Who do you think would refer to in the case of a breach or non adherence standard procedures occurring?
Appropriate Personnel
In an organization, the individual(s) responsible for managing and communicating incidents involving process deviations or potential breaches to the regulatory authorities/agencies, corporate management, internal compliance/risk management teams, and employees are collectively known as the appropriate personnel.
Here's a breakdown of who might be designated as appropriate personnel in various circumstances:
1. Non-Serious Breach:
In cases of non-serious breaches, the appropriate personnel may include:
- Immediate supervisor or manager: Responsible for the initial investigation and documentation.
- Data privacy officer: Helps assess potential privacy implications and provides guidance.
- Security team: Collaborates on technical aspects and containment strategies.
2. Serious Breach:
For more serious breaches that are likely to have a significant impact on individuals, the appropriate personnel may expand to:
- Senior management or board of directors: Involved in decision-making and issuing statements.
- Legal department: Provides advice on regulatory requirements and legal implications.
- External legal counsel: Assists with managing litigation or fines resulting from the breach.
3. Employee Compliance:
In cases involving employee compliance issues or code of conduct violations, the appropriate personnel may include:
- Human Resources department: Handles disciplinary matters and ensures compliance with policies.
- Ethics and compliance officer: Investigates and addresses ethical violations.
- Audit and risk management team: Evaluates controls and provides recommendations.
4. Supply Chain and Partner Interactions:
If a breach involves suppliers, vendors, or partners, the appropriate personnel may also include:
- Third-party risk management team: Assures compliance with cybersecurity and privacy standards.
- Contracts and procurement department: Works with external parties to review agreements.
Remember, the allocation of responsibilities and designation of appropriate personnel may vary based on the specific breach, industry regulations, and internal policies. It is essential to establish a clear incident response plan that outlines who should be notified and involved at each stage of the process.