Elements and Performance Criteria
- Develop procedures for responding to breaches in internal and external compliance requirements
- Obtain and interpret information on current compliance requirements applicable to the organisation
- Review each area of compliance requirement to establish potential breaches
- Develop and document appropriate procedures for identifying, classifying, investigating, rectifying and reporting breaches in compliance requirements
- Monitor adherence to compliance requirements
- Monitor and evaluate organisation operations to identify incidences of breaches in compliance requirements
- Review and evaluate complaints and other sources of information on potential breaches in compliance requirements
- Interrogate compliance management information system to identify any indication of breaches in compliance requirements
- Manage the identification and rectification of breaches in compliance
- Liaise with relevant personnel and organisations during breach management
- Maintain liaison with relevant regulatory authorities and other organisations with an interest in compliance in regard to breaches in requirements and related action being taken
- Take advice from relevant internal and external personnel on the management of breaches in compliance requirements and act upon this advice appropriately
- Evaluate the response to and rectification of, breaches in compliance
- Monitor action taken to manage and rectify an identified breach in compliance requirements in terms of the organisation's compliance policy
- Confirm success in rectification of compliance breaches and notify relevant internal and external personnel
- Recognise problems in the rectification of compliance breaches and initiate appropriate action to ensure that management of the breach is maintained
- Refer reports of systemic and recurring problems of non-compliance to those with sufficient authority to correct them
- Document and disseminate the breach management activities and outcomes
- Document and report identified breaches in compliance requirements in accordance with relevant internal and external requirements
- Maintain and store records of breaches in compliance requirements
- Report on the action taken to rectify identified breaches in compliance requirements and the outcomes of this action
- Disseminate reports on breach management to relevant internal and external personnel