1. Although Rumbles Realty Pty Ltd applied to have the Bond Dispute reheard on two occasions the applications were both rejected by the Tribunal without a hearing.
2. On 4 July 2013, the Federal Court ordered that Rumbles Realty Pty Ltd be wound-up, KL commenced operating the business formerly operated by Rumbles Realty Pty Ltd as a sole trader under the name of Rumbles Real Estate, and employed WR as a registered sales person of that business.
3. On 12 August 2013, on the application of the Tenants, the ACT Magistrates Court made a Sale & Seizure Order against the Lessor to enforce the ACAT Orders.
4. On 3 September 2013 the Sherriff of the ACT Magistrates Court informed the Lessor of the Sale & Seizure Order against her. Prior to that contact from the Sherriff. The Lessor was not aware of the Bond Dispute, the ACAT Orders, or the Sale & Seizure Order.
5. On 18 September 2013 the Lessor paid $1,348.80 (being the amount order by the ACT of $1,227.00, plus interest of $33.80, plus the Magistrate Court enforcement officer's fees and costs of preparing the order $88.29) into the ACT Magistrate Court in satisfaction of the Sale & Seizure Orders.

1. On 29 October 2013 the Lessor lodged a complaint with the Applicant alleging, in substance, that Rumbles Real Estate Pty Ltd failed to properly discharge its responsibilities under the Agency Agreement.
2. From December 2013 to May 2014 the Applicant's staff liaised with Rumbles Realty Pty Ltd in regards to the Lessor's complaint.
   • (a) The Applicant's staff made five requests to WR and KL for records or information in relation to Rumbles Realty Pty Ltd's management of the Lease and Property and the conduct of the Bond Dispute.
   • (b) The Respondent has not retained any records which would enable it to adequately respond to those requests.

1. On two prior occasions WR has been subject to disciplinary or related orders regarding his conduct as a registered sales person (as identified in Part B of the application in Matter OR 15/29).
2. Rumbles Real Estate Pty Ltd has been subject to three prior orders regarding its conduct as a licensed agent (as identified in Part B of the application in Matter OR 15/29).
3. KL has not been subject to any prior orders regarding her conduct as a registered sales person or licensed agent, but she was the agent in charge of the place of Rumble's Real Estate Pty Ltd's business and Rumble Real Estate Pty Ltd employed WR on each of the occasions on which the incident giving rise to the disciplinary orders against WR and Rumble Real Estate Pty Ltd occurred.

1. The parties agree that the facts described above in Part A:
   • (a) Demonstrate that WR did not:
     • (i) Seek appropriate and timely instructions from the Lessor with respect to maintenance issues at the property and/or address those maintenance issues in an appropriate and timely fashion or did not receive appropriate instructions from the Lessor.
     • (ii) Provide the Lessor with adequate or appropriate information about the Bond Dispute, seek the Lessor's instructions with respect to the conduct of the Bond Dispute, or appropriately represent the Lessor's interests.
     • (iii) Record material details in relation to the Lease, the Bond Dispute or the conduct of the matter.

(b) Constitute a contravention of the rules of conduct (the Rules of Conduct) established under s 171 of the Agents Act and schedule 8 of the Agents Regulation 2003 (Schedule 8) on the part of WR for:

• (i) Failing to act honestly, fairly and professionally with all parties in a transaction as required by clause 8.4(1) of Schedule 8;
• (ii) Failing to exercise reasonable skill, care and diligence as required by clause 8.5 of Schedule 8; and
• (iii) Failing to promptly respond to and attend to all requests by a tenant, for maintenance of, or repairs to; the property as required by clause 8.34 of Schedule 8.
• (iv) Failing to act in the client's best interest at all times unless it would be contrary to the Act or otherwise unlawful to do so as required by cl. 8.7 of Schedule 8;
• (v) Failing to record material details in relation to the Bond Dispute or the conduct of the matter as required by s. 127(1) of the Agents Act.

(c) Constitute a contravention of the Rules of Conduct on the part of KL for failing to take reasonable steps to ensure that WR and/or Rumbles Realty Pty Ltd complied with the Agents Act as required cl. 8.11 of Schedule 8.

1. Those matters therefore constitute grounds for occupational discipline against both WR and KL for the purposes of s. 65(1) of the ACAT Act.

[1] Section 56 (b), ACAT Act gives the tribunal power to make orders with the consent of the parties to an application

[2] See the analysis of the decision of the Full Court of the Federal Court in Minister for Industry, Tourism & Resources v Mobil Oil Australia Pty Ltd [2004] FCAFC 72 and the discussion of the nature of civil penalty proceedings and the procedures that should be adopted for them by the majority in Commonwealth of Australia v Director, Fair Work Building Industry Inspectorate Construction, Forestry, Mining and Energy Union v Director, Fair Work Building Industry Inspectorate [2015] HCA 46 at [31]- [32] and [48] to [61]

[3] Section 41(1)(b), Agents Act 2003

[4] Section 65(1)(b), Agents Act 2003