Compliance and Enforcement Matrix, text alternative
Compliance tools
Tools available to the Department to monitor entity compliance and gather information.
Majority of entities
Entities who are meeting all requirements may be subject to:
- Inspections
- Audits and monitoring.
Some entities
Entities who are attempting, but failing to comply, will be subject to:
- Increased inspections
- Audits and monitoring
- Investigations of any barriers to compliance.
Minority of entities
Entities that are deliberately non-compliant or who have no arrangements in place to achieve compliance, will be subject to the following:
- Investigations
- Reviews of record keeping
- Targeted inspections
- Audits and monitoring.
Compliance response
Actions generally available to the Department to address instances of non-compliance.
Compliant
Low level of risk/harm/frequency
- Outreach and engagement
- Reduced monitoring.
Inadvertently non-compliant
Low level of risk/harm/frequency
- Increased outreach and engagement
- Providing advice on addressing barriers to compliance.
Medium level of risk/harm/frequency
- Guidance and advice
- Providing advice on addressing barriers to compliance.
Opportunistically non-compliant
Medium level of risk/harm/frequency
- Continued assistance to return to compliance, with increased monitoring of activities
- Warnings
- Enforceable undertakings.
Medium-high level of risk/harm/frequency
- Increased intervention
- Infringement notices
- Publicising enforcement actions.
Deliberately non-compliant
Medium level of risk/harm/frequency
- Increased intervention and monitoring
- Warnings
- Enforceable undertakings.
Medium-high level of risk/harm/frequency
- Increased intervention
- Infringement notices
- Publicising enforcement actions.
High level of risk/harm/frequency
- Highest intervention
- Infringement notices
- Publicising enforcement actions
- Seek civil penalties in court
- Seek court injunctions
- Criminal prosecutions.
