Navigating Compliance Notices as an Employer: Before, During and After

With workplace compliance now at the heart of every leadership discussion, employers and businesses must take proactive steps to ensure their internal processes, procedures, and policies align with current legislative requirements. Failing to do so can result in serious legal and financial consequences—potentially delivered through a formal compliance notice.

Recently, several articles released highlighted that certain organisations have come under scrutiny for failing to engage with compliance notices from the Fair Work Ombudsman (‘FWO’). In these cases, the FWO has engaged in civil court proceedings against an employer after they have failed to comply with a compliance notice.

These cases emphasise the importance of organisations taking compliance notices seriously. The Fair Work Ombudsman is one of several regulatory bodies with significant authority to issue these notices. Others include the various State and Territory WorkSafe or SafeWork authorities, as well as the Australian Human Rights Commission (AHRC).

Fair Work Ombudsman notices may be issued if an employer doesn’t cooperate with a Fair Work Inspector to fix a breach of an Australian workplace law.

AHRC positive duty compliance notices may be issued to an employer specifying an action the employer must take to rectify a breach of their Positive Duty obligations under the Sex Discrimination Act 1984 (Cth).

WorkSafe notices such as improvement, prohibition or infringement notices are issued when they reasonably believe a breach of a workplace health and safety law has occurred.

Our Workplace Advisory and Compliance Consultant emphasises that compliance notices are serious matters requiring immediate employer attention. It is important to ensure you read the notice and provide the information by the stated date. If an employer does not do this, then the regulatory body may start legal proceedings.

Understanding what compliance notices mean and what they look like

Compliance with Australian workplace law is not a choice – it is a legal obligation and there are regulatory bodies in place actively monitoring and enforcing these laws.

Compliance notices are formal legal documents issued by a regulatory body. These notices service to ensure employers maintain reasonable workplace standards and implement appropriate procedures and policies that foster a fair, safe and respectful work environment.

For instance, WorkSafe’s compliance and improvement notices require the employer to comply with workplace health and safety laws. The regulators may conduct inspections at any time—not necessarily following a reported contravention or complaint. However, when a contravention does come to light, they will be issued a notice. This notice will include details of the alleged contravention, the grounds relied on for giving the notice, and the facts the inspector considered establishing those grounds. They will also inform the employer of the action they are required to take, or refrain from being taken, to prevent the contravention and the date the employer must comply with the notice by.

The key point for employers, as highlighted by our Workplace Advisory and Compliance Consultant, is to understand is that compliance notices require immediate attention and swift action.

Here are three essential stages every employer must navigate to ensure they’re operating a truly compliant business.

Stage 1: Be proactive about compliance

By the time you receive a compliance notice there is already a problem, and one that is now under scrutiny of a regulatory body. Our Workplace Advisory and Compliance Consultant emphasises that the focus shouldn’t be on avoiding compliance notices, but rather on proactively recognising whether your business genuinely complies with current legislation and whether your existing systems would withstand regulatory examination.

Recently, our experts have worked closely with organisations across diverse industries who have received notices following an inspection. This includes improvement notices issued by WorkSafe where an inspection revealed significant non-compliance gaps, exposing underlying issues with workplace safety compliance regulations that had gone undetected.

Employers can be proactive in this space by requesting audits from our experts to review the company’s process and identify any non-compliances. This proactive approach provides expert guidance on what meets legislative standards and what requires attention.

The key is identifying and addressing compliance gaps before regulators do.

Stage 2: When regulators arrive requesting documentation

When regulatory bodies conduct workplace inspections, it is crucial that employers cooperate fully. Inspectors have legal powers to access certain information and materials as part of their regulatory powers. Depending on the agency and the nature of the inspection, they may observe work process, inspect equipment or workspaces, review documents and records, conduct interviews with employees, or take copies of relevant materials.

Ensuring transparency and cooperation during these inspections helps demonstrate a commitment to compliance and a safe, fair workplace.

Finding yourself face-to-face with a regulator requesting documentation to verify your proactive compliance efforts can be a daunting experience.

While providing relevant documentation is essential to avoid legal consequences, it is also crucial to understand the regulatory process, understand what is being asked of you, and ensure you put your best foot forward to showcase your compliance efforts.

This is where our experts frequently step in to represent organisations during these critical interactions. Our experts regularly work with these regulators and understand what they require their expectations, positioning them to advise on the process and help the employer liaise with the regulator.

The key is having experienced guidance to manage these high-stakes conversations effectively.

Stage 3: Responding to a compliance notice – best-practices outlined

When a compliance notice arrives at your doorstep, swift and thorough action is essential to avoid legal claims that may affect employer brand and overall culture. This is where our workplace relations advisors play a crucial role in helping you meet all the requirements outlined in the notice within the specified timeframes.

Our experts help respond to any compliance notice by understanding exactly what’s required, developing a systematic approach to address each requirement, and ensuring all actions are documented and implemented within the stipulated timeframe.

Where to from here?

The compliance landscape will only become more complex if the right steps aren’t taken today to ensure long-term compliance management. It’s important for employers to become proactive with compliance rather than leaving it as an afterthought.

The smartest approach to maintaining compliance is partnering with experienced workplace relations advisors who can conduct comprehensive compliance audits, establish robust monitoring systems, and keep your business ahead of regulatory changes.