ROCpod: Talking with the Registered Organisations Commission

Members, officers and employees of registered organisations can report a concern about their registered organisation to the Fair Work Commission. However, registered organisations are encouraged to develop and implement a formal whistleblower policy to assist them to investigate and address concerns reported directly to them.

Registered organisations can use our 2024 compliance snapshot to understand their own achievements and priorities and monitor their own performance against other organisations.

Whistleblowers have the right to disclose a concern without reprisal under the Fair Work (Registered Organisations) Act 2009 (the RO Act). However, not all disclosures are protected.   In this episode we talk about; matters that are commonly the subject of protected disclosures, what ‘disclosable conduct' is and isn't, including specific examples and protections for whistleblowers and the relevant eligibility criteria.

Reporting units are required to meet financial reporting obligations each year under the Fair Work (Registered Organisations) Act 2009 (the RO Act). After being lodged with us, financial reports are assessed by our Financial Analysis Team.  

The General Manager has recently released the Compliance and Enforcement Policy which covers registered organisations.   In this episode, we talk about the Commission's approach to regulation, and what enforcement tools and activities may be used where there are potential instances of non-compliance. 

Education is one of our core functions and we are constantly working to improve the material we provide using feedback from registered organisations. In this episode we talk about accessing and using a variety of education resources available on the Fair Work Commission website. 

The General Manager of the Fair Work Commission has been given expanded powers and functions to use compliance and enforcement instruments in the regulation of registered organisations. In this episode of RO pod, we look at these new enforcement tools and how they may affect registered organisations, as well as the types of conduct they apply to.

The Fair Work Commission has made changes to the right of entry permit application process in response to the recommendations of the Registered Organisations Governance and Compliance External Review. You will hear about how the application process has been simplified, and how this will affect organisations and permit holders. 

In this episode of RO pod we talk with the General Manager, Murray Furlong, about the transfer, the internal restructure to produce a unified Registered Organisations Services Branch, and his strategic approach to work with organisations and their peak bodies. The General Manager discusses his plans to encourage compliance and enhance transparency and accountability to members of registered organisations and expediting the reporting and application processes for organisations. 

In this episode of RO pod, we talk about how rule alteration procedures can vary across organisations. We also discuss what you might need to consider when it comes to differing notice requirements, how rule alterations can affect upcoming elections and the legislative requirements.

Officers of Registered Organisations with financial responsibilities must undertake approved financial training, or apply for an exemption from training, within six months of taking office. In our latest podcast episode, we discuss financial training and when and how to apply for an exemption from training.

Registered organisations and branches need to lodge prescribed information with the Fair Work Commission at least two months before your rules say nominations are open. The election is then conducted by the Australian Election Commission (AEC) unless the branch holds an exemption. There has been a disruption to election cycles over the past few years as a result of the COVID-19 pandemic and the AEC being unable to conduct elections for a period of time. In this episode, we discuss what you must do if your rules say that an election is due to be held, whether or not you've had a missed or delayed election, and how you can resynchronise your election cycles. We also look at other current issues that we are seeing with industrial elections that organisations should be aware of.  

In the latest episode of our podcast series, we talk to the Executive Director of the branch. He discusses the move to the Fair Work Commission, the current review, emerging issues and changes to the regulatory functions.

In the latest episode of our podcast series, we discuss the important information that new officers need to understand and what they must do to discharge their duties as an officer in a registered organisation.

In this month's episode of the podcast, we'll be talking about how to take effective minutes of your meetings. Minutes provide evidence for what is discussed and decided on at your meetings. Good minutes can protect an organisation and its officers, particularly if decisions are called into question later and evidence needs to be provided. A reminder to all our listeners that the Registered Organisation Commission (ROC) will be abolished from 6 March 2023 and that all of the ROC's functions will be transferred to the Fair Work Commission from this date.

The vast majority of organisations we work with want to comply with their legislative obligations and they take steps to do just that. However, mistakes and non-compliance do happen. In this episode we will be talking about the steps that registered organisations should take when they identify non-compliance and how organisations can work with the regulator to resolve these issues.

Many of the compliance requirements of registered organisations have specific timeframes that are prescribed by law. In this month's episode of ROCpod we'll identify what those compliance requirements are and share our strategies to help you beat the deadline.

In this month's podcast the Registered Organisations Commissioner and Executive Director discuss the components of contemporary good governance in registered organisations and the practical implications of the Fair Work Legislation Amendment (Secure Jobs, Better Pay) Bill 2022 (the Bill) for registered organisations

A good expenditure policy helps to ensure an organisation's spending is in line with its objectives and purpose and can protect the organisation and its officers. In this month's podcast we talk about what an effective expenditure policy looks like and outline practical steps for organisations to take in developing and implementing these policies. 

In this month's podcast we talk about the practical steps that organisations can take to manage related parties. Keeping records about related parties and publicly reporting information about them is essential to the good financial governance of registered organisations.

In this month's episode of ROCpod we'll be answering the question - does the Registered Organisations Commission (ROC) have jurisdiction? The ROC monitors and enforces compliance by registered organisations, their branches, officers and employees. But not all issues that are reported to us are within the ROC's powers. 

In our July episode of ROCpod we talk about our regulatory response to non-compliance, which can range from engagement and education through to litigation and shine a spotlight on ROC inquiries and investigations.

In our June episode of ROCpod we talk about the rules of registered organisations, and how they can influence compliance outcomes.  

In this month's podcast we talk about the important role of the committee of management in registered organisations and branches. Committees of management need to invest time into nurturing a positive culture to challenge ideas, foster respectful relationships and ensure that they are best serving the interests of members.

In this month's podcast we talk about a hot topic in our jurisdiction – conflicts of interest and how to successfully manage them.

In this month's podcast we are joined by Michael Mundt and Stephen Milgate who are partners at Daley Audit. They share their practical experiences of working with registered organisations and branches to audit the financial report.

In this month's podcast we talk about financial decision-making in registered organisations, and the practical steps you can take to meet the expected standards of conduct in your organisation. We also discuss how organisations can promote good governance. 

The ROC has a complaints handling process to manage and fairly resolve protected disclosures, taking into account the information provided by the whistleblower, the registered organisation concerned and other sources. Listen to our first episode for 2022 to find out how eligible disclosures are managed behind-the-scenes, including real-world examples and best practice tips to inform an investigation.

Our final podcast for 2021 is about the annual return of information, which needs to be lodged with the ROC by 31st March 2022. This podcast will help you to get on the front-foot as you prepare to lodge your annual return early next year.

As 2021 comes to a close, we talk to the ROC's Executive Director, Chris Enright, about the latest compliance issues involving registered organisations and office-holders as well as the ROC's priorities for the year ahead. Note: The Digital Classroom will be available on the ROC website from 30 November.

This month we talk about transparency in registered organisations and the practical steps you can take to promote engagement and participation by members.  We share good governance strategies to help registered organisations promote financial transparency, including through record-keeping procedures and the management of disclosures. 

It's essential for registered organisations to know who their related parties are. It's relevant for financial reporting and also your disclosure requirements under the Fair Work (Registered Organisations) Act 2009 (the RO Act). In this month's episode of ROCpod we explore the compliance requirements about related parties.

In this month's podcast we explain the statutory duties of office-holders and share tips about how organisations can support their officers to act ethically and comply with their duties. We also discuss contemporary examples of how the Courts have enforced them.

This month, Commissioner Mark Bielecki reflects on recent matters from corporate Australia where governance practices have faced public scrutiny. While the analysis has largely focussed on conduct outside of our jurisdiction, Commissioner Bielecki explains the transferrable lessons relevant for registered organisations and their officeholders.

Some reporting units must act now to rotate their registered auditor. Do you know when your reporting unit is due to rotate your registered auditor? In this month's podcast we talk about the auditor rotation requirement under the Fair Work (Registered Organisations) Act 2009 and provide answers to the most frequently asked questions.

In our latest episode of ROCpod we talk about how the ROC assesses financial reports and the tools available to improve compliance performance. We also identify the common non-compliance issues with prescribed information for elections and share how registered organisations can support an efficient decision-making process.  The episode uncovers some common roadblocks to processing a lodgement, and the education resources that can help to avoid errors and delays.

The ROC’s approach to compliance and enforcement starts with providing education and assistance, including tools and resources to help with compliance and offering tailored assistance to organisations and branches. We routinely work with organisations to strengthen their systems and processes to prevent future breaches of the law. Where serious non-compliance has not resolved via alternative processes, the ROC has pursued a small number of matters in the Federal Court. We discuss what the judges have said and how this is important to all registered organisations.

In our latest episode of ROCpod we discuss how leaders of registered organisations can model ethical behaviour and encourage people to speak up against misconduct. The ROC’s Executive Director Chris Enright shares his experience of handling whistleblower matters and provides strategies and examples to assist organisations to effectively resolve matters themselves. 

Elections are again underway, after they were suspended in 2020 due to safety concerns with COVID-19. Organisations interested in conducting their own elections (instead of using the Australian Electoral Commission, which is the default position under legislation) have approached the ROC for guidance and we have assisted them to navigate the process. In our latest episode of ROCpod we discuss the challenges and offer practical solutions to them, including how a registered organisation can obtain an exemption to conduct their own elections.

Registered organisations often engage with multiple regulators at one time. For example, most organisations require the assistance of the ROC and the Australian Electoral Commission (AEC) to fill their office positions through elections.  If your organisation is considering a rule change, listen to the podcast to discover how the Fair Work Commission (FWC) and the ROC can provide advice and assistance to you throughout the process. In our latest episode of ROCpod: Talking with the Registered Organisations Commission we focus on the ROC’s relationships with the FWC, the AEC and the Fair Work Ombudsman. The podcast will help you understand the related functions of each agency, and how to obtain support when undertaking compliance work.

Our final episode of ROCpod for this year is an instalment of our Good Governance in Practice series about managing conflicts of interest. Officers of registered organisations have a responsibility to carry out their duties in good faith and in the best interests of the organisation. A personal interest may come into conflict with this responsibility. However through good governance, organisations can identify and manage conflicts of interest. In our latest podcast we draw on examples of case law and whistleblower disclosures to illustrate the potential consequences of conflicts of interest and suggest practical strategies for responding to them.

Our latest episode of ROCpod features a conversation with the Registered Organisations Commissioner Mark Bielecki. He reflects on the challenges of this extraordinary year, and the compliance achievements of registered organisations. Don’t miss out on hearing about the key priorities for registered organisations in 2021, and how we can help you achieve voluntary compliance.  

Officers of registered organisations play an important role in the running of their organisation, and they are influential drivers of good governance. It is essential that all officers have the knowledge and tools to carry out their functions and responsibilities under their organisation’s rules and the Fair Work (Registered Organisations) Act 2009 (‘the RO Act’). An induction program is a structured way of providing new officers with much of the information and support they need to be confident and productive in their role. Informing officers about their duties as an officer, like their financial responsibilities under the RO Act, can make a real difference to compliance and can deter and prevent misconduct. It is best practice for officers to be made aware of their statutory duties, and the policies and procedures of their organisation, when they take office. In our latest episode of ROCpod we discuss how induction can lift the standards of governance and contribute to a culture of voluntary compliance.

The Registered Organisations Commission is committed to educating registered organisations about financial and other responsibilities and engaging with them to provide practical tools to help with compliance.  In our latest episode of ROCpod we shine a spotlight on the tools that can save organisations time and money when complying with the Fair Work (Registered Organisations Act) 2009.  Our materials have been carefully designed to simplify the compliance requirements of the RO Act. We encourage organisations to use all of the resources available on the ROC website, which have been developed in consultation with stakeholders and are regularly reviewed in response to feedback. 

Meetings are an essential part of running a registered organisation. They are the place for decision-making, sharing information, asking questions and solving problems. The Fair Work (Registered Organisations) Act 2009 (the RO Act) requires the rules of registered organisations to govern how certain meetings are conducted in organisations and branches.  However, effective governance practices for conducting meetings go beyond the requirements in the RO Act. In this episode of ROCpod we focus on key concepts like notice requirements, minute-taking, quorums and proxies, and provide real-life examples to illustrate how you can achieve best-practice for the conduct of meetings.

To ensure that federally registered organisations are accountable to their members and function democratically, the regulatory scheme governing them requires that office holders in organisations  and their branches must be elected. The majority of elections for office holders in federally registered organisations are conducted by the Australian Electoral Commission through arrangements made by the Registered Organisations Commissioner and in accordance with the regulatory scheme. In this episode we discuss how organisations and branches can lodge their prescribed information (P.I) with the ROC in a way that supports the efficient arrangement of their elections. In the 2019/20 financial year, the ROC took an average of 21 working days to issue an election decision following the lodgement of PI. We work with organisations and other stakeholders to issue timely and accurate election decisions and there are a range of issues which contribute to how long that takes, including the necessity for the ROC to seek additional information and in some cases, where organisations request that decisions be delayed while they are seeking to have rule alterations approved by the Fair Work Commission. The ROC is seeking to reduce the average time taken to issue election decisions and we know that registered organisations who use the ROC’s prescribed information template, which identifies all of the relevant information they need to provide, are more likely to have their election arranged quickly.

Proper decision making and good record keeping can protect the registered organisation, its officers and its members. They are equally important to ensure that registered organisations are transparent and accountable to their members. There are a number of records that registered organisations must keep under the Fair Work (Registered Organisations) Act 2009 (the RO Act). However, good governance practices may go beyond the requirements in the RO Act. To assist people in registered organisations to apply best practice governance processes, the ROC has released a new podcast episode. These resources include real life examples, practical tips and concrete learnings from years of working with organisations. This is the first podcast in our ‘Good governance in practice’ series, which we will be bringing to you over the next year. These podcasts will include handy tips about what registered organisations should consider on topics such as inducting new officers, holding meetings, and how to manage potential conflicts of interest.

In our latest podcast episode we take listeners on a behind the scenes tour of the ROC. We speak to staff representing the investigations and compliance, financial reporting, and education teams to get an insight into the work they do to assist registered organisations, their branches and officers. You meet some of the people who work with registered organisations to: Resolve compliance issues in advance of inquiries and investigations Respond to whistleblower disclosures, including investigating the matter and liaising with relevant parties Provide tailored advice to over 340 reporting units and their auditors to assist with financial reporting obligations Publish resources which simplify compliance obligations. The ROC is a small agency which works hard to provide both tailored assistance and general guidance to stakeholders.

The COVID-19 pandemic is presenting significant challenges for the community, including registered organisations, as physical distancing and other measures require us to work in different ways. In this episode we explore some of the issues we know registered organisations are navigating at this time, and discuss the help and assistance available from the ROC. Please note that we have changed our podcast schedule in order to respond to the emerging concerns and issues of our stakeholders. We are planning to release the elections podcast which was planned for April, in the coming months.

In this episode we are joined by the Registered Organisations Commissioner Mark Bielecki and the Executive Director Chris Enright. We discuss the ROC’s approach to the regulation of registered organisations in Australia, and reflect on how the regulation of organisations has evolved over time.

In this episode, we take a closer look at the obligation for organisations and branches to lodge an Officer and related party disclosure (ORP) statement. Since this requirement came into effect in 2018, the ROC has consulted with registered organisations to provide tailored advice about how to prepare the ORP statement in compliance with the RO Act. This episode features a discussion between three members of staff who have been directly involved in the assessment of ORP statements. In this episode we identify the common areas of non-compliance, and answer the frequently asked questions.