Dealing with Non-Compliance
How should we as safety professionals’ deal with the inevitable non-compliances, which occur from time to time in every business?
Should we pretend we do comply with all requirements even when we know we don’t, or should we notify the regulator of every breach, or something else?
“Most organisations do not conduct full legal compliance audits because they fear the report itself could be used against them”
Every safety policy we see states something like “…………… we will comply with all workplace safety laws and ………….”, but few organizations methodically seek to confirm this commitment is delivered.
So how do best practice businesses deal with non-compliances in order to find a workable way forward?
Remember, audits which discover non-compliances (legislative or other) do not create liabilities in themselves; it is only our in-action in response to such knowledge that will condemn us, as we already have the obligation, whether we have identified it or not.
A “safe time” for conducting legal compliance audits is during prescribed transition periods when new legislation has been introduced. However, most organizations don’t have this luxury today if concerned about the level of compliance.
Occasionally concerned directors (or Boards collectively) seek written assurance from the business managers that all operations are in full legal compliance.
“No manager can give an assurance of full legal compliance”
Refusal to give an absolute sign-off on compliance should not be confused with belligerence or incompetence.
Some managers have agreed to provide a systems response e.g.:
List all legislation (Federal and State) with potential relevance to the business; and
Identification of the relevant legislative requirements (from each piece of relevant legislation); and
List of systems/procedures in place designed to deliver compliance; and
Validation comments e.g., current status of the compliance systems.
This is a “systems response”, which is consistent with most legislation which requires compliance “as far as reasonably practicable”.
Managers can ensure effective systems are in place but cannot guarantee the behaviour of every individual in every circumstance.
If interested in more information on this subject, or wish to discuss a legal compliance audit, or an executive briefing, call Gary Rowe on 03 8544 4300 or email
