Lighthouse User Guide Non-Compliance Reporting

REPORTING NON-COMPLIANCES

What is a Non-Compliance

A Non-Compliance is any action not in compliance with the governance framework under which you work, such as the PGPA Act. The Non-Compliance may have been committed by yourself, or you may know of a Non-Compliance that has been committed by someone else.

When you submit a Non-Compliance the following people may be notified by email of the Non-Compliance:

  • The person who committed the Non-Compliance,
  • The Supervisor of the person who committed the Non-Compliance,
  • The Non-Compliance Module Administrator (called the Administrator in this section).

Note: the Administrator may turn some or all of these emails off.

Who Administers Non-Compliances

  • setting categories and questions in the Report a Non-Compliance screen,
  • setting permissions of who can see the Non-Compliance,
  • setting up who receives notification emails when a Non-Compliance is reported,
  • finalising Non-Compliances,
  • reporting and collating information on Non-Compliances for management.

Who Can Report a Non-Compliance?

Any logged-in user can report a new Non-Compliance by either:

  1. Select New > Non-Compliance from the menu.
  2. Selecting the Non-Compliance Tile from the home page, and then clicking on the Report New Non-Compliance button at top of screen.
  3. Selecting the Report Non-Compliance option Non-Compliance tile.

Who Can See a Non-Compliance?

You will only be able to see those Non-Compliances that you have permission to view, where you are:

  • the Committer,
  • the Submitter,
  • the Supervisor nominated in the Non-Compliance,
  • an editor,
  • have reporting permission for the organisation unit in the Non-Compliance, or
  • an Administrator.

How to Report a Non-Compliance

  1. Enter the date the Non-Compliance occurred (use an approximate date if the exact date is not known). The FMCS will present a set of Category Non-Compliance options relevant to the framework in force at the time of the Non-Compliance.

  2. Enter the date the Non-Compliance was identified.

  3. Enter the details of the person who committed the Non-Compliance. The Status of committing party and Committed By fields will default to the person entering the Non-Compliance. To change who committed the Non-Compliance, firstly select the appropriate Status of committing party. According to the Status selected, an appropriate option for Selecting the individual or Organisation will appear. If the Committed by is a current or non-current official, use the search option in the field. Type part or the full name and select the Search button. Select the appropriate person from the list presented. If the Committed by is an external individual or organisation, complete the required fields presented.

  4. The Responsible Organisation Structure and Supervisor will default to pre-set information entered into FMCS when the “Committed By” details are entered. To change the Responsible Organisation Structure select from the drop down options.

  5. To change the Supervisor, click on the Search icon next to the Supervisor’s name. Type part, or the full name and select the Search button. Select the appropriate person from the list presented.

  6. Select the relevant Category of Non-Compliance that has occurred. The screen will refresh and present a further set of questions relevant to that Category. Note: Non-Compliance categories and questions are configured by the administrator based on the applicable and relevant Australian Government Act/s, Rules, delegations or guidelines.

If you know the Requirement that has not been complied with, select the Find Requirement link, located above the category of Non-Compliance line and enter the relevant Act and Section.

  1. Complete the Question Section. You may find the Help icon next to some questions. Further information regarding the question will be available by clicking on the icon.

  2. Continue to enter information on the Non-Compliance in the “How did the Non-Compliance occur?” section.

  3. Enter the appropriate response to Resolution. This may be a free text box or a list of options depending on how your Administrator has configured this section. Multiple resolutions may be selected.

If “Other” is chosen, another text box will appear so that details of the corrective action can be recorded.

  1. Enter the appropriate Corrective Action. This may be a free text box or a list of options depending on how your Administrator has configured this section. Multiple resolutions may be selected.
  2. The Corrective Action Date entered can be a future date.

If “Other” is chosen, another text box will appear so that details of the corrective action can be recorded.

  1. Relevant documents may be attached to the form by selecting Browse button in the attachments section.
  2. The History Log is located at the bottom of the screen. This details the complete history of the Non-Compliance: from its creation, through all actions until it is finalised. The most recent action appears at the top of the box, oldest action at the bottom. Use the scroll bar at the right side of the box to navigate up and down.
  3. This form can be Deleted, Allocated, Saved as a Draft or Submitted.

Delete To Delete before a new Non-Compliance has been Saved or Allocated, select the browsers back arrow to return to the Non-Compliance In-Tray. A confirmation message will appear that the entry has been Deleted. The originator can Delete a new Non-Compliance they have Saved as a Draft, but only if the record has not been Allocated. Once a new Non-Compliance has been Allocated or Submitted, only an Administrator can Delete the Non-Compliance.

To Delete a Saved Non-Compliance click on the Delete button on the bottom left of Screen. Select the reason from the drop down menu and record any appropriate comments. Click on the Delete button. A dialog box will appear asking for confirmation of Deletion. Select OK.

Allocate The Allocate button on the bottom right of the screen sends this form to another person to complete it.

Save Draft Saving the form as a Draft will save all the information you have entered and the form will remain in your In-tray for you to action at a later date.

You will receive an email from the Administrator of the outcome. If the Administrator requires you to Amend the Non-Compliance, you will receive an email regarding the amendment required.

Submit Note when submitting a Non-Compliance report during a survey you will not be able to save draft or allocate the Non-Compliance to others.

Sending a Non-Compliance to someone else for review or editing

A Non-Compliance may be sent to another editor for review or completion. One editor can fill out all or some of the details of a Non-Compliance and then send it to another editor for further information to be added. This process is called Allocating a Non-Compliance. Allocated Non-Compliances are in Draft status until submitted.

You may want to Allocate a draft Non-Compliance to another editor to complete, or to check the facts before finally Submitting the Non-Compliance to the Administrator.

A Non-Compliance can be Allocated to only one person at a time, but it can then be reallocated multiple times.

Finding a Non-Compliance

You will only be able to find Non-Compliances you have permission to view. Finding a Non-Compliance can be performed by:

  • using the Search Function,
  • Viewing your In-Tray
  • Running a Non-Compliance Report if you have permission to run reports.

PROCESSING A SUBMITTED NON-COMPLIANCE (Administrator Functions only)

Once a Non-Compliance has been submitted, it will appear in the Administrator’s In-Tray for action.

Open the Non-Compliance by selecting the desired Non-Compliance. Either select the arrow or the title of the Non-Compliance to open it. Upon opening the Non-Compliance, the Administrator is required to review the Non-Compliance and can make the following actions:

  1. Save the Non-Compliance
  2. Return for Amendment
  3. Finalise
  4. Unlocking a Finalised Non-Compliance
  5. Delete a Non-Compliance

Finalising the Non-Compliance

When finalising the Non-Compliance, the Administrator has the option of editing the Non-Compliance before finalisation. It is important that the Non-Compliance is accurately reported. 6. Open the Non-Compliance and review. 7. Administrators can change any information about the Non-Compliance. However, it is recommended if changes are required, the Non-Compliance be returned for amendment back to the submitter. 8. The Administrator Comments field is for Non-Compliance Administrator comments only. 9. If you have made changes to the submitted Non-Compliance when finalising, you should select the Refresh button to ensure the list of Requirements not complied with are up to date. 10. Complete the Non-Compliance Outcomes section. This section identifies the requirements that have been complied with and the outcome for each Non-Compliance. 11. Review Non-Compliance History. 12. Sending a Non-Compliance Escalation Email.

Unlocking a finalised Non-Compliance

Unlocking a Non-Compliance allows a Finalised Non-Compliance to be modified, deleted, or returned for amendment.

Delete a Non-Compliance

A Non-Compliance that has been entered by mistake may be deleted. Deleting a Non-Compliance is a “soft” delete. This means it is not deleted from the system, it is just not visible under normal circumstances.

RUNNING NON-COMPLIANCE REPORTS

Users with Reporting permissions can configure Non-Compliance Reports. The Administrator gives Reporting Permissions. Go to the Reports Menu and select the Non-Compliances Tab.

Select a Report Type to run

  1. Reports that display a single Non-Compliance record per row.
  2. Reports that display a row for each non-complied requirement.
  3. Summary reports.

Select Filtering Options for the report

After selecting the report type, optional filtering options are available. All report criteria are cumulative and restrictive.

Generating and exporting the selected report

Once you have identified the criteria you wish to report on, click the Report button. The system will display the reported information in an interactive grid.

GLOBAL NON-COMPLIANCE SETTINGS (Administrator Function only)

The overall structure of the Non-Compliance Reporting Form is predefined to maintain logic and integrity of the FMCS system. However, much of the content of the Non-Compliance Form is highly configurable by the Non-Compliance Administrators to suit each organisation’s specific content and workflow requirements.

Setting Up Non-Compliance reporting functions

  1. System Administration > Non-Compliances > Settings

The Settings Tab is the first tab in the series of configurable Non-Compliance settings.

Reporting Periods

Non-Compliances are grouped into reporting periods based on when the Non-Compliance was committed and when it was finalised.

How to Setup Lookup Lists in the Non-Compliance Module

System Administration > Non-Compliances > Lookup Lists

Suggested Order to Set Up Lookup Lists

The following tabs are explained in the order in which they should be set up.

  1. Framework Groups
  2. Categories
  3. Resolution (Master List)
  4. Requirements (Master List)
  5. Corrective Actions (Master List)
  6. Outcomes
  7. Significant Reasons

Escalation Templates

Escalation Templates allow an Administrator to set up template emails to be sent from FMCS for users that are having repeat Non-Compliances of the same requirement recorded against them.

Custom Fields

Custom fields allows fields to be configured for entry when submitting and/or finalising a non-compliance report.

Wording Tab

The Wording tab allows the form preamble and field help to be configured.

Permissions / Workflow tab

The permissions / workflow tab controls both user permissions and workflow notification setup for the Non-Compliance module.