A formal warning is not a fine or penalty and does not determine liability. However, it may be taken into consideration for future decisions.

Issuing a formal warning

We only issue formal warnings after an investigation. They are not given during proactive assessments or on the spot.

We may issue a formal warning when:

• an investigation finds the behaviour may amount to an offence under the legislation we enforce
• a proportionate response can be achieved without going to court
• we want to hold a duty holder accountable for the behaviour that may amount to an offence.

Formal warnings are considered on a case-by-case basis using the criteria set out in our formal warnings policy

What a formal warning includes

Before we issue a warning, the business or individual can respond to the concerns.

If a formal warning is issued, the businesses or organisation will receive a letter that includes:

• a summary of our concerns
• the relevant parts of the legislation that may have been breached
• that the formal warning may be considered if similar issues happen again, when WorkSafe decides what enforcement action to take
• information on how to request a review.

A formal warning does not require the organisation or business to admit liability.

What a formal warning means

A formal warning:

• formally records findings of an investigation and the organisation’s or business’s response
• may be considered in future decisions.

A formal warning is used as an alternative to prosecution. It does not replace other enforcement tools, such as improvement notices, and does not prevent WorkSafe from taking further regulatory action if required.

Publication of warnings

We decide on a case-by-case basis whether to publish a formal warning to maintain transparency about our actions.

Decisions about publication take into account:

• the public interest
• any privacy considerations
• the nature of the issues identified.

If published, we share the formal warning letter or a redacted version.

Formal warnings will remain available on our website for up to 3 years, after which it will be removed.

WorkSafe also maintains internal records of formal warnings as this information may be requested under the Official Information Act.

Right to raise concerns about a formal warning

If you disagree with the information in a formal warning, or have concerns about the process followed, you can raise those concerns with WorkSafe.

WorkSafe will consider any concerns raised and respond in line with its complaints process.

Making a complaint about WorkSafe

Related information

Formal warnings policy

Enforcement decision-making model

Prosecution process