Auction Sales Regulations 1974 (Western Australia)

The Auction Sales Regulations 1974 (WA) set out procedural and administrative detail required to implement the Auction Sales Act 1973. Mechanically the regulations prescribe application and licence forms, the fees payable for different licence types, the format and contents of the stock register to be kept at livestock auctions, offences connected with failing to produce waybills and making false statements, and the process for police inquiries that feed into licensing decisions. Specific mechanics include: a table of application fees and the exact forms to be used (reg 3 and Schedule Forms 1-7 and 8-13); rules on renewal fees and late renewal surcharge (reg 4 and reg 3(1A)); the requirement that police officers inquire into character, fitness and relevant circumstances on receipt of applications and report in writing to the court (reg 8); prescribed periods for a general or restricted licence (reg 8A and reg 8B); a registrar refund mechanism where a general or restricted licence is surrendered (reg 8C); a mandatory stock register format and same‑day entry obligation with specified particulars per lot (reg 9 and Form 15); an offence for selling or submitting stock for auction without furnishing a waybill issued under the Biosecurity and Agriculture Management (Identification and Movement of Stock and Apiaries) Regulations 2013 (reg 10); and an offence for wilfully making false or misleading statements in relation to any application, objection, register or proceeding under the Act or regulations, with the penalty tied to s 35 of the Act (reg 11).

The regulations also record practical administrative matters: where applicants get application forms (free from the registrar of the Magistrates Court, reg 3(2)), that licences and transfers must be in specified form (reg 3(3), (4)), and that renewals are not automatic (reg 4(2)). The compilation table and notes record a long amendment history tying fee changes and new provisions (for example reg 8A-8C) to later regulations and to the Licensing Provisions Amendment Act 2016; those dates are material for transitional treatment (reg 8B). The instrument therefore operates as an implementation manual: it defines who pays which fee, who must keep records, who must provide supporting documents (waybills, medical evidence), and who (magistrate, registrar, senior police officer) decides key steps in licensing and enforcement.

CrestWestern Australia

Auction Sales Act 1973

Auction Sales Regulations 1974

Western Australia

Auction Sales Regulations 1974

Contents

Citation 1
Forms 1
Applications 1
Renewals 3
Application for transfer of licence 4
Police inquiries 4

8A. Prescribed period for general or restricted licence 5

8B. Prescribed period for renewed general or restricted licence 5

8C. Refund of prescribed fee if licence surrendered 6

Stock register 6
Waybills 7
Misrepresentation 7

Schedule

Notes

Compilation table 26

Other notes 27

Defined terms

Auction Sales Act 1973

Auction Sales Regulations 1974

1. Citation

(1) These regulations may be cited as the Auction Sales Regulations 1974.

(2) In these regulations the Auction Sales Act 1973 is referred to as the Act.

[Regulation 1 amended: Gazette 29 Aug 1986 p. 3205.]

[1A. Deleted: SL 2021/86 r. 9.]

2. Forms

The forms prescribed for the purposes of the Act are set out in the Schedule.

3. Applications

(1) An application set out in Column 1 of the Table to subregulation (1A) must be made using the form set out opposite the application in Column 2.

(1A) The fee payable for an application set out in column 1 of the Table is the fee set out opposite the application in column 3.

Table

Item	Column 1<br>Application	Column 2<br>Form	Column 3<br>Fee ($)
1.	General licence	Form 1	592.00
2.	Restricted licence	Form 2	592.00
3.	Occasional licence	Form 3	69.50 per licence
4.	Interim licence	Form 4	16.00 per month or part of a month
5.	Provisional licence	Form 5	16.00 per month or part of a month
6.	Duplicate licence	Form 6	1.70
7.	Transfer of licence	Form 7	55.50

(2) Copies of the application forms required may be obtained, free of charge, from the registrar of the Magistrates Court 1, 2.

(3) A licence set out in Column 1 of the Table must be in the form set out opposite the licence in Column 2.

Table

Item	Column 1<br>Licence	Column 2<br>Form
1.	General licence	Form 8
2.	Restricted licence	Form 9
3.	Occasional licence	Form 10
4.	Interim licence	Form 11
5.	Provisional licence	Form 12

(4) The form of transfer of a licence shall be in Form 13 and shall be endorsed on the original licence to which it relates.

[Regulation 3 amended: Gazette 28 Oct 1983 p. 4372; 29 Aug 1986 p. 3205; 5 Aug 1988 p. 2629; 30 Jun 1989 p. 1976; 1 Aug 1990 p. 3658; 13 Dec 1991 p. 6156; 14 Aug 1992 p. 4016‑7; 27 Jun 2013 p. 2662; 17 Jun 2014 p. 1956; 23 Jun 2015 p. 2161; 3 Jun 2016 p. 1751; 23 Jun 2017 p. 3221; 27 Jun 2017 p. 3408‑9; 25 Jun 2018 p. 2329; 18 Jun 2019 p. 2083; SL 2020/196 r. 7; SL 2021/86 r. 10.]

[3A. Deleted: SL 2021/86 r. 11.]

4. Renewals

(1A) In addition to the fee payable under subregulation (1) on the renewal of a licence, the fee payable for an application for the renewal made after, but within 3 months of, the date on which the licence expires is 25% of the appropriate licence fee.

(1) The fee payable on the renewal of a licence shall, subject to apportionment in respect of periods of less than 12 months, be the fee payable on application for that kind of licence as set out in the Table to regulation 3(1A).

(2) A licence shall not be renewable as of right.

(3) An application for the renewal of a licence shall be made in the same manner as an application for the grant of a licence, save that the applicant is not required to lodge character testimonials.

[Regulation 4 amended: Gazette 6 Oct 1978 p. 3634; 27 Jun 2017 p. 3409; SL 2020/196 r. 9.]

5. Application for transfer of licence

[(1) deleted]

(2) Where the application is for the transfer of a licence the application shall be made in Form 7 by the proposed transferee and shall be endorsed with the consent of the proposed transferor and on behalf of the firm or corporation (if any) named in the original licence as that for the benefit of which the licence is to be used.

[Regulation 5 amended: Gazette 27 Jun 2017 p. 3409.]

[6, 7. Deleted: Gazette 27 Jun 2017 p. 3409.]

8. Police inquiries

On receipt of a copy of the application for the grant, renewal or transfer of a licence from the registrar of the Magistrates Court 1, 2, the senior police officer stationed within the police district shall —

(a) inquire as to the character and suitability of the applicant; and

(b) inquire as to the fitness and repute of the persons responsible for the management of that firm or corporation where the licence is sought for the benefit of a firm or corporation; and

(c) inquire as to the circumstances and the likelihood of the occasion occurring, where an occasional licence is sought; and

(d) inquire as to the genuineness of the incapacity by a medical certificate or other evidence, where an interim licence is sought; and

(e) report in writing to the court the result of his inquiries.

8A. Prescribed period for general or restricted licence

For the purposes of section 19(2A)(b) of the Act, the prescribed period for a general or restricted licence is 3 years.

[Regulation 8A inserted: Gazette 27 Jun 2017 p. 3409.]

8B. Prescribed period for renewed general or restricted licence

(1) In this regulation —

transition period means the period commencing on the day on which the Licensing Provisions Amendment Act 2016 section 8 comes into operation and ending 12 months after that day.

(2) For the purposes of section 19(2B) of the Act, the prescribed period for a general or restricted licence that is renewed is 3 years.

(3) However, if an application for renewal of a general licence or a restricted licence is made during the transition period, the prescribed period for the renewed licence is as follows —

(a) for a licence that expires between 1 January and 30 April — a period of 3 years;

(b) for a licence that expires between 1 May and 31 August — a period of 2 years;

[Regulation 8B inserted: Gazette 27 Jun 2017 p. 3409‑10.]

8C. Refund of prescribed fee if licence surrendered

(1) In this regulation —

surrendered licence means a general licence or a restricted licence that is surrendered under section 21(1) of the Act.

(2) The registrar of the Magistrates Court must, on application by a person who was the holder of a surrendered licensee, refund to the person an amount of the prescribed fee paid for the licence that, in the registrar’s opinion, relates to the period between the day the licence is surrendered and the day the licence would have expired.

[Regulation 8C inserted: Gazette 27 Jun 2017 p. 3410.]

9. Stock register

(1) The register to be kept for the purposes of section 30 of the Act shall be in Form 15.

(2) On the same day as a sale of stock is conducted, the auctioneer shall cause to be entered in the register the following particulars as a separate entry for each lot of animals offered for sale —

(a) the number of the pen where the animals were held when auctioned; and

(b) the name and address or identifying code of the vendor of the animals so auctioned; and

(d) a description of the breed and type of animal auctioned; and

(e) the identifier applied to the animals under the Biosecurity and Agriculture Management (Identification and Movement of Stock and Apiaries) Regulations 2013; and

(f) if sold by auction, the price per head of each animal when knocked down to the purchaser, and the name and address or identifying code of the purchaser of the animal; and

(g) if passed in or sold by private treaty, a description of the means of disposal and the name and address of any purchaser.

(3) The auctioneer conducting the sale shall append his signature in the place provided, signifying that the particulars contained in that sheet are, to the best of his knowledge, accurate particulars of all stock offered for sale by him.

(4) Where any alteration to particulars entered on the register appears, the auctioneer shall initial each alteration as being correct.

[Regulation 9 amended: Gazette 5 Feb 2013 p. 833.]

10. Waybills

A person who sells by auction or submits for sale by auction any stock, in relation to which a waybill issued under the Biosecurity and Agriculture Management (Identification and Movement of Stock and Apiaries) Regulations 2013 is not furnished, commits an offence.

[Regulation 10 amended: Gazette 5 Feb 2013 p. 833.]

11. Misrepresentation

A person who wilfully makes any representation or statement which is false or misleading in a material particular in relation to any application, objection, register or other matter or proceeding under the Act or these regulations commits an offence and is liable to the penalties provided by section 35 of the Act.

Schedule

Form 1

WESTERN AUSTRALIA

Auction Sales Act 1973

APPLICATION FOR A GENERAL LICENCE

To the Magistrate 3 at ..........................................................................................................

I, ..........................................................................................................................................

now residing at ....................................................................................................................

and carrying on business at .................................................................................................

and having attained the age of 18 years, do hereby apply for the * renewal/grant of a general licence to act as and carry on the business of, an auctioneer throughout the State in relation to all classes of business to which the Auction Sales Act 1973 applies * (for the benefit of .......................................................................................................................

.............................................................................................................................................

of ........................................................................................................................................,

a * firm/corporation of which I am an * employee/partner/Director, which consents to this application).

Dated the ................................. day of .................................................................., 20........

.........................................................................

Signature of Applicant.

Strike out whichever not required.

† ...........................................................

Consents to this Application.

.........................................................................

Authorised person for

firm or corporation.

† Insert name of firm or corporation.

The application will be heard before the ............................................................................

Court at ................................ on the ......................... day of ................................, 20.......,

at ....................................... o’clock in the ................... noon.

.........................................................................

Registrar of the Magistrates Court 1.

A person wishing to object to this application should lodge with the registrar 1 of the above Court and serve on the applicant or his authorised representative, at least 7 days before the date appointed for the hearing, a notice stating the grounds of the objection.

Form 2

WESTERN AUSTRALIA

Auction Sales Act 1973

APPLICATION FOR A RESTRICTED LICENCE

To the Magistrate 3 at ...................................................................................... ..................

I, .........................................................................................................................................

now residing at ...................................................................................................................

and carrying on business at ................................................................................................

and having attained the age of 18 years, do hereby apply for the * grant/renewal of a restricted licence to act as and carry on the business of, an auctioneer in (1) ...................

............................................................................................................................................

in relation to the sale of (2) ................................................................................................

and during the times stated herein, (3) ...............................................................................

(for the benefit of ............................................................................................................

of ........................................................................................................................................

a * firm/corporation of which I am an * employee/partner/Director and which consents to this application).

Dated the ................................ day of ..............................................................., 20 ..........

.........................................................................

Signature of Applicant.

(1) Describe Police Dist.

(2) Describe Class of Business.

(3) Describe Time Periods.

Strike out whichever not required.

† ...........................................................

Consents to this Application.

.........................................................................

Authorised person for

firm or corporation.

† Insert name of firm or corporation.

The application will be heard before the ............................................................................

Court at .................................................... on the ........................................................ day of .............................................., 20.............., at .......................................... o’clock in the ................... noon.

.........................................................................

Registrar of the Magistrates Court 1.

Form 3

WESTERN AUSTRALIA

Auction Sales Act 1973

APPLICATION FOR AN OCCASIONAL LICENCE

To the Magistrate 3 at ..........................................................................................................

I, ..........................................................................................................................................

now residing at ....................................................................................................................

and carrying on business at .................................................................................................

and having attained the age of 18 years, do hereby apply for the grant of an occasional licence in accordance with section 13 of the Auction Sales Act 1973 to act as an auctioneer * (for the benefit of ...........................................................................................

.............................................................................................................................................

of .........................................................................................................................................

a * firm/corporation of which I am an * employee/partner/Director and which consents to this application) from (1) ......................................... to .................................................

at (2) ...............................................in the ............................................................... Police

District in relation to the sale of (3) ...................................................................................

on the occasion and in the circumstances following (4) ....................................................

........................................................................

I am/am not the holder of a (5) ................................... licence under the Auction Sales Act 1973 in relation to the sale of (3) ................................................................................
(granted to be used for the benefit of ..............................................................................

...........................................................of .............................................................................

which * have/have not consented to the making of this application).

Dated the ................................ day of ............................................................, 20..............

........................................................................

Signature of Applicant.

Strike out whichever not required.

(1) Insert period of licence.

(2) Describe place of sale.

(3) Describe class of business.

(4) Describe reasons for application.

(5) Describe kind of licence.

† ...........................................................

Consents to this Application.

.........................................................................

Authorised person for

firm or corporation.

† Insert name of firm or corporation.

The application will be heard before the ............................................................................

Court at ................................................on the ...............................................................day

of............................................, 20...................., at ....................................... o’clock in the

............................. noon.

.........................................................................

Registrar of the Magistrates Court 1.

Form 4

WESTERN AUSTRALIA

Auction Sales Act 1973

APPLICATION FOR AN INTERIM LICENCE

To the Magistrate 3 at .........................................................................................................

I (1) ..................................................................................................................................
the * firm/corporation for the benefit of which the licence was granted
a person acting on behalf and with the consent of the parties named in the licence of ........................................................................................................................................

hereby apply for the suspension of the (2) .........................................................................

licence No. ....................... granted to (3) ...........................................................................

and for the grant of an interim licence in accordance with section 14 of the Auction Sales Act 1973 in favour of (4) ...........................................................................................

now residing at ....................................................................................................................

and carrying on business at .................................................................................................

for the period from the ...................... day of ..........................to the ..................................

day of ....................................... in relation to the sale of (5) ................................... on the

grounds that (3) ...................................................................................................................

will be incapacitated by reason of (6) .................................................................................

Dated the ................................ day of ............................................................., 20..............

.........................................................................

Signature of Applicant.

Strike out whichever not required.

(1) Name of auctioneer, firm, corporation or proposed licensee making the application.

(2) Describe kind of licence.

(3) Name of auctioneer.

(4) Name of proposed licensee.

(5) Describe class of business.

(6) Describe reason for incapacity.

† ..............................................................................

Consents to this Application.

.........................................................................

Authorised person for

firm or corporation.

† Insert name of firm or corporation.

The application will be heard before the ............................................................................

Court at ......................................................on the ....................................................day of ...................................................., 20................., at ..................................... o’clock in the

.......................................... noon.

.........................................................................

Registrar of the Magistrates Court 1.

Form 5

WESTERN AUSTRALIA

Auction Sales Act 1973

APPLICATION FOR A PROVISIONAL LICENCE

To the Magistrate 3 at ..........................................................................................................

I (1) ..................................................................................................................................
the * firm/corporation for the benefit of which the licence was granted

of .........................................................................................................................................

hereby apply for the grant of a provisional licence under section 15 of the Auction Sales Act 1973 in favour of (2) ....................................................................................................

............................................... to act as an auctioneer under the direct supervision and instruction of (3) .................................................................................................................

for the period from the .............................................day of ...............................................,

to the ......................................... day of ............................................ in relation to the sale of (4)....................................................................................................................................

Dated the ................................ day of ............................................................., 20..............

.........................................................................

Signature of Applicant.

View image in the official source

I (3) .....................................................................................................................................

carrying on business at .......................................................................................................

under a (5) ................................. licence No. ........................................... current until the

............................................. day of ....................................................................................

(for the benefit of .............................................................................................................

of .........................................................................................................................................

a * firm/corporation of which I am an * employee/partner/Director and which consents to this application am aware that I am personally liable and responsible for any act or default of the holder of the provisional licence in the same manner and to the same extent that I would be liable had such act been done or such default been made by me.

Dated the ................................ day of ............................................................, 20...............

.........................................................................

Signature of Auctioneer.

Strike out whichever not required.

(1) Name of auctioneer, firm or corporation making the application.

(2) Name of proposed trainee.

(3) Name of auctioneer.

(4) Describe class of business.

(5) Describe kind of licence.

† ...........................................................

Consents to this Application.

.........................................................................

Authorised person for

firm or corporation.

† Insert name of firm or corporation.

The application will be heard before the ............................................................................

Court at ................................................on the ...............................................................day

of ............................................, 20...................., at .............................................o’clock in the ............................................. noon.

.........................................................................

Registrar of the Magistrates Court 1.

Form 6

WESTERN AUSTRALIA

Auction Sales Act 1973

APPLICATION FOR A DUPLICATE LICENCE

To the Magistrate 3 at ..........................................................................................................

I, ..........................................................................................................................................

now residing at ....................................................................................................................

and carrying on business at .................................................................................................

.............................................................................................................................................

do hereby apply for a duplicate of my (1) ..........................................................................

licence No. ............................. which was issued to me at the ...........................................

Court on the ......................... day of ................................................................, 20.............

My ................................. licence was Lost/Destroyed under the following circumstances .............................................................................................................................................

.............................................................................................................................................

Dated the ................................ day of .........................................................., 20 ................

.........................................................................

Signature of Applicant.

(1) Describe kind of licence.

Form 7

WESTERN AUSTRALIA

Auction Sales Act 1973

APPLICATION TO TRANSFER A LICENCE

To the Magistrate 3 at ..........................................................................................................

I, ..........................................................................................................................................

now residing at ....................................................................................................................

and carrying on business at .................................................................................................

............................................................................................ and having attained the age of

18 years, do hereby apply for the transfer to me of the .....................................................

................................................. licence, number ............................................ issued at the

................................................................ Court on the ........................................... day of

......................................., 20................... to ........................................................................

.............................................................................................................................................

(to be used by me for the benefit of ....................................................................................

of .........................................................................................................................................

a * firm/corporation of which I am an * employee/partner/Director, which consents to this application).

Dated the ................................ day of ................................................................, 20..........

.........................................................................

Signature of Applicant.

Strike out if not required.

†................................................................................the proposed transferor of the licence consents to this Application.

.........................................................................

Signature of transferor.

† Insert name of transferor.

†................................................................for the benefit of which the licence was issued, consent to this Application.

.........................................................................

Authorised person for

firm or corporation.

† Insert name of firm or corporation.

‡.............................................................. for the benefit of which the transferred licence is to be used, consent to this Application.

.........................................................................

Authorised person for

firm or corporation.

‡ Insert name of firm or corporation.

The application will be heard before the ............................................................................

Court at ...........................................................on the ...................................................day of .................................................., 20................, at .................................... o’clock in the

........................................... noon.

.........................................................................

Registrar of the Magistrates Court 1.

Form 8

WESTERN AUSTRALIA

Auction Sales Act 1973

FEE $ No. ...............................

GENERAL LICENCE

This is to certify that ...........................................................................................................

residing at ............................................................................................................................

and carrying on business at .................................................................................................

(for the benefit of .............................................................................................................

a * firm/corporation of whom he is an * employee/partner/Director), is hereby licensed — * subject to the conditions, limitations or restrictions endorsed hereon — to act as, and carry on the business of, an auctioneer throughout the State in relation to all classes of business to which the Auction Sales Act 1973 applies, from the date hereof, until the ......................................................... day of ........................................................, 20 .........................

Conditions, limitations or restrictions (if any) —

.............................................................................................................................................

Issued this ......................................... day of ....................................................., 20 ..........

at the ................................................. Court.

.........................................................................

Magistrate 3.

Fee $ .................................... paid. Date ...../...../..... Receipt No. .......................................

.........................................................................

Registrar of the Magistrates Court 1.

Strike out if not applicable.

Form 9

WESTERN AUSTRALIA

Auction Sales Act 1973

FEE $ No. ...............................

RESTRICTED LICENCE

This is to certify that ...........................................................................................................

residing at ............................................................................................................................

and carrying on business at .................................................................................................

(for the benefit of .............................................................................................................

of .........................................................................................................................................

a * firm/corporation of whom he is an * employee/partner/Director), is hereby

licensed, subject to the conditions, limitations or restrictions endorsed hereon to act as, and carry on the business of, an auctioneer in accordance with the Auction Sales Act 1973, from the date hereof, until the ..................................................................... day of ........................................, 20 .................

Conditions, limitations or restrictions applicable ...............................................................

.............................................................................................................................................

Issued this ........................ day of ..............................................................., 20 ................

at the ................................................. Court.

.........................................................................

Magistrate 3.

Fee $ .................................... paid. Date ...../...../..... Receipt No. ..................................

.........................................................................

Registrar of the Magistrates Court 1.

Strike out if not applicable.

Form 10

WESTERN AUSTRALIA

Auction Sales Act 1973

FEE $ No. ...............................

OCCASIONAL LICENCE

This is to certify that ...........................................................................................................

residing at ............................................................................................................................

and carrying on business at .................................................................................................

(for the benefit of .............................................................................................................

of .........................................................................................................................................

a * firm/corporation of whom he is an * employee/partner/Director), is hereby licensed as an auctioneer in accordance with the Auction Sales Act 1973, in relation to the occasion and circumstances specified herein, but subject to such conditions, limitations or restrictions endorsed herein, from the ........................... day of ...................................., 20........................., until the .................................................. day of ................................., 20........................., inclusive.

Occasion and circumstances ...............................................................................................

.............................................................................................................................................

Conditions, limitations or restrictions applicable ...............................................................

.............................................................................................................................................

Issued this .............................. day of ..........................................................., 20................

at the ................................................. Court.

.........................................................................

Magistrate 3.

Fee $ ................................... paid. Date ....../....../...... Receipt No. ..................................

.........................................................................

Registrar of the Magistrates Court 1.

Strike out if inapplicable.

Form 11

WESTERN AUSTRALIA

Auction Sales Act 1973

FEE $ No. ...............................

INTERIM LICENCE

This is to certify that ...........................................................................................................

residing at ............................................................................................................................

and carrying on business at .................................................................................................

is hereby authorised under the Auction Sales Act 1973 to sell by auction on behalf of, and to act as, and carry on the business of ..........................................................................

............................................................ of ............................................................................

whose † .............................................................. licence would otherwise be current until

.............................................................................................................................................

(for the benefit of .............................................................................................................

of .........................................................................................................................................

a * firm/corporation of whom he is an * employee/partner/Director).

This licence applies from the ........................... day of ........................... 20 ............., until the ............................................ day of ..........................................., 20.............., inclusive during which time the licence held by ................................................................................ is suspended.

This licence is subject to the following conditions, limitations or restrictions ..................

.............................................................................................................................................

Issued this ..................................... day of .................................................., 20...............at the ................................................. Court.

.........................................................................

Magistrate 3.

† Describe kind of licence.

Fee $ .................................... paid. Date ....../....../...... Receipt No. ....................................

.........................................................................

Registrar of the Magistrates Court 1.

Strike out if inapplicable.

Form 12

WESTERN AUSTRALIA

Auction Sales Act 1973

FEE $ No. ...............................

PROVISIONAL LICENCE

This is to certify that ..........................................................................................................

residing at ...........................................................................................................................

is hereby authorised under the Auction Sales Act 1973 to act as an auctioneer under the direct supervision and instruction of ..................................................................................

.............................................................................................................................................

of .........................................................................................................................................

the holder of a † ............................................................... licence issued for the benefit of

.............................................................................................................................................

of .........................................................................................................................................

until the .................... day of ............................................., 20 ....................

The licence applies from the ....................... day of .............................. 20 ............, until the ........................................ day of ..........................................., 20 ............., inclusive, and is subject to the following conditions, limitations or restrictions ................................

.............................................................................................................................................

Issued this ..................................... day of ..........................................................., 20.........

at the ................................................. Court.

.........................................................................

Magistrate 3.

† Describe kind of licence.

Fee $ .................................... paid. Date ....../....../...... Receipt No. ....................................

.........................................................................

Registrar of the Magistrates Court 1.

Period of this licence not to exceed 2 months.

Form 13

WESTERN AUSTRALIA

Auction Sales Act 1973

FORM OF ORDER OF TRANSFER TO BE ENDORSED ON LICENCE

I, .......................................................................................................................Magistrate 3at ..........................................................................................., having heard an application by ......................................................................................................................................, of ...................................................................................................................., for an order transferring licence number ............................................................................................... issued at the ...........................................................Court on the .............................. day of ................................ 20 ..................... to him, and being satisfied that the licensee (or the legal personal representative of the licensee) has consented to the application, and that the applicant is a fit and proper person to be the holder of a licence under the Auction Sales Act 1973, do hereby order the licence to be transferred, and the same is hereby transferred to the said ........................................................................................................, who shall henceforth have the sole right to use and exercise the same, subject to the Act.

Dated the .................................. day of ................................................., 20......................

.......................................................................

Magistrate 3.

[Form 14 deleted: Gazette 22 Nov 1974 p. 5101.]

Form 15

WESTERN AUSTRALIA

....................................... ................ day of .........................., 20 ...........

Type of Stock Auction Sales Act 1973

REGISTER Location ...................

Pen	Vendor,<br>Address	Quantity	Description	Identifier	Price		Purchaser, Address or How Disposed of

.........................................................................

Licensed Auctioneer.

[Form 15 amended: Gazette 5 Feb 2013 p. 833.]

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Notes

This is a compilation of the Auction Sales Regulations 1974 and includes amendments made by other written laws. For provisions that have come into operation, and for information about any reprints, see the compilation table.

Compilation table

Citation	Published	Commencement
Auction Sales Act Regulations 1974 4	13 Sep 1974 p. 3426‑38	13 Sep 1974
Untitled regulations	22 Nov 1974 p. 5101	22 Nov 1974
Untitled regulations	6 Oct 1978 p. 3633‑4	6 Oct 1978
Auction Sales Amendment Regulations 1983	28 Oct 1983 p. 4372	1 Nov 1983 (see r. 2)
Auction Sales Amendment Regulations 1986	29 Aug 1986 p. 3204‑5	1 Sep 1986 (see r. 2)
Auction Sales Amendment Regulations 1988	5 Aug 1988 p. 2629	5 Aug 1988
Auction Sales Amendment Regulations 1989	30 Jun 1989 p. 1976	1 Jul 1989 (see r. 2)
Auction Sales Amendment Regulations 1990	1 Aug 1990 p. 3658	1 Aug 1990
Auction Sales Amendment Regulations 1991	13 Dec 1991 p. 6156	13 Dec 1991
Auction Sales Amendment Regulations 1992	14 Aug 1992 p. 4016‑17	14 Aug 1992
*Reprint of the Auction Sales Regulations 1974* as at 8 Sep 2000** (includes amendments listed above)
Auction Sales Amendment Regulations 2013	5 Feb 2013 p. 832‑3	r. 1 and 2: 5 Feb 2013 (see r. 2(a)); Regulations other than r. 1 and 2: 1 May 2013 (see r. 2(b)(i) and Gazette 5 Feb 2013 p. 823)
Auction Sales Amendment Regulations (No. 2) 2013	27 Jun 2013 p. 2661-2	r. 1 and 2: 27 Jun 2013 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2013 (see r. 2(b))
Auction Sales Amendment Regulations 2014	17 Jun 2014 p. 1956	r. 1 and 2: 17 Jun 2014 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2014 (see r. 2(b))
Reprint 2: The Auction Sales Regulations 1974 as at 7 Nov 2014 (includes amendments listed above)
Auction Sales Amendment Regulations 2015	23 Jun 2015 p. 2160‑1	r. 1 and 2: 23 Jun 2015 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2015 (see r. 2(b))
Commerce Regulations Amendment (Fees and Charges) Regulations 2016 Pt. 2	3 Jun 2016 p. 1745-73	1 Jul 2016 (see r. 2(b))
Commerce Regulations Amendment (Fees and Charges) Regulations 2017 Pt. 3	23 Jun 2017 p. 3213‑52	1 Jul 2017 (see r. 2(b))
Licensing Provisions Regulations Amendment Regulations 2017 Pt. 2	27 Jun 2017 p. 3408‑16	1 Jul 2017 (see r. 2(b))
Commerce and Industrial Relations Regulations Amendment (Fees and Charges) Regulations 2018 Pt. 3	25 Jun 2018 p. 2325‑53	1 Jul 2018 (see r. 2(b))
Commerce Regulations Amendment (Fees and Charges) Regulations 2019 Pt. 3	18 Jun 2019 p. 2077‑115	1 Jul 2019 (see r. 2(b))
*Reprint 3: The Auction Sales Regulations 1974* as at 22 Nov 2019** (includes amendments listed above)
Commerce Regulations Amendment (COVID-19 Response) Regulations (No. 2) 2020 Pt. 3	SL 2020/196 27 Oct 2020	28 Oct 2020 (see r. 2(b))
Commerce Regulations Amendment (Fees and Charges) Regulations 2021 Pt. 4	SL 2021/86 21 Jun 2021	1 Jul 2021 (see r. 2(b))

Other notes

1 Under the Courts Legislation Amendment and Repeal Act 2004 s. 54(2), a reference in a written law to the clerk of petty sessions is, unless the contrary intention appears, to be construed as if it had been amended to be a reference to the registrar of the Magistrates Court. The reference was amended under the Reprints Act 1984 s. 7(5)(a).

2 Under the Courts Legislation Amendment and Repeal Act 2004 s. 58, a reference in a written law to the court of petty sessions is, unless the contrary intention appears, to be construed as if it had been amended to be a reference to the Magistrates Court. The reference was amended under the Reprints Act 1984 s. 7(5)(a).

3 Under the Courts Legislation Amendment and Repeal Act 2004 s. 15(7), a reference in a written law to a stipendiary magistrate is, unless the contrary intention appears, to be construed as if it had been amended to be a reference to a magistrate. The reference was changed under the Reprints Act 1984 s. 7(5)(a).

4 Now known as the Auction Sales Regulations 1974; name changed (see note under r. 1).

Defined terms

[This is a list of terms defined and the provisions where they are defined. The list is not part of the law.]

Defined term Provision(s)

Act 1(2)

surrendered licence 8C(1)

transition period 8B(1)

Western Australia

Auction Sales Act 1973

Auction Sales Regulations 1974

Western Australia

Auction Sales Regulations 1974

Contents

Citation 1
Forms 1
Applications 1
Renewals 3
Application for transfer of licence 4
Police inquiries 4

8A. Prescribed period for general or restricted licence 5

8B. Prescribed period for renewed general or restricted licence 5

8C. Refund of prescribed fee if licence surrendered 6

Stock register 6
Waybills 7
Misrepresentation 7

Schedule

Notes

Compilation table 26

Other notes 27

Defined terms

Auction Sales Act 1973

Auction Sales Regulations 1974

1. Citation

(1) These regulations may be cited as the Auction Sales Regulations 1974.

(2) In these regulations the Auction Sales Act 1973 is referred to as the Act.

[Regulation 1 amended: Gazette 29 Aug 1986 p. 3205.]

[1A. Deleted: SL 2021/86 r. 9.]

2. Forms

The forms prescribed for the purposes of the Act are set out in the Schedule.

3. Applications

(1) An application set out in Column 1 of the Table to subregulation (1A) must be made using the form set out opposite the application in Column 2.

(1A) The fee payable for an application set out in column 1 of the Table is the fee set out opposite the application in column 3.

Table

Item	Column 1<br>Application	Column 2<br>Form	Column 3<br>Fee ($)
1.	General licence

The regulations revolve around a small set of recurring concepts: licences, forms and fees, police inquiries and fitness checks, prescribed licence periods and renewals, record‑keeping for stock sales, mandatory waybills, and offences for misrepresentation. Each concept is given concrete legal work to do.

Licence types and forms: The regulations identify licence classes , general, restricted, occasional, interim, provisional, duplicate and transfer , and prescribe the specific form for each (reg 3(1), (3), Schedule Forms 1-13). The fees for each application are fixed in the Table to reg 3(1A) (for example $592 for a general or restricted licence, $69.50 per occasional licence, and small fees for duplicates and transfers).

Police inquiries and fitness: On receipt of an application copy from the registrar the senior police officer in the district must inquire and report on specified matters , character and suitability (r 8(a)), fitness of those managing a firm or corporation (r 8(b)), circumstances and likelihood of the occasion for an occasional licence (r 8(c)), genuineness of incapacity where an interim licence is sought (r 8(d)), and must report in writing to the court (r 8(e)). This embeds police character checks into the licensing decision-making process.

Prescribed periods and renewals: The regulations set the prescribed duration for general and restricted licences at 3 years (r 8A), and provide rules for renewed licences including a transitional staging over a defined transition period after the Licensing Provisions Amendment Act 2016 s 8 (r 8B). Renewals attract the same base fee as initial applications, subject to apportionment for periods under 12 months (r 4(1)), but are not automatic (r 4(2)) and have a surcharge if applied for after the expiry but within three months (r 4(1A)).

Recordkeeping and waybills: Auctioneers must keep a stock register in Form 15 and, on the same day of sale, enter specified particulars for each lot: pen number, vendor name/address/code, quantity, breed/description, identifier under the Biosecurity Regulations, price per head and purchaser identity where sold by auction, and disposal method where passed in or sold privately (r 9(1)-(2)). Waybills issued under the Biosecurity and Agriculture Management Regulations 2013 must be furnished; failure to do so is an offence (r 10).

False statements and offences: Making wilful false or misleading material representations in relation to applications, objections, registers or other matters under the Act or regulations is an offence, punishable under s 35 of the Act (r 11). The failure to produce required waybills is also an offence (r 10). The regulations therefore provide both administrative rules and criminal sanctions for non‑compliance.

Interplay with other instruments: The regulations explicitly connect to the Auction Sales Act 1973 (reg 1(2) and multiple cross‑references: s 19(2A)(b), s 19(2B), s 21(1), s 30, s 35). They also reference the Biosecurity and Agriculture Management (Identification and Movement of Stock and Apiaries) Regulations 2013 for identifiers and waybills (r 9(2)(e), r 10). The compilation table records updates effected by Commerce Regulations fees and charges orders and licensing provisions amendments; those interactions affect fees and transitional periods.

The regulations impose obligations or affect outcomes for several distinct parties: applicants for auctioneer licences and the firms or corporations that benefit from licences; existing licence holders; auctioneers conducting sales; vendors and purchasers of stock; the registrar of the Magistrates Court and magistrates who issue and transfer licences; and the senior police officer tasked with inquiries.

Applicants and licence holders: Any person seeking to act as an auctioneer in Western Australia must use the prescribed form for the licence sought (Form 1-5 depending on type) and pay the fee listed in reg 3(1A). The fees table shows who pays what: $592 for a general or restricted licence, $69.50 per occasional licence, monthly fees for interim or provisional licences ($16 per month or part month), $55.50 to transfer a licence, and token fees for duplicates (r 3 Table). The applicant pays these fees to the registrar when applying. Renewals also attract the original application fee (r 4(1)), and an extra 25% if applied for after expiry but within three months (r 4(1A)). The regulation that renewals are not of right (r 4(2)) places the burden on the applicant to satisfy decision-makers anew.

Firms and corporations: Several forms anticipate the licence being used for the benefit of a firm or corporation; the transfer procedure requires endorsement and consent of the firm or corporation named in the original licence (r 5(2), Form 7, Form 13). Persons responsible for management of a firm or corporation are the subject of police inquiry (r 8(b)). Where a provisional licence is granted the supervising auctioneer accepts personal liability and responsibility for acts or defaults of the provisional licence holder (Form 5/12).

Auctioneers and vendors at sale: Auctioneers conducting livestock sales must keep a stock register (Form 15) and make same‑day entries with prescribed particulars (r 9(1)-(3)). Vendors must furnish waybills issued under the Biosecurity Regulations; the seller who sells or submits stock without furnishing the waybill commits an offence (r 10). Auctioneers sign the register certifying accuracy (r 9(3)), and initial any alterations (r 9(4)). Indigenous or small-scale vendors are not singled out in the text, but all vendors at an auction are subject to the waybill requirement.

Magistrates, registrars and police: The magistrate hears applications (Forms direct applications to Magistrate, Schedule), endorses transfers (Form 13), issues licences in Forms 8-12, and is the decision-maker referenced in multiple forms. The registrar supplies forms free of charge (r 3(2)), handles fee payments and refunds under reg 8C where licences are surrendered and a refund is due, and records licence expiries. The senior police officer in the relevant district must make inquiries and report in writing on the matters specified in reg 8. These public officials therefore decide access to market participation (licensing), verify fitness and repute, and administer refunds and records.

Purchasers: Buyers at auctions appear in the register entries and are identified in sale records (r 9(2)(f)); their identities become part of the formal record kept by the auctioneer.

Observers and objectors: The forms provide for the lodging of objections to an application. The applicant must be served with notice of an objection at least 7 days before the hearing (see multiple Forms which instruct objectors to lodge notice with the registrar and serve the applicant at least 7 days before the hearing). Thus local persons (competitors, neighbours, regulators) who wish to oppose the grant of a licence have a procedural mechanism to be heard at the magistrate’s hearing.

The regulations allocate a mix of affirmative duties, conditional rights and administrative discretions.

Duties: Applicants must use prescribed forms and pay the specified fees (reg 3 and Table to reg 3(1A)). The auctioneer must maintain a stock register in Form 15 and make the same‑day entries that list pen number, vendor, quantity, description, Biosecurity identifier, sale price and purchaser details, and sign the sheet certifying accuracy (reg 9(1)-(3)). Where an interim licence is sought for incapacity, the applicant must provide a medical certificate or other evidence of incapacity to allow the police enquiry to consider genuineness (reg 8(d)). Vendors or persons submitting stock for sale must furnish waybills as required by the Biosecurity and Agriculture Management Regulations 2013; failure to furnish a waybill is an offence (reg 10). Persons making applications, objections, or entries under the Act must not wilfully make false or misleading statements; doing so is an offence (reg 11).

Rights and administrative remedies: Applicants have procedural rights at hearing , applications are listed to be heard before a magistrate at a stated place and time (Forms contain hearing details and registrar’s signature). Objectors have the right to lodge objections with the registrar and to serve them on the applicant at least seven days before the hearing (Schedule Forms instruct this). Licence holders who surrender a general or restricted licence have a right to a refund of the unused portion of the prescribed fee, as determined by the registrar “in the registrar’s opinion” relating to the period between surrender and the expiry date (reg 8C(2)). Applicants can apply for duplicate licences (Form 6) where a licence is lost or destroyed, and for transfer (Form 7) which must be endorsed on the original licence (reg 3(4), reg 5(2)).

Discretions and conditional duties: Renewals are expressly not a right (reg 4(2)), which means magistrates retain discretion to refuse renewal. The senior police officer must inquire and report; those inquiries are prerequisites to a magistrate’s decision but the regulation does not direct how the magistrate must treat the police report (reg 8). The registrar has discretion in calculating the refund when a licence is surrendered (reg 8C(2)). The transition arrangements for renewed licence periods during the transition period create conditional durations for renewed licences (reg 8B(3)), which will vary the length a renewed licence is granted depending on its expiry date.

Liability and supervision: A licensing structure imposes supervisory financial and legal liability on supervising licensees where provisional licences are granted. Form 5 (application for provisional licence) and Form 12 (provisional licence) include an acknowledgement that the supervising auctioneer is personally liable and responsible for any act or default of the provisional licence holder “in the same manner and to the same extent” as if done by the supervising auctioneer.

Enforcement rights: The regulations confer enforcement mechanisms by attaching offences and linking to s 35 of the Act for penalties (reg 11) and by creating the offence in relation to waybills (reg 10). Magistrates and registrars administer the licensing regime; police investigate character and factual circumstances.

The regulations create two express offending provisions and otherwise rely on the Auction Sales Act 1973 for penalty enforcement.

Express offences: Regulation 10 makes it an offence for a person who sells by auction or submits for sale by auction any stock without furnishing a waybill issued under the Biosecurity and Agriculture Management (Identification and Movement of Stock and Apiaries) Regulations 2013. Regulation 11 makes it an offence to wilfully make any representation or statement that is false or misleading in a material particular in relation to any application, objection, register or other matter under the Act or regulations; reg 11 expressly ties liability to “the penalties provided by section 35 of the Act.”

Penalty regime reference: Section 35 of the Auction Sales Act 1973 is the penalty provision referenced for at least reg 11; the regulations do not reproduce section 35. Practitioners must therefore consult the Act to know the maximum fines, imprisonment terms, or other penalty modalities available under s 35. The regulations do not add additional monetary penalties for contraventions of the record‑keeping obligations (r 9) or for failing to use prescribed forms, though reg 11 makes wilful misrepresentation an offence. The waybill breach in reg 10 is an express statutory offence within the regulations.

Enforcement actors: The senior police officer’s role in inquiry (reg 8) places policing at the front end of licensing; police report to the court and their findings may inform grant, refusal, renewal, or transfer decisions by the magistrate. Enforcement of the offences will be by prosecutorial authorities applying the penalties in the Act. The registrar also exercises administrative enforcement powers: accepting or rejecting applications, processing renewals and refunds, and issuing or endorsing licence transfers (Forms and regs 3, 4, 5, 8C).

Administrative consequences: Non‑compliance with registration and recordkeeping obligations may affect the continued validity of a licence or be used as evidence in enforcement proceedings. For example, a failure to keep the prescribed stock register (Form 15) or to make same‑day entries may be a material factor in a charge under reg 11 if false or misleading particulars are produced. The regulations require auctioneers to append signatures certifying accuracy (r 9(3)); that certificate creates an evidentially useful declaration for enforcement action.

Discretion in refunds and sanctions: The refund under reg 8C(2) is made “in the registrar’s opinion,” so enforcement includes discretionary administrative financial adjustments rather than strict pro rata rules. Renewals are not a right (r 4(2)), so refusal may function as an administrative sanction short of criminal prosecution. There is no express schedule of graduated administrative penalties in the regulations themselves.

Practical enforcement risk: The overlap with Biosecurity Regulations for waybills means non‑compliance can trigger enforcement under two regulatory schemes: the Auction Sales Regulations (reg 10) and the separate Biosecurity regime. Coordinated enforcement is likely in practice but the regulations do not specify inter‑agency enforcement protocols.

The Auction Sales Regulations repeatedly cross‑refer to other legal instruments. Practitioners must coordinate compliance across the Auction Sales Act 1973, the Biosecurity and Agriculture Management (Identification and Movement of Stock and Apiaries) Regulations 2013, and a suite of later fee and licensing amendments recorded in the compilation table.

Auction Sales Act 1973: The regulations are subordinate to and work alongside the Act. Several specific cross‑references anchor the regulations to Act provisions: reg 8A cites section 19(2A)(b) of the Act to prescribe a 3‑year period for general or restricted licences; reg 8B cites s 19(2B); reg 8C references s 21(1) regarding licence surrender and refund. Reg 9 implements s 30 of the Act by prescribing the register form and required particulars. Reg 11 cross‑references penalties in s 35 of the Act. Practitioners must read the regulations together with the Act since the regulations do not replicate statutory definitions, substantive licensing grounds, or penalty maxima.

Biosecurity and Agriculture Management Regulations 2013: Reg 9(2)(e) and reg 10 explicitly import the Biosecurity and Agriculture Management (Identification and Movement of Stock and Apiaries) Regulations 2013. Identifiers applied to animals and the waybill forms are defined under that Biosecurity instrument, and furnishing waybills is mandated by reg 10. Thus auction compliance with identifier and waybill obligations requires compliance with the separate Biosecurity Regulations; failure may produce offences under either scheme.

Courts Legislation Amendment and Repeal Act 2004: The Notes explain that references in the regulation to clerk of petty sessions and court of petty sessions are to be read as registrar of the Magistrates Court and Magistrates Court respectively (Notes 1-3). Practitioners must therefore engage the Magistrates Court and registrar in current administrative processes despite older form text referring to defunct offices.

Fees and Commerce Regulations: The compilation table records numerous amendments to fees and charges effected through Commerce Regulations Amendment (Fees and Charges) Regulations in 2016, 2017, 2018 and 2019 and related instruments; reg 3(1A) and the fees table reflect periodic fee changes effected by those instruments. Fee amounts in the schedule therefore reflect a history of administrative fee-making under other regulations, and future fee adjustments are undertaken via those channels rather than via primary Act amendment. The Licensing Provisions Amendment Act 2016 is a touchpoint for reg 8B’s transition period calculation and timing for renewed licences.

Licensing Provisions Amendment Act 2016: Reg 8B defines a transition period tied to section 8 of that Amendment Act and sets variable prescribed periods for renewed licences depending on when a licence expires during the transition period. This interaction changes the temporal length of renewed licences and shows the regulations’ role in giving operational force to legislative transitional arrangements.

Evidentiary and enforcement crossovers: The regulations create recordkeeping duties whose evidential form (signed same‑day entries, initialled alterations, waybills) feeds into possible prosecution under the Act. The connection to the Biosecurity Regulations means enforcement action for the same underlying fact pattern could involve multiple regimes; the regulations do not delineate primacy or enforcement coordination.

Administrative law and judicial review: While not mentioned in the text, the procedures for non‑automatic renewals and police reports feeding magistrate discretion raise ordinary administrative law questions (procedural fairness, reasonableness) under general law. However the regulations themselves do not stipulate appeal processes; any challenge to a magistrate’s licensing decision must be grounded in the Act and judicial review principles outside these regulations.

The regulations include an explicit compilation and amendment history that documents iterative changes since 1974. The compilation table lists initial publication on 13 September 1974 and subsequent amendment instruments, with reprints. Key amendment milestones recorded in the regulations themselves include fee adjustments and structural insertions and deletions.

Chronology and notable insertions: The regulations were first promulgated in 1974. Amendments in the 1980s and 1990s adjusted forms and administrative details (Gazette entries 1983, 1986, 1988, 1989, 1990, 1991, 1992). A major set of changes occurred in 2013 (Auction Sales Amendment Regulations 2013 and No. 2 2013), which updated contents of reg 9 (Form 15 amended 5 Feb 2013) and other administrative provisions. The Licensing Provisions Amendment Regulations Amendment Regulations 2017 inserted regs 8A, 8B and 8C effective 1 July 2017 to set prescribed licence periods and refund rules tied to the Licensing Provisions Amendment Act 2016. Commerce Regulations Amendment (Fees and Charges) Regulations in 2016-2019 adjusted fees over time, and a COVID‑19 Response instrument appears in 2020 (SL 2020/196) affecting commencement dates or related fee changes.

Insertions and deletions: The list shows deletion of reg 1A, 3A and regs 6-7 at various times (noted in the text as deleted). Form 14 has been deleted. Forms and wording have been modernised in discrete amendments. The Schedule is updated periodically to reflect forms and amendments, including the change to Form 15 in 2013 to include Biosecurity identifiers.

Fees evolution: The fee table in reg 3(1A) reflects numbered dollar amounts (for example $592 for general or restricted licences). The compilation table shows that fee levels were adjusted through the Commerce Regulations Amendment instruments of 2016-2019 and again in 2021 (SL 2021/86 Pt 4). The practitioner must therefore verify current fees against the latest version and the Gazette notices referenced in the compilation table.

Transitional arrangements: Reg 8B(1) defines a transition period beginning on the day section 8 of the Licensing Provisions Amendment Act 2016 comes into operation and ending 12 months later. Reg 8B(3) applies stage‑based durations (3, 2, or 1 year) for renewed licences that fall within particular expiry windows within that transition period, showing the regulations’ role in implementing legislative transition.

Reprints and consolidation: The compilation table lists reprints at 8 Sep 2000, 7 Nov 2014, and 22 Nov 2019, indicating consolidation points. Each reprint incorporates amendments to that point, and the notes indicate which instrument effected each change.

Practical implication of amendment history: Fee and procedural changes have been implemented primarily via subordinate instruments (Commerce Regulations and Licensing Provisions amendments). The regulations themselves have been updated to reflect cross‑instrument changes (fees, forms, new regs 8A-8C). Practitioners should consult the most recent reprint and the Gazette or the WA legislation website to confirm current text and fees given the history of incremental adjustments.

The regulations do not record case law or reported litigation; no cases are named in the instrument. The Schedule and compilation table provide statutory amendment context but not judicial treatment. Therefore there is no litigation history included in the regulations themselves that would illuminate judicial interpretation.

Potential litigation themes (grounded in the text): Although the instrument contains no case citations, it creates factual and legal issues that commonly generate litigation or administrative review in licensing and regulatory contexts. Based on the regulatory provisions, likely dispute areas are:

Licence refusals and renewals: Reg 4(2) states a licence is not renewable as of right. Where a magistrate refuses to renew a licence or transfers a licence conditionally, an aggrieved applicant may seek judicial review on administrative law grounds (procedural fairness, rationality). The regulations embed police inquiries (reg 8) whose findings may underpin refusals; disputes can arise over the adequacy of inquiry or reliance on mistaken factual material.
Transfer disputes: Reg 5(2) requires transfer applications to be endorsed and consented to by the proposed transferor and by firms or corporations benefitting from the licence. Disputes over consent, capacity to transfer, or competing claims to licence use could lead to contested hearings or civil proceedings.
Recordkeeping and evidential issues: Failure to keep the Form 15 stock register, or to make same‑day entries with required particulars (r 9), can produce evidence challenges in prosecutions under reg 10 or reg 11, or in civil disputes over ownership or sale terms. A signature certifying accuracy (r 9(3)) creates a basis for challenging the truth of entries.
Waybill offences and inter‑regulatory enforcement: Reg 10 makes sale without furnishing a Biosecurity Regulations waybill an offence. Disputes may occur about whether a waybill was required or produced, whether a particular document satisfies the Biosecurity Regulations, and which enforcement regime applies.
Misrepresentation and s 35 penalties: Reg 11 cross‑references s 35 of the Act for penalties. Litigation may involve whether a representation was “wilful,” “false or misleading in a material particular,” or whether the registrar or magistrate’s findings were justified.

Absence of recorded cases in the regulation text: Since the instrument itself does not provide litigation history, practitioners must search WA court databases, administrative tribunal records, or criminal court decisions for reported cases that interpret the Act and regulations. Any judicial findings on the meaning of “surrendered licence,” the scope of police inquiry obligations, or the construction of Form 15 particulars would be persuasive in future disputes, but none are embedded in the statutory text.

Evidence gathering and appeal routes: The regulations point investigators and litigants to documentary sources (registrar records, stock registers, waybills, police reports) that will constitute the evidential backbone of any prosecution or judicial review. Remedies for administrative decisions (for example refusal to renew) would be sought in the State administrative and judicial review mechanisms rather than within the regulations themselves.

The regulations contain several technical requirements and discretionary provisions that can produce traps for the unwary. Practitioners should note these specific points.

Renewals not automatic and surcharge: Regulation 4(2) states that a licence is not renewable as of right. An applicant who assumes automatic renewal may be surprised. Further, reg 4(1A) imposes a 25% surcharge on renewal applications made after expiry but within three months. The base renewal fee is the original application fee from reg 3(1A), so late renewals can be materially more expensive.

Transitional banding of renewed licence periods: Under reg 8B(3) a renewed general or restricted licence made during the transition period may be granted for 3, 2 or 1 year depending on the expiry window it falls into. Failure to calculate renewal timing against the transition period may lead to a shorter effective licence term. The transition period is defined by the commencement of the Licensing Provisions Amendment Act 2016 s 8 (reg 8B(1)). Practitioners must check relevant commencement dates in that Amendment Act and the Gazette entries shown in the compilation table.

Registrar discretion on refunds: Reg 8C(2) authorises the registrar to refund an amount of the prescribed fee “that, in the registrar’s opinion, relates to the period between the day the licence is surrendered and the day the licence would have expired.” The refund is therefore not an automatic pro rata entitlement but a registrar discretion. Applicants should preserve documentary proof to support the refund calculation and be prepared for a ledgered administrative decision.

Police inquiries and evidentiary depth: Reg 8 requires the senior police officer to inquire into character and suitability and report in writing. However the regulation does not set standards for how inquiries are to be conducted, nor timelines. Applicants should expect police contact and be ready to provide character material and, in the case of interim licences based on incapacity, medical certificates (reg 8(d)). The absence of a statutory timeline for police reports may delay hearings.

Waybills and Biosecurity cross‑obligations: Reg 10 makes failure to furnish a Biosecurity Regulations waybill an offence. Sellers and auctioneers must understand the Biosecurity Regulations’ definitions of a valid waybill and identifiers (r 9(2)(e)). Confusion between the instruments can produce non‑compliance , the regulation does not reproduce the Biosecurity form or contents, so auction participants must check the separate Biosecurity instrument.

Same‑day entry and signature obligations: Reg 9(2) requires the auctioneer to enter the specified particulars “on the same day as a sale” and to append a signature certifying accuracy (r 9(3)). Any delay in making entries, inaccurate entries, or unsigned registers can undermine both compliance and the auctioneer’s defence in enforcement proceedings. Alterations must be initialled (r 9(4)), which is a specific formal requirement.

Forms and obsolete language: The Schedule still contains historical references (such as “clerk of petty sessions”) but Notes indicate these are to be read as registrar of the Magistrates Court (Notes 1-3). Practitioners should not be misled by archaic form text; follow the Notes and current court offices.

Provisional and interim licence supervision and liability: The supervising auctioneer accepts personal liability for acts or defaults of the provisional licence holder (Form 5/12). Failure to appreciate this personal liability can expose an experienced licence holder to vicarious or direct responsibility. The provisional licence period cannot exceed two months (Form 12), a constraining limit for training plans.

Objection timelines and service: Each application form instructs objectors to lodge a notice with the registrar and serve the applicant at least seven days before the hearing. Missing this window may preclude substantive objections at the hearing.

Fee updates via other instruments: The dollar amounts in reg 3(1A) have been the subject of subsequent amendment instruments; fees can change through Commerce Regulations without changing other parts of the regulations. Users must not rely on stale fee figures.

Misrepresentation offence scope: Reg 11 criminalises wilful false or misleading statements “in a material particular” but the regulation does not define “wilful” or “material.” That introduces evidentiary nuance: proving mens rea and materiality will be central to prosecutions.

Registrar’s free forms and filing: Reg 3(2) says copies of application forms may be obtained free of charge from the registrar of the Magistrates Court. In practice, online availability is likely but the regulation frames the registrar as the distribution point; confirm local court practice.

Compliance requires an integrated operational checklist: correct form, fees, police and medical evidence where required, timely renewals, accurate recordkeeping and Biosecurity alignment.

Before applying:

Determine correct licence type: general, restricted, occasional, interim, provisional, duplicate or transfer. Use Schedule Forms 1-7 for applications and Forms 8-13 for licences and orders (reg 3(1)-(4)).
Obtain and complete the prescribed form: copies are available free from the registrar of the Magistrates Court (reg 3(2)). Ensure any firm or corporate beneficiary consents are included and authorised people sign the consent fields on forms where required (Forms 1-7, Form 13).
Pay the correct fee: consult reg 3(1A) and the most recent Commerce Regulations fee instrument (compilation table shows various amendments). For renewals, note the base fee equals the application fee (r 4(1)) and a 25% surcharge applies for renewals made after expiry but within three months (r 4(1A)). For interim/provisional licences note monthly or per‑month fees ($16 per month or part month).

Police and supporting material:

Anticipate police inquiries: reg 8 requires the senior police officer to inquire and report on character, management fitness, and circumstances of occasional or interim applications (reg 8(a)-(e)). Prepare character testimonials, corporate management details, and, where an interim licence is sought, medical certificates or other evidence of incapacity (reg 8(d)).
For occasional licences, document the circumstances and likelihood of the occasion (reg 8(c) and Form 3, which asks for reasons and period).

Application and hearing:

Lodge application with the registrar and note the listed hearing date and time provided on the form (Schedule forms include a hearing notice). Serve any required documents in time for objectors to lodge opposition at least seven days before the hearing (forms instruct objectors to lodge and serve notices at least seven days prior).
For licence transfers, ensure the application is made in Form 7 by the proposed transferee, endorsed with the consent of the proposed transferor and the firm or corporation benefiting from the licence (reg 5(2), Form 7). The transfer order is to be endorsed on the original licence (reg 3(4), Form 13).

Recordkeeping and Biosecurity compliance:

Maintain the stock register in Form 15: for every lot, on the same day as the sale, enter pen number, vendor name and address or identifying code, quantity, breed and type, the Biosecurity identifier, the price per head and purchaser identity if sold by auction, or the means of disposal and purchaser if passed in or sold by private treaty (reg 9(1)-(2) and Form 15). Append signature certifying accuracy (r 9(3)) and initial any alterations (r 9(4)).
Require and retain waybills: ensure vendors furnish waybills issued under the Biosecurity and Agriculture Management Regulations 2013. Selling or submitting stock without furnishing the waybill is an offence (r 10). Keep copies of waybills with the auction records.

Provisional and interim licences:

When supervising a provisional licence holder, the supervising auctioneer must be aware of personal liability for acts or defaults of the provisional licence holder (Form 5/12). Ensure direct supervision and instruction occurs and limit the training period to the regulatory maximum (Form 12 restricts provisional licence to not exceed two months).

Surrender and refunds:

If a general or restricted licence is to be surrendered, apply to the registrar for a refund; the registrar refunds “an amount…that, in the registrar’s opinion, relates to the period” between surrender and expiry (reg 8C(2)). Provide clear surrender dates and supporting documents to assist registrar calculation.

Avoiding misrepresentation:

Take care with all representations in applications, objections and registers. Reg 11 criminalises wilful false or misleading statements in a material particular and links penalties to s 35 of the Act. Have evidence and supporting documents for all assertions.

Timing and transitional rules:

If renewing during the identified transition period under reg 8B(1), calculate the renewed licence period per reg 8B(3) depending on the licence expiry window. Confirm the commencement date of the Licensing Provisions Amendment Act 2016 s 8 to determine the transition period.

Administrative housekeeping:

Keep duplicate licences safe: if lost, apply in Form 6 and pay the duplicate fee (reg 3(1A) Table). For interim licences which suspend the named licence, use Forms 4 and 11 and ensure suspension and interim periods are clearly recorded.

Practical record controls:

Implement same‑day administrative workflows: the auctioneer must make register entries the same day, sign and store the register, and maintain copies of waybills and sale documentation. Adopt a cross‑check system so buyers’ and vendors’ details in the register match waybills and sale receipts.

Legal support and review:

Given discretionary renewals and police inquiries, consider legal review of adverse decisions. Keep contemporaneous evidence of fitness, character references, management structures, and medical certificates where relevant.

In short, compliance is procedural and documentary: use the correct forms, pay current fees, coordinate with police for inquiries, keep precise same‑day sale records (Form 15) and ensure Biosecurity waybills accompany stock. Regularly review the Gazette and the WA legislation site for fee updates and any further amendments recorded in the compilation table.

Auction Sales Regulations 1974

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