Safety Improvement Notices: What Employers Should Do

What to Do When Your Business Receives a Safety Improvement Notice

Receiving a safety improvement notice can be confronting, particularly for a small or medium business that has never dealt with a workplace safety regulator before. The notice may contain technical language, refer to legislation and require action within a relatively short period.

The most important first step is simple: do not dismiss it or put it aside.

An improvement notice is a formal statutory notice. It identifies a workplace health and safety issue that an inspector believes must be addressed within a specified period. Failure to comply by the required date is an offence and can expose the business or other duty holder to penalties, further enforcement action or prosecution.

Responding properly will usually involve more than sending an email or preparing a new policy. The business may need to complete physical corrective work, review its safety processes, consult with workers, provide training and assemble clear evidence showing how each requirement has been addressed.

Different Regulator Names, Broadly Similar Functions

Workplace safety regulators have different names across Australia. In New South Wales, the regulator is SafeWork NSW. In Queensland, it is Workplace Health and Safety Queensland, commonly referred to as WHSQ. In the Australian Capital Territory, it is WorkSafe ACT. Other states and territories have their own workplace safety regulators

Although the applicable legislation and regulatory arrangements vary, these regulators perform broadly similar functions. They inspect workplaces, investigate incidents and concerns, monitor compliance and issue formal notices requiring action. Industry-specific regulators may also apply in areas such as mining, petroleum, electrical safety, maritime operations and Commonwealth workplaces.

The formal statutory term is generally 'improvement notice'. 'Safety improvement notice' is a useful plain-English description, but a business must carefully read the terminology and requirements contained in the particular notice it receives.

What does an improvement notice mean?

An improvement notice is generally issued when an inspector believes that workplace safety legislation is being contravened, or has been contravened in circumstances that make a repeat likely.

The notice will usually identify the person or business responsible for complying, describe the inspector's concerns, identify the relevant legislative provisions, explain what must be remedied, specify a compliance date and provide information about review rights.

An improvement notice is different from a prohibition notice. An improvement notice will generally allow the activity to continue while the identified issue is corrected. A prohibition notice may require an activity to stop because it involves, or may involve, a serious and immediate or imminent risk.

Ten steps for Responding to an Improvement Notice

Where several notices are issued at once, the amount of work required can quickly become difficult to manage. A structured process helps the business remain focused and ensures important actions are not overlooked.

1. Read each notice carefully

Identify the duty holder, alleged contravention, required outcome, compliance date and any review rights. Treat each notice as a separate compliance requirement.

2. Record the critical dates

Review timeframes may be short. Record the compliance and review dates immediately and establish internal deadlines well before the regulator's due date. If the notice appears incorrect, unclear or directed to the wrong duty holder, obtain advice promptly.

3. Control any immediate risk

Do not wait for the written response if workers or other people remain exposed to a hazard. Interim action may include isolating equipment, restricting access, stopping a task or introducing temporary controls.

4. Develop a practical action plan

Break each notice into individual tasks, allocate responsibility and identify which work can be completed internally and which tasks require a competent tradesperson, engineer, plant specialist or other appropriately qualified person.

5. Review the underlying risk

Complete or update the relevant risk assessment. Consider how the hazard arose, who may be affected, whether existing controls are effective and what additional controls are reasonably practicable. Address the underlying cause, not only the most visible problem.

6. Consult with affected workers

Consult with the people who perform the work or are directly affected by the proposed changes. Provide relevant information, invite their views and consider their practical knowledge. Include health and safety representatives where required.

7. Complete the corrective work

This may include equipment repairs, guarding, maintenance, exclusion zones, new storage arrangements, replacement equipment, signage or changes to the way work is performed. Keep dated photographs, invoices, service reports, certificates and other evidence as the work is completed.

8. Update workplace documentation

Prepare or revise the relevant risk assessments, policies, procedures, Safe Operating Procedures, Safe Work Method Statements where appropriate, inspection records and training materials. The documents must reflect the actual workplace and work being performed.

9. Provide information, instruction and training

Explain the new or revised process to affected workers. Provide task-specific instruction and assess competency where necessary. Keep records showing what was covered, who attended and any follow-up required.

10. Prepare and submit the response

Address each notice and explain what was completed against every requirement. Organise the supporting evidence so the inspector can readily understand the action taken. Continue monitoring the controls after submission to ensure they are understood, used in practice and remain effective.

Responding to an improvement notice is not simply about meeting a deadline or producing paperwork. The business must be able to show that corrective work was completed, affected workers were genuinely consulted and trained, and the new controls are being followed in practice. The controls should also be reviewed after implementation to make sure they remain practical and effective.

How Hendy HR can assist

Hendy HR assists small and medium businesses to work through safety improvement notices in a practical and organised way.

Depending on the circumstances, we can assist with:

• Reviewing the notice and preparing a clear compliance action plan

• Coordinating worker consultation and documentation requirements

• Preparing or updating risk assessments, policies, procedures, SOPs and SWMS where appropriate

• Preparing toolbox talks, consultation records, training acknowledgements and competency documentation

• Organising photographs, invoices, reports and other supporting evidence

• Drafting the regulator response and evidence schedule for the client's approval

• Establishing ongoing consultation, monitoring and review processes.

Some corrective work must be completed or certified by the business, a competent tradesperson, engineer, plant specialist or another appropriately qualified professional. Hendy HR works alongside those specialists but does not replace their technical functions.

Disputed notices, review applications, potential prosecutions and complex legal issues may also require specialist legal advice.

If your business has received an improvement notice from SafeWork NSW, WHSQ, WorkSafe ACT or another workplace safety regulator, early action matters.

A clear plan, genuine consultation and properly organised evidence can make the response more manageable and help ensure the changes continue beyond the compliance date.

Contact Hendy HR to discuss the notice, the required action and the documentation your business may need.

This article provides general information only and should not be treated as legal advice. Businesses should obtain advice specific to their workplace, industry, jurisdiction and circumstances.