Common use of Compliance framework Clause in Contracts

Compliance framework. 3.1 A failure of the CSA to meet the standards set out in sections 2.1, 2.2, 2.3 and 2.7 of this Schedule will result in progressive enforcement actions. 3.1.1 Each infraction will be exclusive by depot and type. 3.1.2 There are three enforcement levels applicable to these sections. 3.1.3 Where the CSA fails to meet a standard in these sections, the BCMB shall notify the CSA of the failure in the monthly CSA Evaluation report. 3.1.4 The CSA will be given 10 days to rectify the problem following which, where the CSA fails to meet the standard a second time, the BCMB shall notify the CSA of the failure in the monthly CSA Evaluation report and the CSA shall pay a Compliance Fee. 3.1.5 The CSA will be given a further 10 days to rectify the second incident of the same problem following which, where the CSA fails a third time to meet the standard the CSA shall pay a Compliance Fee and CSA Senior Management shall attend a meeting with the BCMB. 3.1.6 The CSA may apply to the BCMB to move down a Level in the Compliance Framework by demonstrating that procedures have been corrected in order to prevent another failure to meet the standard. 3.1.7 The CSA may not apply to move down a Level of a Compliance Framework until three (3) months has passed from the date of the notification in the monthly CSA Evaluation from the BCMB. This is to provide the CSA with time to rectify the issue and to trial the improvements. 3.1.8 The CSA may only apply to move down a Level of a Compliance Framework if in Level 2 or higher. 3.1.9 An application to the BCMB will move the CSA down one Level of a Compliance Framework at a time and must include a description of the improvements made to rectify the failure. 3.1.10 After receipt of an application, the BCMB will monitor the situation for a three- month period. Part of the monitoring may include a check-in with the Depot on the specific issue to confirm that it has been resolved on their side. The BCMB will also review the QMS. 3.1.11 Where the CSA fails to meet the same standard during the three-month monitoring period, the CSA’s application will be void and they will move up a Level in the Compliance Framework. A new application will have to be made after the issue has been resolved and after three-months has passed (as per 3.1.7 above). 3.1.12 Once the three-month monitoring period has passed without issue, the BCMB will move the CSA down a Level of the Compliance Framework. 3.1.13 On a per Depot, per Framework basis, if the CSA remains compliant with the applicable standards after six months at Level 1, then the BCMB would automatically move the CSA out of the Compliance Framework without requiring submission of an application. 3.2 Where the CSA fails to meet a standard set out in sections 2.4, 2.5 and 2.6, the CSA shall pay a Compliance Fee.

Compliance framework. 3.1 A failure of the CSA ABCC to meet the standards set out in sections 2.1, 2.2, 2.3 and 2.7 2.4 of this Schedule will result in progressive enforcement actions. 3.1.1 Each infraction will be exclusive by depot and type. 3.1.2 There are three enforcement levels applicable to these sections. 3.1.3 Where the CSA ABCC fails to meet a standard in these sections, the BCMB shall notify the CSA ABCC of the failure in the monthly CSA CSP Evaluation reportreport . 3.1.4 The CSA ABCC will be given 10 days to rectify the problem following which, where the CSA ABCC fails to meet the standard a second time, the BCMB shall notify the CSA ABCC of the failure in the monthly CSA CSP Evaluation report and the CSA ABCC shall pay a Compliance Fee. 3.1.5 The CSA ABCC will be given a further 10 days to rectify the second incident of the same problem following which, where the CSA ABCC fails a third time to meet the standard the CSA ABCC shall pay a Compliance Fee and CSA ABCC Senior Management shall attend a meeting with the BCMB. 3.1.6 The CSA ABCC may apply submit a request in writing to the BCMB to move down a Level in the Compliance Framework by demonstrating that procedures have been corrected in order to prevent another failure to meet the standard. 3.1.7 The CSA ABCC may not apply request to move down a Level of a Compliance Framework until three (3) months has passed from the date of the notification in the monthly CSA CSP Evaluation from the BCMB. This is to provide the CSA ABCC with time to rectify the issue and to trial the improvements. 3.1.8 The CSA ABCC may only apply request to move down a Level of a Compliance Framework if in Level 2 or higher. 3.1.9 An application written request to the BCMB will move the CSA ABCC down one Level of a Compliance Framework at a time and must include a description of the improvements made to rectify the failure. 3.1.10 After receipt of an applicationa written request, the BCMB will monitor the situation for a three- subsequent three-month period. Part of the monitoring may include a check-in with the Depot on the specific issue to confirm that it has been resolved on their side. The BCMB will also review the QMS. 3.1.11 Where the CSA ABCC fails to meet the same standard during the three-month monitoring period, the CSAABCC’s application written request will be void and they will move up a Level in the Compliance Framework. A new application written request will have to be made after the issue has been resolved and after three-months has passed (as per 3.1.7 above). 3.1.12 Once the three-month monitoring period has passed without issue, the BCMB will move the CSA ABCC down a Level of the Compliance Framework. 3.1.13 On a per Depot, per Framework basis, if the CSA ABCC remains compliant with the applicable standards after six months at Level 1, then the BCMB would automatically move the CSA ABCC out of the Compliance Framework without requiring submission of an applicationa written request. 3.2 Where the CSA ABCC fails to meet a standard set out in sections 2.4, section 2.5 and 2.6, the CSA ABCC shall pay a Compliance Fee.