Compliance Management System Assessment 1

Running head: COMPLIANCE MANAGEMENT SYSTEM ASSESSMENT 1
Compliance Management System Assessment 1
Name of the Student
ID of the Student
Name of the Trainer
Assessment Due Date
Actual Submission Date
Author’s note

COMPLAINCE MANAGEMENT SYSTEM ASSESSMENT 11
Executive Summary
The primary objective of the report is to bring about an analysis of the compliance
requirements of a selected organisation. The organisation chosen for this report is Charity
care organisation, which is a not-for-profit organisation. The report structures around giving a
brief introduction at the beginning and then it is followed by the different compliance
requirements. These compliance requirements are internal, industry specific and external. The
next section talks about the risks required for being non-compliant and the penalties that are
imposed for breaching the compliance requirements. The last section of the report describes
about a research plan and focusses on the development of survey tools for the purpose of
collecting the data from the organisation. Finally, the extent up to which the organisation
meets its compliance requirements is analysed with the help of the compliance performance
data of the organisation.

COMPLAINCE MANAGEMENT SYSTEM ASSESSMENT 12
Table of Contents
Introduction................................................................................................................................3
Research and identification of compliance requirements..........................................................3
Internal Compliance Requirements............................................................................................3
External Compliance requirements............................................................................................4
Compliance requirements for the specific Industry...................................................................5
Areas of the organisation most affected by compliance requirements......................................6
Organisational compliance data.................................................................................................6
Risks involved for non-compliance with requirements.............................................................7
Penalties for breaching compliance requirements......................................................................7
Ways of ensuring ongoing compliance with the requirements..................................................8
Available options for a compliance management system..........................................................8
Comparison criteria of the compliance options adopted by the company and suitable
recommendations.......................................................................................................................9
Summary..................................................................................................................................10
Reflection on the Research Plan..............................................................................................11
Type of Research......................................................................................................................11
Research tasks..........................................................................................................................11
Development of research plan..................................................................................................12
Development of survey tools...................................................................................................12
Analysis of data........................................................................................................................13

COMPLAINCE MANAGEMENT SYSTEM ASSESSMENT 13
Conclusion................................................................................................................................13
References................................................................................................................................14