Describe at least eight of the essential

components of a compliance
management system.
1. Questionnaire Management
2. Security enabled workflow
3. Corrective action management
4. Granular security management
5. Support for multiple auditing bodies
6. Secure dashboard for external parties
7. Self-assessment capability
8. Risk-aware compliance management
What is the difference between a policy
and procedure?
Policies don't have to be rigidly followed since they allow for any unique or uncommon
circumstance. Contrarily, Procedures must be followed since they are stringent in nature.
Policies represent the organization's overarching goal. Unlike Procedures, which are designed
to demonstrate how policies are really used in practice.

Why are policies and procedures important and how are they linked to legislation?
Provide 10 examples of areas of law that policies and procedures might relate to.
Policies and procedures are important because they contain legal obligations that hold workers
accountable, allow for the detection of anomalies, and help to create a positive organizational
culture.
1. Code of conduct
2. Recruitment policy
3. Internet and email policy
4. Mobile phone policy
5. Smoking policy
6. Drug and alcohol policy
7. Health and safety policy
8. Anti-discrimination and harassment policy
9. Grievance handling policy
10. Discipline and termination policy
What considerations should be considered when assigning responsibilities in policy documents?
Policy owners have the right to make changes to current policies or generate new ones
responsibility to identify persons who will be directly impacted by new or altered policies and to
take into account their opinions at an early stage of the policy development talks. The owner
should document the authorized policy or practice in addition to doing so. Create opportunities
for help and training, when necessary, for the clients or users who are striving to follow their
policy or process. This involves, at the very least, the identification of "experts" that
departmental personnel or professors may consult when seeking advice or resolving issues.
Outline the six steps involved in developing policies, and briefly explain.
1. Problem Identification
Stakeholders voice their concerns at this point about a policy or problem that has an
impact on the public or an organization. The issue is then clearly identified, and media
outlets, political parties, or interest groups bring it up in appropriate fora for deliberation.
2. Agenda Setting
To be discussed, the recognized issue is pushed via several organs. The appropriate
authorities ultimately provide time for debate because of this pressure for discussion.
3. Policy Formulation
The problem that was stated and discussed is then addressed with solutions or policies.
At this point, policy making still counts as inaction or the rejection of a proposal.
4. Budgeting
Once a policy has been approved, the appropriate authorities can devote resources or
funds to putting it into practice. Since it entails allocating resources for several policies,
this is referred to as budgeting.
5. Implementation
The chance to put the policy's requirements into practice is subsequently offered to
executives in charge of doing so.
6. Evaluation
Here, a variety of stakeholders compare the policies to the outcomes to determine
whether the policy is effective. A recommendation for policy improvement or modification
may be made considering the evaluation's findings.
What should be considered when organizing information updates for staff on policies,
procedures, and legal information? Provide at least three examples.
A policy may provide flexibility in how it is carried out, and the reasons for that flexibility should
be laid forth in the policy. There may also be a need for a policy in situations where there are a
variety of interests and preferences, which might lead to ambiguous and incompatible goals
among people who are directly engaged.
1. Management support
2. Consult with staff.
3. Define the terms of the policy.
Identify at least five method/s for distributing information to bar staff if there is a change to
mandatory training requirements in relation to the responsible service of
alcohol. Australia's legislation around responsible service of alcohol aims to provide consumers
with safer venues that are committed to practicing harm- minimization techniques.
1. Advise bar staff of changes at team meetings.
2. Send letter to all staff advising of new requirements with return slip acknowledging they
have read and understood the letter.
3. Include information of new requirements in common areas such as lunchrooms
4. Record note in daily communication book
5. Stay active