OVERVIEW
This article provides instructions on how to report a non-compliance in Lighthouse.
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.
Any logged-in user can report a new Non-Compliance by either:
- Select New > Non-Compliance from the menu.
- Selecting the Non-Compliance Tile from the home page, and then clicking on the Report New Non-Compliance button at top of screen, or
- Selecting the Report Non-Compliance option Non-Compliance tile.
You will only be able to see those Non-Compliance Instances that you have permission to view, where you are:
- the Committer,
- the Submitter,
- the Supervisor nominated in the Non-Compliance,
- an editor (allocated user),
- have reporting permission for the organisation unit in the Non-Compliance, or
- an Administrator
INSTRUCTIONS
1. Log into your Lighthouse instance and on the Dashboard, locate Non-Compliance.
2. Click “Report Non-Compliance”.
3. Enter the date the Non-Compliance occurred (use an approximate date if the exact date
is not known), Lighthouse will present a set of Category Non-Compliance options
relevant to the framework in force at the time of the Non-Compliance.
4. Enter the date the Non-Compliance was identified.
5. Enter the details of the status of committing party who committed the Non-Compliance. Select from the following and fill out the details that appear.
- Current Official
- Non-Current Official
- External Party – Individual
- External Party – Organisational
6. Committed By fields will default to the person entering the Non-Compliance.
7. Select the Responsible Organisation Unit by selecting from the drop down.
*Your Administrator may have configured the Responsible Organisation Unit
field with a different name in your instance.
8. Select a manager or supervisor by clicking on the Search icon next to the name of the manager/supervisor. Type part of the name and select the Search button.
9. 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. Complete the question section that appears.
*Non-Compliance categories and questions are configured by the administrator based on the applicable and relevant Australian Government Act/s, Rules, delegations or guidelines. (E.g., PGPA Act and/or CPR’s)
- Business Catering/Official Hospitality
- Conduct of Desks
- Credit Cards
- Fraud and Corruption
- Gifts and Benefits
- Procurement
- Travel
- Other
The example below is for a Credit Card non-compliance:
10. Explain how the non-compliance occurred
11. Additional Fields
If available, complete any additional fields such as Cost Centre, GL Code and Classification. As these are optional custom fields, they may not appear in your Instance.
For Administration:
Once the Non-Compliance has been submitted, the Administrator will be notified of the
submission and will either Finalise the Non-Compliance or Return it for Amendment.
*Resolution, Corrective Action and Corrective Action Date may not be available, depending on the configuration of the Compliance module.
1. 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.
2. 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.
3. The Corrective Action Date entered can be a future date. If the exact date is not
known, enter the most likely date.
4. The History Log is located at the bottom of the screen. This details the complete history the Non-Compliance has progressed: 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.
If you have any issues on how to report a non-compliance, feel free to contact us at helpdesk@lighthousegrc.software