Voluntary dealings with regulators: Practical insights, tips & traps for agribusinesses

Agribusiness is a highly regulated industry, with many interacting with various regulators such as the Australian Competition and Consumer Commission (ACCC) and the Australian Pesticides and Veterinary Medicines Authority (APVMA). These interactions can arise in many circumstances, sometimes under compulsion (such as responding to an ACCC section 155 or an APVMA ), but increasingly through voluntary engagement, in which the regulators request assistance, information, or cooperation.

Voluntary dealings can occur in a range of different contexts, including:

• early‑stage inquiries
• market studies
• product safety issues
• emerging conduct concerns, or
• informal information‑gathering.

Even though these interactions are not legally mandated, our lawyers have found through their practice that how a business responds can meaningfully influence the regulator’s approach, the duration of an inquiry, and the likelihood of escalation.

Key takeaways

This article provides practical insights into responding to ACCC voluntary requests, including:

• How to protect your business when you receive a request from a regulator?
• What evidence to provide the regulator?
• How to maintain a constructive but controlled relationship with the regulator?

Understanding what “voluntary assistance” means

Various regulators can request information from businesses outside the compulsory powers granted via a section 155 or section 130 notice.\

These voluntary requests may be made through:

• Emails or phone calls from case officers
• Information requests through the Regulators’ Evidence Portals (which accept both compulsory notices and voluntary requests for information).
• Early‑stage inquiries in product safety and product efficacy matters (e.g. voluntary reporting of potentially dangerous incidents).

Engaging voluntarily does not mean the business has no risk, but through our interactions with regulators, our lawyers working within this field have found that voluntary engagement may provide more flexibility in how you respond.

Benefits of voluntary cooperation (if done properly)

There are many benefits to working with the regulators to demonstrate a willingness for cooperation, but the key is to balance the benefits and risks. Through their experience working with a variety of regulators, the right lawyer can offer a strategic pathway to cooperation, that may lead to the following benefits.

4. Early resolution and reduced scrutiny
   Providing targeted information early can sometimes prevent matters escalating to a formal investigation.
5. Demonstrating a culture of compliance
   Various Regulators’ enforcement policies highlight that they do prioritise conduct causing widespread harm, and look for behaviours that demonstrate compliance. Voluntary engagement can sometimes support this narrative.
6. Opportunity to shape the regulator’s understanding
   Unlike a section 155 notice issued by the ACCC, or a section 130 notice issued by the APVMA — both of which are rigid and compulsory — voluntary engagement can allow businesses to offer context, propose framing, and clarify commercial realities.
7. Protection against later allegations of non‑cooperation
   Where product safety or consumer risks are at issue, the various regulators also encourage voluntary reporting of potential issues even when mandatory reporting is not required.

Key risks in voluntary dealings and how to manage them

Even with the above benefits of voluntary cooperation, voluntary dealings can carry real legal and commercial risks if mishandled, leading to a range of unfavourable outcomes.

1. Over‑disclosure
   Providing more information than necessary can unintentionally give rise to additional regulatory lines of inquiry.

   Tip: Answer the question asked — no more, no less.

2. Inaccurate or inconsistent information
   Even voluntary information must be correct, as inconsistencies may lead to a compulsory notice or broader investigation.

   Tip: Have a controlled internal review process and get legal advice before releasing anything.

3. Waiving legal professional privilege
   Businesses risk losing privilege if they provide privileged documents or inadvertently disclose legal advice to the Regulators or other third parties.

   Tip: All material should be privilege‑checked before disclosure.

4. Creating discoverable material
   Drafts, internal emails, and new summaries created “to help the Regulator” can become discoverable in later investigations or litigation.

   Tip: Avoid creating new explanatory documents unless strategically necessary.

5. Signalling internal issues the Regulator was not aware of
   Well‑intentioned but poorly framed responses can suggest broader compliance problems.

   Tip: Position your response in a way that shows responsible governance, not systemic failure.

Practical tips for responding to voluntary ACCC requests

As with many things in business, there are great benefits to getting the basics right, and this is certainly the case when responding to regulator requests. While some of these tips may seem obvious, misinterpretation can cause an unwanted escalation. Proceeding with caution is a must!

1. Establish a single point of contact
   Centralised communication helps ensure consistency and prevents staff from saying more than they should.  Consider using your lawyers as the point of contact to help demonstrate the seriousness with which the communication is being treated, but also to create another layer of involvement.
2. Clarify the scope of the request
   It is perfectly permissible (and advisable) to ask:

• • What issue is being considered?
  • How the information will be used?
  • The timeframe and urgency.

If extensions of time or clarifications are needed, it is best to do this sooner, rather than later, and with good underlying reasons in support.

3. Use the regulators’ evidence portals for secure uploads
   The various regulators’ evidence portals are specifically designed for both compulsory and voluntary information submissions, providing a secure upload environment.
4. Provide accurate but carefully curated materials
   Focus on factual accuracy and relevance. Avoid speculation or narrative unless it is strategically helpful.
5. Retain privilege
   Clearly label privileged documents and avoid providing them unless necessary and strategically sound.
6. Document your process
   Keep internal records of:

• • What was requested?
  • What was provided?
  • When and by whom?

This ensures consistency if the matter escalates.

7. Maintain a constructive tone
   The regulators typically appreciate cooperation and transparency. Demonstrating constructive engagement (without over‑disclosure) can help to protect your organisation’s standing.

8. Know when to say “no” (politely!)
   A request for voluntary engagement is exactly that — voluntary. If the request is too broad, disproportionate, or commercially sensitive, businesses may push back and negotiate scope.

When voluntary dealings become compulsory

If the various regulators consider the voluntary response provided insufficient, it can escalate to:

• a formal notice (compelling information, documents or oral examination),
• a product safety or efficacy investigation,
• or more formal enforcement action depending on the subject matter.

Providing clear, accurate information voluntarily can avoid escalation — but mishandling voluntary dealings can sometimes hasten it.

Final thoughts: Strategic cooperation is key

Voluntary dealings with the various Regulators can present significant opportunities to resolve issues early and signal a strong compliance culture — but only if approached strategically.

The right approach is a balance of cooperation, legal rigour, controlled communication, and careful preparation. Often, you only get one shot.

By planning your engagement and response processes now, businesses can confidently manage voluntary interactions with the regulators while minimising legal risk.

Contact our lawyers for compliance and regulatory advice

Macpherson Kelley’s lawyers are skilled in negotiations and requisitions with the regulators. For further information and assistance, contact our compliance lawyers.

If you would like legal support from a lawyer with proven experience working with Agribusiness clients, our Agribusiness industry has a range of legal experts spanning multiple practice areas for all your business needs. Get in touch with our Agribusiness team today.

The information contained in this article is general in nature and cannot be relied on as legal advice nor does it create an engagement. Please contact one of our lawyers listed above for advice about your specific situation.