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Elements and Performance Criteria

1. Identify a breach in compliance requirements
   • Monitor fulfilment of compliance requirements in operations within areas of responsibility in accordance with the organisation’s established compliance program/management system
   • Promptly identify, classify, and report any breaches of compliance requirements
2. Develop and implement an action plan for investigation and rectification of a breach
   • Investigate identified breach of compliance requirements to determine the cause in accordance with the organisation’s compliance program/management system
   • Develop an appropriate action plan for managing and rectifying an identified breach in accordance with the established breach management procedures and relevant Australian and international standards
   • Take prompt action to rectify a breach as per the plan
   • Document and report action taken as required
3. Liaise with relevant internal and external personnel
   • Maintain appropriate liaison with all relevant internal personnel, and external personnel and organisations on the nature of the breach and the action being taken
   • Inform internal and external personnel of progress in rectifying the breach
   • Take advice and direction from relevant internal and external personnel on the management and rectification of the breach in accordance with the organisation’s compliance program/management system
   • Apply effective interpersonal skills
4. Monitor the rectification of a breach
   • Closely monitor progress in the rectification of a breach of compliance requirements in accordance with the organisation’s compliance program/management system
   • Identify problem/s which may arise in breach rectification and take appropriate action to deal with the problem/s and report to appropriate personnel on its management
   • Notify all relevant personnel when the identified breach has been successfully rectified
5. Document breach and subsequent rectification
   • Prepare and submit all required reports on identified breach and subsequent rectification action to relevant internal and external personnel
   • Report systemic and recurring problems of noncompliance to those with sufficient authority to correct them
   • Complete records of breach, action taken and the outcomes of rectification processes and file in accordance with the organisation’s compliance program/management system