If You Don't Have These 10 Things in Place, Your Business Might Already Be Non-Compliant

(Or: What's Missing Could Hurt You More Than You Think.)

Running a business isn't just about delivering a great product or service — it's also about covering your bases, legally, ethically, and operationally. And yet, many small businesses don't realise they're one complaint, one incident, or one audit away from a major problem.


This list isn't designed to overwhelm you. It's here to help you get ahead of the risks before they become a liability.

  • 1. A Written Employment Agreement for Every Staff Member

    Still relying on handshake agreements or recycled contracts? Not having up-to-date, legally sound agreements is a time bomb. Modern awards and NES entitlements change — your paperwork needs to keep up.


    Real-world example: A small business in Melbourne was hit with over $50,000 in back-pay requirements when it couldn't prove it had communicated overtime arrangements correctly in writing.

  • 2. A Clear Drug & Alcohol Policy (That You Actually Use)

    It's not enough to say "we don't tolerate it." You need a policy that outlines what's tested, when, how, and what happens next — all done ethically and in line with Australian standards. 


    And no, that dusty policy from 2015 doesn't count.

  • 3. A Current, Easy-to-Follow Employee Handbook

    This is where all the "how we do things here" stuff lives. 


    From leave to uniforms to how to report a safety issue — your handbook should speak your language, be up to date, and be read by every employee.

  • 4. A Process for Handling Employee Concerns or Complaints

    If your current plan is "we'll deal with it if it happens," that's not a process — that's exposure. 


    Employees are more informed than ever. So are regulators. According to the Fair Work Commission, workplace complaints escalated to formal proceedings increased by 18% in the past year alone.

  • 5. A Way to Identify and Respond to Workplace Risks

    Not just physical risks. Think: fatigue, mental health, aggressive behaviour, workplace conflict. 


    If you're not actively identifying and addressing these, it'll show when something goes wrong.

  • 6. A Record-Keeping System That's More Than a Filing Cabinet

    Do you have records of training, inductions, incident reports, testing results, and safety meetings? If someone asked you to produce them today — could you?


    Real-world example: A construction business faced penalties after a minor workplace incident because they couldn't produce evidence of safety training they claimed had occurred.

  • 7. HR Templates You're Not Making Up As You Go

    Offer letters, warnings, leave requests, exit processes. You shouldn't be Googling a form five minutes before a conversation. 

    Systems protect everyone — including you.

  • 8. A Way to Keep Track of Changing Legislation

    If you're not reading every update from Fair Work, Safe Work, and the ATO… that's okay. 

    Most people aren't. But someone should be keeping you ahead of the curve.

  • 9. External Support (So You're Not Doing It All Alone)

    Compliance isn't a solo sport. Whether it's HR, safety, or screening — outsourcing to a specialist isn't a sign of weakness. It's a sign you know what matters, and you know when to get the right help.

  • 10. A Culture That Doesn't Rely on "We've Never Had a Problem"

    This is the big one. Just because things have worked fine so far doesn't mean they always will. 


    What protects your business isn't luck — it's structure, ethics, and preparedness.

List representing small business compliance

"But I'm Just a Small Business..."


If you're thinking your business is too small for these concerns, consider this: small businesses actually face disproportionately higher costs when compliance issues arise. 


With fewer resources to handle investigations and legal challenges, even minor compliance gaps can threaten your entire operation.


The good news? Implementing these systems not only protects you from risk, but actually creates efficiency. 


Businesses with clear policies spend 60% less time managing workplace conflicts and have 24% better retention rates, according to recent industry benchmarks.

Final Word: If You're Guessing, You're Gambling.


Most small businesses don't set out to do the wrong thing. But unintentional non-compliance is still non-compliance. And in today's regulatory environment, "I didn't know" won't hold up.


Fixing this stuff doesn't have to be expensive. But ignoring it? That definitely will be.


Take Action


Uncertain about where your compliance gaps might be? Don't leave it to chance. We can help you with a compliance review to identify your highest-priority areas and develop a practical action plan.


Contact us today to schedule your confidential consultation. Let's tackle your compliance challenges before they become costly problems.

Get in touch

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