Compliance Notices in Aged Care: What Triggers One and How Providers Should Respond

A compliance notice in aged care is a formal notice from the Aged Care Quality and Safety Commissioner or the System Governor. It tells a provider it has not complied, or may not be complying, with the Aged Care Act 2024, and what it must do or stop doing.

The response that works is organised: one named owner, dates in the calendar, evidence preserved, the issue scoped, fixed and checked, and a reply on time. This article covers that workflow. It is general information, not legal advice, so get your own advice on any notice you receive.

Key Takeaways

• The Commissioner or the System Governor can give a compliance notice when they are satisfied a provider has not complied with the Act, or are aware of information suggesting it has not.
• The notice must name the provider, describe the issue, say what to do or stop doing, give time limits to act and to reply, and state what happens if it is not followed.
• It is one of three notice types in the Act, alongside the required action notice and the notice to attend or give information or documents.
• A strong response is documented: a scoped problem, a verified fix, an evidence file and a governing body briefed before the reply date.

What are the three types of notice under the Aged Care Act?

The Department of Health, Disability and Ageing's Guide to aged care law describes three types of notice and says there are penalties for not complying with them.

• Required action notice - Who can give it: Commissioner, Complaints Commissioner, System Governor; What it asks for: Look into an issue and report back to the regulator
• Compliance notice - Who can give it: Commissioner, System Governor; What it asks for: Fix or stop conduct that is or may be non-compliant, and reply
• Notice to attend, or to give information or documents - Who can give it: Commissioner, Complaints Commissioner, System Governor; What it asks for: Answer questions or hand over information or documents

The required action notice is the lighter tool. The Guide calls it an initial investigatory tool where stronger powers are not yet needed, such as a complaint where an older person's rights may not have been upheld.

The notice to attend or give information is about gathering facts. Attending means appearing before an authorised officer, possibly answering questions under oath or affirmation. A notice to give information or documents only requires the material. People keep the right not to answer if it could incriminate them.

What triggers a compliance notice?

Two things can trigger one. The Commissioner or System Governor is satisfied the provider has not been or is not following the Act, or they are aware of information that suggests it. That second limb matters: a notice can arrive before every fact is settled.

The Guide says this includes behaviour showing a significant failure or forming part of a systemic pattern of conduct. In the Department's key terms, a significant failure is behaviour far below the quality of care the Act requires, usually a single incident or issue. A systemic pattern means the non-compliance is repeated or widespread, or the provider failed to respond to complaints about it.

The Guide's worked example is ongoing hygiene issues found by an audit across several homes run by one provider. The Commission issues a compliance notice requiring a fix within a set timeframe, because there is clear evidence of serious or repeated non-compliance with the Aged Care Quality Standards.

The Commission's compliance and enforcement page links to its Compliance and Enforcement Policy, which applies from 1 November 2025. That policy says the response depends on the risk to older people and how willing the provider is to work with the Commission.

What must a compliance notice say?

Under the Guide, a compliance notice must include:

• the name of the provider
• details of the issue or actions that go against, or possibly go against, the Act
• what the provider must do, or stop doing
• how long it has to do this, and how long it has to reply to the regulator
• what will happen if it does not follow the notice
• an explanation of the significant failure or systemic pattern of conduct, if that applies.

Read the two time periods separately. The time to act and the time to reply may differ. If anything in the notice is unclear, ask the regulator in writing early rather than guessing.

What should a provider do in the first 48 hours?

The 48 hours is an internal target, not a legal timeframe. The aim is control: everyone knows who owns the notice and when it falls due.

1. Name one owner. A senior manager opens and logs the notice, wherever it landed. The CEO and the person accountable for compliance hear the same day.
2. Look after people first. If the issue involves a current risk to a resident or client, deal with that now, with clinical leads, before the paperwork.
3. Calendar both dates. Add the action date and the reply date, with internal checkpoints well ahead of each.
4. Preserve evidence. Stop routine deletion and keep records as they are. Never edit or backdate anything. Corrections go in as dated additions.
5. Get advice. Take legal advice early, particularly if a notice to attend or to give documents is also in play.

How do you build the response and the evidence file?

Start by scoping the issue honestly. Does it affect one resident or client, one service, or several sites? A systemic pattern turns on how repeated or widespread the problem is, so check other locations and shifts before the regulator does.

Then work through cause, fix and verification: find the root cause, assign owners and dates, and test that the fix works in practice. The evidence file should show a clear line from the notice to the outcome:

• the notice and a log of every communication with the regulator
• incident, complaint and feedback records relevant to the issue
• the policy or procedure that applied, and what changed
• training and competency records for the workers affected
• before and after audit or observation results
• meeting minutes showing decisions and who made them

Write the reply in the same order as the notice, answering each requirement in turn. If a fix cannot be finished in the time given, say so, explain why and give the plan and dates. Silence is the worst option.

A current regulatory audit management policy helps because roles and record handling are already agreed. The same habits support audit readiness.

What does the governing body need to see?

The governing body should hear about a compliance notice before the reply is lodged. Brief it on what the notice says, the risk to older people, actions underway, owners and dates, evidence gathered and any residual risk.

Agree a reporting rhythm too, such as a short update at every meeting until the notice is closed. The governing body responsibilities article covers that oversight, and a governance and board accountability policy sets out how information reaches the board.

What happens after the reply?

Sending the reply is not the finish line. Keep monitoring the issue long enough to show the fix has held, and record each check.

Then ask why the problem got that far. If complaints went unanswered, fix complaints handling. If audits missed the issue, change what you audit. Feed the lessons into your quality improvement policy so the same gap does not reopen at another site.

You may still see the older term "non-compliance notice". That belongs to the previous legislation and is a separate idea, covered in the non-compliance notice (NCN) glossary entry.

What should providers avoid doing?

• Leaving the notice with a service manager without executive oversight.
• Treating the reply date as the only date that matters.
• Blaming one worker when the notice describes a system issue.
• Promising actions the organisation cannot deliver.
• Answering questions under a notice to attend without advice.

For what else the Commission can do, see the Commission regulatory action article, which covers the wider set of tools.

Related Resources

• compliance notice glossary entry
• Commission regulatory action
• regulatory audit management policy
• governing body responsibilities
• policy mapping to the Quality Standards
• Guide to aged care law on issuing notices
• Commission compliance and enforcement

Common Questions About Compliance Notices

1. Who can issue a compliance notice?

The Commissioner and the System Governor. The Guide to aged care law lists the Complaints Commissioner for required action notices and notices to attend or give information, but not for compliance notices.

2. Does a compliance notice mean a significant failure has been found?

Not necessarily. A notice can be given where the regulator is satisfied of non-compliance or is aware of information suggesting it. An explanation of a significant failure or systemic pattern of conduct is only required if it applies.

3. What are the penalties for not following a notice?

The Guide says there are penalties for not complying with these notices, and each notice must state what happens if it is not followed. The Guide gives no amounts, so check the Act with your adviser rather than quoting a figure.

4. Is a compliance notice the same as a non-compliance notice?

No. The non-compliance notice belongs to the previous legislation. The compliance notice is the tool under the Aged Care Act 2024.

Answer the notice on time, with evidence

A compliance notice is a deadline-driven project that needs an owner, a scoped problem and a verified fix. The regulator looks at the risk to older people and at how willing the provider is to work with it, so the reply should show both. Tell the board before the reply goes in, not after. Your next step is to check that your process names who opens a notice, who calendars the dates and who briefs the governing body.