment and external environment of the organization. Moreover, the training

would make it possible for Charity-Care to improve its performance in every aspect.
How will the success of the training be monitored?

The success of this training would be monitored using the employee evaluation form. It is

would make it easy for the managers to evaluate the impact of these trainings on organization.

2. Processes

A. A complaints management system

BSBCOM603 PLAN AND ESTABLISH COMPLIANCE MANAGEMENT SYSTEMS 7

A compliant management system would make it easy for the company to manage complaints of

staff.

B. Compliance Management Culture

The strategy to develop compliance management culture in Charity-Care is to transformational

leadership strategy.

C. Processes for Managing Compliance

The process for managing compliance include

 Planning compliance

 Organizing compliance

 Controlling compliance

 Introducing activities to support compliance

D. Compliance reporting requirements

The procedure for meeting compliance reporting requirements include

 Evaluating needs of reporting

 Planning documentation

 Preparing reports

 Dealing with Corporations Act 2001 and Queensland Collections Act 1966

E. Procedures for internal and external liaison processes

Processes for internal and external liaison processes include

 Evaluating internal business requirements

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 Evaluating external business requirements

 Aligning internal and external goals

 Implementing strategies

F. Performance indicators

i. Individual Compliance

It is the part of compliance plan

ii. Training numbers

Training number is 5

iii. Number of complaints

According to complaint process

iv. Number of breaches

Management Information System would record.

v. Ratio of payroll errors

Payroll errors ratio is highlighted by calculating errors.

Administration (Budget and Action Schedule)

A. Budget

Activity Costs
Human resources for developing $40,000
Implementing costs $60,000
Reviewing costs $30,000
Cost of maintaining the proposed compliance $100,000
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management system

B. Action Schedule

The action schedule include target milestones

 Planning of compliance management system for Charity-Care

 Designing compliance management system for Charity-Care

 Implementing compliance management system for Charity-Care

 Training of staff to deal with compliance management system for Charity-Care

 Reviewing compliance management system for Charity-Care

 Controlling compliance management system for Charity-Care

 Monitoring compliance management system for Charity-Care

 Maintaining compliance management system for Charity-Care

 Evaluating compliance management system for Charity-Care

 These milestones would make it easy for Charity-Care to implement the proposed

compliance management system.