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Elements and Performance Criteria

1. Develop processes for responding to breaches
   • Collect and interpret information on current compliance requirements applicable to the organisation
   • Develop and document procedures for identifying, classifying, investigating, rectifying and reporting breaches in compliance requirements
2. Monitor adherence to compliance requirements
   • Monitor and evaluate organisation’s operations and compliance management information systems and identify breaches in compliance requirements
   • Review and evaluate information on potential breaches in compliance requirements
   • Discuss findings with relevant stakeholders and confirm accuracy of compliance assessment
3. Manage the identification and rectification of breaches in compliance
   • Assign stakeholders to identify, classify, investigate and rectify breaches in compliance requirements
   • Inform senior stakeholders of all breaches in compliance requirements and corrective action according to organisational policies and procedures
4. Communicate with relevant stakeholders during breach management
   • Communicate breaches and rectification actions with relevant stakeholders
   • Seek and action advice from relevant stakeholders on the management of breaches in compliance requirements
5. Evaluate the response to and rectification of breaches
   • Monitor action to manage and rectify identified breaches in compliance requirements according to organisational policies and procedures
   • Confirm success in rectification of compliance breaches and notify relevant stakeholders
   • Identify issues in the rectification of compliance breaches and initiate action, where required
   • Refer reports of recurring breaches of compliance to relevant stakeholders
6. Document and distribute breach management activities and outcomes
   • Document and report identified breaches in compliance requirements in accordance with organisational policies and procedures
   • Maintain and store records of breaches in compliance requirements
   • Document and report the action to rectify identified breaches in compliance requirements and the outcomes of this action
   • Distribute reports on breach management to relevant stakeholders

Performance Evidence

The candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:

manage at least two different breaches of compliance requirements.

In the course of the above, the candidate must:

develop, monitor, and communicate processes for the management of breaches

obtain and keep up to date with organisational compliance requirements

identify and assign staff to manage breaches

identify and inform senior management and regulatory authorities of breaches

report corrective action activities and outcomes.

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Knowledge Evidence

The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:

compliance requirements applicable to organisation

key elements of compliance management systems, including:

documentation of compliance requirements relevant to the organisation

functions, accountabilities and responsibilities within the organisation

compliance related management information systems

breach management policies and procedures

compliance reporting procedures

process for communication of information on compliance requirements to relevant stakeholders

techniques and performance indicators for monitoring the operation of a compliance management system

potential breaches in compliance requirements

reporting processes on compliance management.

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