Contents

Executive Summary.........................................................................................................................2
Establishment of the System............................................................................................................2
Management information system.................................................................................................2
Defining components of compliance management system and highlighting required documents
......................................................................................................................................................2
The primary specifications of each component include..................................................................3
Key personnel in this regard include............................................................................................3
The most suitable personnel.........................................................................................................3
Assignment of key responsibilities..............................................................................................4
Staff training................................................................................................................................4
Monitoring System through interaction with three managers......................................................5
Results and Analysis........................................................................................................................5
Conclusion.......................................................................................................................................5
Executive Summary
The management report suggests steps that Charity-Care needs to adopt for developing and
implementing a robust compliance management system. The proposed management information
system for Charity-Care has five major components or parts including people, business,
processes, data, hardware, and software. Charity-Care would use various monitoring methods
such as technical monitoring, assumption monitoring, financial Monitoring and impact
Monitoring. The results of the study suggest that it is enabling the company to comply with
Corporations Act 2001 and Queensland Collections Act 1966.

Establishment of the System

The section highlights the steps taken to implement compliance management plan for Charity-
Care. The first step in this regard is the development of management information system for
Charity-Care.

Management information system

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.

Defining components of compliance management system and highlighting required

documents

The second step in this case is to define the primary components of compliance management
system for Charity-Care along with highlighting the major documents that the company requires
in this regard.

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)
 Risk management system
 Notification system

The documents required in this regard include risk management form, action plan, schedule,
workflow plan, and auditing documents.
The third step in this case is to define the primary specifications of each component of
compliance management system for Charity-Care.

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.

The next step in this regard is to highlight key personnel required for successful implementation
of compliance management system for Charity-Care.

Key personnel in this regard include

Personnel requirements for staffing include

Personnel
CEO
Business Manager
Warehouse manager
Community-Centre manager
Record-keeper
Payroll clerk
Accounts receivable clerk

Likewise, the study highlights the most suitable personnel to target in the next step.

The most 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.

Assignment of key responsibilities

The next step in this context is to assign key roles and responsibilities to the staff of Charity-Care
for implementing compliance management system.

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 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

The last step of the compliance management system for Charity-Care is to train its staff and to
define the primary objectives of training.

Staff training

Names: Position: Assessor:

HR manager Community-Centre manager CEO
Compliance manager
Operations manager

Responsibilities Required Identified gaps When? Training

(Insert tasks) knowledge (Insert (What training
(When provider?
knowledge required will be required to
will this (Who will
to use KMS) cover gaps?) training be
take undertakin
place? g this
Over what training?)
timeframe
?)
Managing internal Knowledge about Communication skills Six months External
community managing organizational training trainer
matters internal matter
Managing external Knowledge about Technical trainings Three months Auditor
community managing organizational
matters external matter
Managing charity Ability to deal with Financial Six months Finance
funds monetary data and having management skills manager
knowledge regarding its and training
use
Dealing with Ability to deal with Customer care Four months Human
clients clients training and resource
communication skills manager
training

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.

Monitoring System through interaction with three managers

Charity-Care would use various monitoring methods such as

 Technical monitoring.
 Assumption monitoring.
 Financial Monitoring.
 Impact Monitoring.

Results and Analysis

The compliance management system is enabling Charity-Care to comply with industry
regulations along with internal and external organizational regulations. The system is enabling
the company to comply with Corporations Act 2001 and Queensland Collections Act 1966.

Conclusion
The compliance management system is helping Charity-Care to comply with Corporations Act
2001 and Queensland Collections Act 1966. The specific problem components include poor
financial management and recordkeeping systems. The study suggests Charity-Care to
implement the proposed compliance management system to improve its performance.