Workplace Relations

Compliance notices

Published 2 September 2024

In Australia, a compliance notice is a formal warning issued by a regulatory authority such as the Fair Work Ombudsmen (FWO) or another relevant agency or internal compliance department, indicating that an individual or organisation (practice) is believed to have violated or is not adhering to certain laws, regulations, standards or contractual obligations.

The notice typically requires you to take specific actions to remedy a breach of laws or regulations. Below are examples of compliance notifications you could receive. 

Breach of patient privacy

  • Issuing authority: Office of the Australian Information Commissioner (OAIC)
  • Notice type: Compliance notice under the Privacy Act 1988

Non-payment of back pay entitlements

  • Issuing authority: Fair Work Ombudsmen (FWO)
  • Notice type: Compliance notice under the Fair Work Act

If your practice receives a compliance notice, it is really important that you handle the situation with care and thoroughness. Private practices are subject to strict regulations and standards, so a compliance notice can have serious implications. 

What to do

Read the notice carefully

  • Understand the allegations: the notice will outline the specific breaches or non-compliance issues. It is crucial to understand what the compliance issue is.
  • Identify the authority: know which regulatory body has issued the notice, e.g Fair Work Ombudsmen, ATO.    

Check the requirements

  • Deadlines: note any deadlines for responding or rectifying the issue
  • Required Actions: Understand what actions you need to take, whether it is providing additional information or paying a penalty.

Seek legal advice

  • Consult a lawyer or compliance specialist: It may be wise to seek legal advice or consult a compliance specialist who can guide you through the process. We would be happy to refer you to our corporate partners, Hillhouse Legal Partners who would be happy to assist you. As an AMA member you will receive your first 20-minute zoom consultation free of charge.

Gather evidence

  • Documentation: collect all relevant documents and records that may support your case or demonstrate compliance.
  • Internal review: conduct an internal review/audit to understand the situation fully and assess whether the allegations are valid.

Respond appropriately

  • Formal response: prepare a formal response to the notice, addressing each point raised.
  • Rectify issues: if you acknowledge any mistakes or breaches, take immediate steps to rectify them and document your efforts.
  • Negotiate if necessary: sometimes, you can negotiate with the regulatory body, especially if there is a misunderstanding or if you need more time to comply.

Maintain records

  • Keep a record: document all correspondence and actions taken in response to the compliance notice.
  • Follow up: if you don’t receive a confirmation or further communication after your response follow with the regulatory body.

Prepare for consequence

  • Penalties: be aware that failing to respond or comply with the notice can result in fines, penalties or legal action.
  • Future compliance. Implement measures to prevent future non-compliance , such as updating procedures or providing additional training to your team 

Learn and improve

  • Review and improve: use the experience to improve your business practices and ensure ongoing compliance with relevant laws and regulations.

By handling the compliance notice promptly and professionally, you can mitigate any potential negative impacts and ensure your practice continues to run smoothly. 

Please contact the WR Team if you have any questions on compliance notices on 07 3872 2264 or email us at workplacerelations@amaq.com.au