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Elements and Performance Criteria

1. Develop procedures for responding to breaches
   • 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
2. 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
3. Manage the identification and rectification of breaches in compliance
   • Assign appropriate staff to take the required action to identify, classify, investigate and rectify breaches in compliance requirements
   • Ensure senior management team within the organisation is informed of all breaches in compliance requirements
4. Liaise with others 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
5. Evaluate the response to and rectification of, breaches
   • 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
6. Document and disseminate 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