Compliance Management and its Objectives

Discuss about the Environmental Management and Compliance Requirement.

It is the process in an organization where the internal and external requirements are followed. These requirements will include the guidelines, rules, policies, standards or procedures (Arago 2016). This process aids many businesses in fulfilling the business requirements as well as assuring the businesses that all these rules have been followed.

Though this process traditionally incorporated only the external requirements, this should not be the case since the broader definition of compliance should include the internal requirements.

1. Types of compliance requirements.

Some of the objectives of this type of compliance include:

1. Providing a structure or plan that will aid in achieving compliance(Breaux 2017).
2. Providing a declaration confidently that all the internal standards, policies controls, and codes are fulfilled.

Some of the objectives of this type of compliance include:

1. Providing a structure or plan that will aid in achieving this type of compliance.
2. Providing a declaration confidently that all the external requirements are followed.

A number of methods can be used to achieve this type of compliance (Arago 2016). The most rudimentary method will involve the management periodically and manually signing off the compliance with the external tools that can be used. More exhaustive methods will include regular confirmations of the compliance by both the entire staff and management and also including of non-compliance risks into the continuing risks.

1. The informed/instructed consent forms must be completed accurately.
2. Using the accurate instructed consent forms.
3. The applicant has signed the instructed consent forms.
4. Proper storage of the instructed consent forms following the CrimTrac guidelines and requirements.
5. A specific and valid reason must be provided about the informed consent form.
6. A proof of identification must also be provided following the CrimTrac guidelines and requirements. This should provide evidence of where they were seen, signed and dated.
7. The correct administration or personnel ensure that the privacy of the check subject is highly maintained following the CrimTrac guidelines(Breaux 2017).
8. The informed/instructed consent and proof of identification are done before application of the police inspection through the client portal.
9. The police inspection will only be shared with the person in question and not any other third party.

1. Areas affected

The fifty employees hired by the Charity-Care group are often assisted by volunteers in the community to do various charity activities. Charity-Care offers two main community services that include the community care and the computer care.

• The community- care has two offices, each 100sqm operating in Spring Hill on North side of Brisbane and Wooloongabba which is on the south side of Brisbane. This group offers to counsel the people in the community, rent loans and a 20-dollar supermarket gift voucher. Both this centres have their own manager, clerk, receptionist and four counselling employees. The centres have their own waiting rooms, two counselling rooms and the staff area that includes the kitchen. All the private information of the people seeking to be counselled is recorded in a secured database system and are accessed from other computers(Bekefi 2013). The staff volunteering often operates in the call centres and visit the local households and businesses for donations.
• The computer-care is a retail business in the periphery of the CBD[2] that deals with selling of ex-government computers to the needy people for education purposes. The shop which is 70sqm is the selling Centre has a 1000sqm warehouse and a repair centre in Fairfield, an area just outside Brisbane. When 50 percent of the computers are picked from the shop another 50 percent is delivered from the warehouse. Computers that need repairing are dropped in the warehouse and later picked up from the warehouse after repairing. The costs of repairing are made by the customers. This initiative has one single manager who manages both the warehouse and the shop. The shop has fifteen employees while the warehouse has eight employees(Munro 2012). The service centre has four employees. The head office for this initiative is located in Fortitude Valley. This is where the offices of the chief executive officer and the business manager are located. This centre has a boardroom, waiting area and an office where the bookkeeper, the clerk, the accountants have their workstations.

1. Risks

The Chief executive officer explains that this organization has expanded at a very quick rate that even the management and the compliance requirements were not able to go hand in hand. Several issues were indicated especially in the final audit that made the stakeholders of the association feel uneasy on how the entire association was managed (Thomas 2017). They pointed specifically on the process of handling the cash transaction and the process of keeping the records of this transactions. The manager is focused on ensuring the best service to the clientele. He makes sure that all the clienteles are looked after but does not even really worry about the issues of compliance or control.

  . Adequate focus

  . Appropriate thinking and active techniques in management processes.

  . Balancing the cost of risk management and the expected benefits.

  .  Making contingency plans in case a threat is realized.

 In case Charity-care non-compliance issues are serious enough, the following measures will have to be done:  

• Sanctions – These include financial penalties or a temporary suspension of the charity’s ability to issue official donation receipts.
• Revocation of the charity’s registration and loose most of the disadvantages like issuing of receipts.
• Revocation tax

The chief executive officer stated that many policies had already been documented and just little training and motivation will help implement the risks appropriately.

The policies included the following:

• Credit card policy
• Expense payment policy
• Financial maintenance policy
• Employment equity policy
• Health and safety policy
• The expenses policy

Methods for Achieving Compliance

This initiative will maintain all the procedures so that all the risks faced can be clearly seen and dealt with by:

1. Context establishment: a strategic and risk management context against the process of managing the risks in the Charity-Care must be well established(Stafford 2002). The criteria and structure for analysing the risks must be well defined.
2. Risk identification: identifying what, how and why the events emerge will aid in other evaluations.

1. Risk analysing: this will involve determining the controls and analysing of risks by considering the likelihood and consequence as per the controls. This analysis should consider various consequences(Weil 2010). The likelihood and consequence will be used to obtain a rating of the risk.
2. Risk treatment: in case of higher risks in Charity- Care, then they will need to develop particular risk management plan.
3. Monitoring and reviewing: the management system should well be monitored and reviewed and this should be done simultaneously.
4. Appropriate communication and consultation should be done at each stage of managing the risks.

1. i) Cost, if a new program software is established the company will incur high cost.
2. ii) Effectiveness, there will be effectiveness if the employees are advice on how to use the system.

iii) Efficiency, there will be efficiency if the team leader is effective.

Iv) Feasibility, ensure that the organizational compliance management systems are in line with the company’s culture.

Match to organization culture, since there are no new employees there will be need to do the re-organizational culture.

These are subclasses of information filtering system that seek to forecast the preference or rating that a user gives to a product. These systems are now common in various areas and some common applications used include music, movies, news, research articles and other products (Bigliani 2013). Furthermore, there are still other recommender systems for experts, collaborators, restaurants, twitter pages, and financial services as well as the online dating.

1. How to do the survey?

In a simpler way, then we will not include more than one URL in that email message as well as texts such as, which restaurant our group will hold the conference. To attract the attention of customers then a certain type of formatting of the message will need to be used (Kyzenko 2017). You will also need to follow up everyone and send reminders to those who did not respond. It will also be bad to ask the audiences especially same people to respond each and every time. So GoSurvey will be appropriate for this kind of task.

1. Where will the survey be conducted?

All the aforementioned applications work perfectly in web browsers. In any case, if most of your audience are at the age of 20s and are suitable for responding with smartphones then this platform is the most suitable for testing and conducting the survey. Survey Gizmo is one the most efficient (Rajan 2017). Campaign Monitor Get Feedback works well in case you need to share ‘’take my survey” via the social media, then you will need to notice that there are various features of the applications and not every person will post a survey on Google plus. Even when sharing of social media may be supported it just means that maybe you can construct a tweet on your behalf and nothing else.

1. When should the survey cease receiving inputs?

It is good to note that it is of no use that you waste somebody’s time if the results are not looked at (Lange 2013) .  All the mentioned surveys can easily be closed by the applications.  Some will accept responses till months” end while others such as So GoSurvey allow ceasing when you have enough responses. This requirement may not be applicable to those surveys done as feedback processes, and this may include customer satisfaction responses sent after staying at a hotel.

1. Looking at the different formats of data.

Types of Recommender Systems

Open-ended data may be the most preferred (Fairman 2004).  Applications will help in supporting validation of data in fundamental forms such as the email Id, if you have specific requirements then you have to spend more. Example of such a survey is the Fluid surveys.

1. Decorating the results.

All the applications will do an impressive job of presenting the findings and results in well-labelled graphs and charts. Some will even do impressive jobs in making the analysis. Survey Gizmo will even perform text analysis on some questions and then automatically send an email to a specific email address with a response to the survey (Bigliani 2013).

The applications maybe overrated but if you do care about getting information on the customers’ feelings then you will have to acknowledge the use of these applications.

1. Internal compliance needs as per the organization

Charity-Care is committed to offering equal employment opportunities to all the people in the community (Lange 2013). This will include all the women, men and women of Torres Strait Island and Aboriginal descent, disabled people and people of all ethnic groups. Equity in employment will mean that there is equal training, employment as well as promotion.

Charity-Care will ensure that there is no discrimination in its structure as an organization. The charity- care’s EEO policy means that:

• There will be fair and appropriate procedures for recruiting.
• There will be non-traditional job opportunities for both men and women.
• Members of specific groups such as the Torres Strait Island and Aboriginal descent, the disabled people and people from different groups will have access to jobs.

• Equal advancement to all the employees in the organization, no barriers whatsoever.
• No discrimination during motivation and promotion.
• Equal and appropriate training to all the staff in the organization.
• Allowing employees to take part in making decisions.

All the inquiries posed by the customers must be handled in an appropriate, diplomatic and efficient way.

1. Gather all information from the customers, no opinion or comment should be offered(Kyzenko 2017).
2. Offer confirmation that you or any other representative will respond after twenty-four hours.
3. Critically review the customer file.
4. If it is an error in data entry:

Make a report to the supervisor of the matter via email, asking confirmation of making the correction.

After confirmation, inform the customer of the adjustments by contacting him/her.

1. b) If the matter is not related to any errors in data entry:

                – Examine diversely all the information providing regarding the situation.

                – Highlight the possible reasons or causes of the situation

                – Make a report to the supervisor of the matter via email, asking him/her to manage the situation or provide a directive on how to handle it.

• Definition

A budget is a plan that is used to estimate expenditures and revenues for a particular period of time. This is both a planning and management tool and does not only deal with the accounting procedures in an organization. It is essential in resource allocation (Rajan 2017). The budget allocation can be defined as the amount of funding especially financial that are set apart to every line of expenditure. It indicates the number of resources or funding that a particular organization is ready to spend on a specific program. This should not be exceeded at any time.

• Development of the budgetary allocations.

These budgets are usually developed for a period of 12 months. The revenues are the first items that are estimated so that the level of resources available the next year can be determined (Munro 2012). By obtaining an estimate of the resources then, budgetary allocations will be assigned each category in the budget. During this process of developing budget allocations, all requirements of the organizations are taken into account and appropriate decisions made on where to effectively allocate the resources.

• Budget category allocations

Handling Customer Inquiries and EEO Policies

There is usually a division of budgets into program units ensuring that the allocation of the resources can be easily identified (Fairman 2004). A certain budget category can have several allocations of the budget, referred to as the line items, with specific requirements that support the entire program.

• Adjusting budgetary allocations.

The allocations of the budget may not always be efficiently estimated. This occurs especially when funding for reoccurring or predictable expenses has not been included in the budget. A remedy for this is the modification of the budget after just adopting it to incorporate the shortfall (Stafford 2002). Corrections for this problem will include transferring funds from other categories or even from the savings of the organization. Sometimes the estimates of the budget allocated might be insufficient, even the revenues can also be underestimated. This occasionally happens if there is a shortfall in the economy just after the budget had already been adopted, and thus affecting revenue. Reduction of the budget allocated will be a solution to inadequate revenues, so that the expenditures incurred will not exceed revenues.

• Monitoring

There should be a routine monitoring of this allocations so that the budget meets with the expenditures (Bekefi 2013). A good tracking system for the purchases and bills should also be made. These purchases and bills should be matched on regular basis against the budget allocated so as to ensure there is adequate funds for the remaining period of the budgeted year.

1. Type of research undertaken

This is the research done for human, animal or plant kingdom welfare and is done for knowledge enhancement with no immediate commercial benefits (Bekefi 2013). The main motivation of this type of research is to expand knowledge. These researches are considered time-consuming and costly.

1. Developing a research plan

A research plan includes the purpose and objective of that particular research (Munro 2012). It will also include the outputs and how they are used, the outputs will include the sources of data required, means on how the data is collected and analysed, the scale of this particular research, all the resources available and a clear indication of the stakeholders in the process.

1. The development of survey tools to collect required data to select compliance

Through observation and interviewing stakeholder the Charity care will find way of improving and areas to be improved in the compliance management system.

Qualitative and quantitative analysis

• This data analysis method ensures there is richness and precision of the data.

The main aim of this analysis is to ensure there is a complete and detailed prescription. It allows for clear distinctions to be made since it does not necessarily induce the data into a countable number of distinctions (Bekefi 2013). Any ambiguities, coming from the human language can easily be identified. For a particular case, red can be used to signify colour or political categorizations. In qualitative analysis, both scenarios can be seen when the phrase red flag is used.

The Importance of Budget Allocations and Resource Allocation

One major disadvantage of this type of analysis is that its findings cannot be extended to large populations as compared to quantitative analysis that does it to a higher degree.

-This method is quite reliable statistically.

Here, there is a classification of features, counting and also the construction of a little bit intricate statistical techniques with an aim of describing all the observations made.

The findings are then made for a bigger population then comparisons made, provided that valid sampling methods are used. Quantitative analysis will always allow us to know which situations are the most likely to be the true reflections of the changes in the language and which situations are just chances not even supposed to happen (Weil 2010). By just looking at a single language variety will enable one get a better picture of the rarity and frequency of that specific phenomena, hence determining their abnormality or normality.

However, when compared to qualitative then it should be noted that the pictorial view of any data obtained by qualitative analysis is richer. For statistical purposes, then classifying of features has to be hard and fast. That is to note that an item either belongs to a group z or not.  In the example above, red can either be classified as colour or politics (Breaux 2017). This shows that most linguistic words and phenomena will not obviously belong to simple or single categories; but rather consistent with the current situations. This shows that quantitative analysis is just an idealization of the actual data sometimes. It also tends to side-line rare occurrences. In order to make sure that some of the tests in statistics like the chi-squared tests are reliable, it will be essential that few frequencies are obtained and this means that the categories will have to be integrated into one another.

From the above study, it should be acknowledged that both the analysis is essential to the study. A recent study has shown that there is a possibility of application of multi-method techniques that will tend to reject the shallow models favouring the depth of the information required. Qualitative analysis always comes first.

References

Arago, Jose R. Environmental Management and Compliance Requirements Handbook. Office of Primary Responsibility, 2016.

Bigliani, Roberta. Reducing Risk in Oil and Gas Operations. White Paper, Roberta Bigliani, 2013.

Dheepa Rajan, Helene Barroy and Karin Stenberg. Budgeting for health. World Health Organization, 2017.

Fairman, Charlotte Yapp and Robyn. “Factors affecting food safety compliance within small and.” Elsevier, 2004: 42-51.

Friedrich Lange, Wieland Bertleff and Michael Suppa. “Force and Trajectory Control of Industrial Robots in Stiff Contact.” Karlsruhe, Germany, 2013.

Kyzenko, Olena Kyzenk and Dmytro. Identification of Transaction Costs in the Enterprise Budgeting Systems. Kyiv: Kyiv National Economic University , 2017.

L.Stafford, Sarah. “The Effect of Punishment on Firm Compliance with Hazardous Waste Regulations.” Journal of Environmental Economics and Management, 2002: 290-308.

Munro, Jing Lan and Alistair. Environmental Compliance and Human Capital: Evidence from Chinese Industrial Firms. Discussion Paper, National Graduate Institute for Policy Studies , 2012.

Tamara Bekefi, Marc J. Epstein and Kristi Yuthas. Managing Opportuniy Risks. Guideline, Canada: The Society of Management Accountants of Canada, 2013.

Thomas, Ann P. Bartel and Laccy Glen. “Direct and Indirect Effects of Regulation: A New Look at OSHA’s Impact.” Journal of Law and Economics, 2017: 1-25.

Travis D. Breaux, Annie I. Antón, Kent Boucher and Merlin Dorfman. Legal Requirements, Compliance and Practice:An Industry Case Study in Accessibility. Case Study, North Carolina: Department of Computer Science North Carolina State University, 2017.

Weil, David. Improving Work Place Condition Through Strategic ENforcement. Research Paper, Boston: Boston University, 2010.

[1] Arago, Jose R. 2016. Environmental Management and Compliance Requirements Handbook. Office of Primary Responsibility.

[2] CBD refers to Central Business District

[3] Appropriate communication and consultation should be done at each stage of managing the risks.

[4] This shows that most linguistic words and phenomena will not obviously belong to simple or single categories; but rather consistent with the current situations.