Government of Western Australia
Department of Commerce
Compliance
strategy
The strategy explained
While this department understands there are fundamental
attitudes towards compliance with our laws, we must operate
within the regulatory environment and requirements.
This strategy recognises the range of environments that influence
compliance and has identified a range of approaches that can be
used for ensuring compliance occurs.
The purpose of the Department of Commerce is to create a contemporary,
diversified economy that provides for the growth, safety and protection of the
community by:
promoting innovation and science;
enhancing capacity; and
ensuring a world class regulatory environment.
A key direction
Enforcing the law is one of the key directions of the department’s Corporate plan.
A comprehensive framework
The Department of Commerce has developed this compliance strategy showing its approach to enforcing the law.
The strategy and associated enforcement policies enable consumers and traders and employees and employers to
understand the department’s approach to achieving compliance with consumer and employment laws.
The department uses the compliance strategy as a framework for developing compliance programs across the breadth
of its responsibilities. The department strives to enforce compliance effectively, efficiently and equitably in laws governing
consumer protection, labour relations, occupational safety and health, energy safety and building.
A model approach
The Department of Commerce’s compliance strategy model outlines compliance approaches and activities used to
enforce the law. The model guides the department to assist people to comply with the law through responsive and
effective regulatory programs.
The model assumes most individuals and organisations will comply, or try to comply, with their obligations. The
department acknowledges that it is not appropriate to respond to all compliance issues in the same way. The department
also acknowledges the need for traditional enforcement techniques to deal with non-compliance where serious breaches
of the law occur.
The Department of Commerce recognises the way in which it responds can influence the behaviour of individuals and
organisations. The department’s aim is to encourage compliance.
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Department of Commerce
REGULATORY
ENVIRONMENT
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COMPLIANCE STRATEGY MODEL
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Examples of activities
Public attitudes influencing
willingness to comply
Factors influencing public attitudes
towards compliance may include
knowledge and understanding of the
obligations imposed by regulation,
current financial situation and
capacity to comply.
Public attitudes toward complying with regulation
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While many individuals and organisations actively comply with
regulatory requirements, there are those who choose not to
comply. In between these extremes are those who try to comply
but may not succeed, and those who have no particular desire
to comply and make little effort to do so.
Approaches used by the department
to ensure compliance
The compliance approaches used by the department range from
informing and encouraging through to warning and using the full force
of the law. These are designed to assist individuals and organisations to
meet their obligations. (see Compliance approaches).
Compliance activities
The regulatory environment
The Department of Commerce is able
to choose from a range of compliance
activities in constructing compliance
programs. The activities selected will
reflect the appropriate response to the
compliance issue.
The strategy provides examples of
factors that influence the department’s
decision-making about compliance.
These influences include the
government’s priorities, the existing
legislative framework and resources
made available to the department for
compliance programs.
Compliance approaches
Examples of the approaches that are used at the various levels of the strategy are outlined below:
Full force of the law - There are some failures for which the most appropriate regulatory response is for the department to
take more traditional enforcement action. Actions that the department may take include prosecutions seeking the imposition of
penalties, court action seeking injunctions or enforceable undertakings and the use of media to protect the public from offenders.
Warning - Where appropriate, the department notifies and cautions individuals and organisations that are not complying with
their obligations. Some of the approaches used include issuing prohibition notices, formal warnings, improvement notices and
product recalls.
Monitoring - The department checks whether individuals and organisations are complying with their regulatory obligations. The
department uses a variety of monitoring methods including proactive inspections and investigation of complaints.
Assisting - The department helps and supports individuals and organisations who are endeavouring to comply with regulation.
For example, the department provides online training, conducts advisory visits to industry participants and offers conciliation
services to resolve disputes.
Encouraging - The department undertakes a number of activities aimed at encouraging compliance. These include targeted
campaigns promoting compliance in high-risk areas and acknowledgement of compliance with rewards and incentives.
Informing - The department wants individuals and organisations to understand their responsibilities. The department provides
information in a variety of formats including newsletters, publications, hotlines, front counter services and online information and
services.
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COMPLIANCE STRATEGY MODEL
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Department of Commerce
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Skills & Knowledge
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