Audit of workplaces

The Division of Private Sector Industrial Relations conducts proactive audit activities. A number of audit strategies are used either individually or in combination to maximise impact of audit activities.

Strategic targeting

The principal objective of strategic targeting is to focus audit activities on those individuals, industries or issues that cause significant workloads for compliance staff or those groups of employees who appear to be exploited.

Targeted groups or issues include:

employers with a poor performance regarding industrial obligations;
industries with a high non-compliance record;
specific legislative industrial obligations that create significant compliance workloads;
classes of workers experiencing non-compliance;
areas of new industrial relations coverage; and
geographical areas.

Campaign methodologies

The methodologies for the conduct of audits encompass both educative and inspection strategies.

Educative strategies

Educative strategies as a method of targeting compliance without the use of formal inspection processes are utilised where appropriate.

Educative strategies include:

seminars that provide an opportunity to capture a large number of industry participants to impart a common understanding of the Division’s expectations and standards in award and legislative compliance;
media campaigns that notify the details of proposed audit programs and the outcomes of audit programs;
information kits that contain relevant industrial information; and
provision of information by way of telephone, email and web-based services.

Inspection strategies

Although formal inspection processes are necessary in certain circumstances, inspection strategies may extend to a range of inspection methods.

Inspection strategies include:

Category 1 (Self-Audit) - targeted employers are afforded the opportunity to conduct a self-audit of their time and wages records and pay advices with appropriate follow-up action as required;
Category 2 (Desk Audit) - targeted employers are required to provide a sample of their time and wages records to a Regional Office of the Division for purposes of auditing;
Category 3 (Random inspections of a percentage of targeted employers) - following written notification to targeted employers regarding industrial obligations, inspections are carried out of a percentage of targeted employers to ensure compliance; and
Category 4 (Inspections of all targeted employers).

Infringement notice and/or legal proceedings

Infringement notices may be issued and/or legal proceedings recommended as a result of audit activities. Refer to Infringement Notice and Legal Proceedings for further information.

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