Charitable Collections Regulations 1947

Definitions and terminology are the organising framework of the regulations. Reg 2 defines the Act as the Charitable Collections Act 1946 and supplies operational terms used across the regulations: approved (as approved by the Commissioner), branch organisation, charitable organisation (a holder of a licence under the Act), collection (a broad concept covering soliciting funds or selling tokens/buttons for raising funds), collector (a person assisting in a collection), Commissioner (defined by reference to the Fair Trading Act 2010), and executive officers (including trustees, chairman, president, committee member, secretary, treasurer or any executive role by any name). These definitions determine who has duties and who may be subject to enforcement.

Reg 3 adds two sector‑specific definitions for application purposes: ABN (as defined in the Commonwealth ABN Act) and registered charity (as an entity registered under the ACNC Act). Reg 3 then prescribes the content of a licence application under section 11 of the Act. Applicants must supply identity and contact details, indicate ACNC registration and ABN if applicable, name the person lodging the application and provide any additional information the Commissioner requires, which may include details of proposed collection activities, executive officers, bank details, auditor credentials, constitution and recent accounts (reg 3(2)(a)-(d)). The application must be signed by the lodging person (reg 3(3)).

Reg 4 establishes that where an incorporated body applies for a licence, the licence, unless expressly stated otherwise, is taken to apply to and include all branches in Western Australia of that incorporated body. That provision is a structural mechanism that makes a single licence umbrella the default for incorporated organisations' WA branches.

Disclosure and record access are core regulatory instruments. Reg 8 allows the Commissioner to require requisite information about an organisation and its branches, including names and addresses of executive officers and date of creation (reg 8(1)-(3)). There are explicit time limits for notifying changes to executive officers (one month) and statutory penalties for failing to provide required information (reg 8(1)-(3)).

Reg 10 addresses unlicensed collections. If a person or body has collected funds for charity without making or obtaining an application for licence and refuses to apply or obey a lawfully given direction from the Commissioner, the Commissioner, after advice from the advisory committee, may direct that the moneys, securities, or articles collected (or an equivalent sum) be applied to charitable purposes, vested in and transferred to a charitable organisation, or vested in and transferred to the Commissioner for allotment to a charitable purpose (reg 10(1)(i)-(iii)). Non‑compliance with such a direction is an offence (reg 10(2)).

Financial controls appear in reg 11. Executive officers who collect or receive money must bank it within seven days; non‑executive collectors must remit money within 14 days to the controlling body (reg 11(1)-(2)). Charitable organisations with assets other than cash that are not recorded in books of account must keep a register of assets (reg 11(3)). Bank accounts must be operated by authority signed by two officers appointed in writing by the governing body (reg 11(4)). Reg 16 regulates investments by requiring charitable organisations not to invest except by depositing with a company registered to carry on banking business in Western Australia, or by exercising the care, diligence and skill that a prudent person would exercise in managing others’ financial affairs.

Reg 14 prescribes permitted collection times in private residences and by telephone, with different cut‑offs and a Commissioner exception. Reg 18 creates the mechanism to issue infringement notices for specified offences in Schedule 1 and enables the Commissioner to appoint authorised officers who receive identifying credentials (reg 18(1)-(4)). Schedule 1 lists both Act offences (for infringement notice purposes) and regulatory contraventions with associated modified penalties (for example $200 for many regulatory contraventions, and $1,000 for particular Act offences).

Taken together, the main concepts are licensing (application, scope across branches), disclosure (information to the Commissioner, notification of executive officer changes), custody and custody controls (banking time limits, joint signatories, asset registers), activity constraints (when collectors may visit or call), investment constraints, administrative enforcement (infringement notices), and a supervisory discretion for the Commissioner to order treatment of unlicensed funds.

The regulations directly affect several groups and entities:

• Charitable organisations that hold licences under the Charitable Collections Act 1946. The regulations use the term "charitable organisation" to refer to licence holders and place duties on their executive officers (reg 2; regs 8, 11, 16). Reg 11 imposes banking and internal control obligations directly on executive officers who collect or receive money.

• Applicants for a licence under section 11 of the Act. Reg 3 specifies the documents and information required to obtain a licence, including ABN and ACNC registration status where relevant, planer details of proposed collection activities, and financial and governance documents such as constitutions, bank and auditor details (reg 3(2)). The person who signs the application on behalf of the applicant carries responsibility for the application’s accuracy (reg 3(3)).

• Branch organisations of incorporated bodies. Reg 4 deems licences granted to an incorporated body to apply to all branches in Western Australia unless the licence expressly states otherwise. This affects branch managers and local collectors who will be bound by the licence terms and the regulatory obligations that apply to the principal licence holder.

• Collectors and any person assisting or taking part in a collection. Reg 2 defines collector and regs 11 and 14 create specific obligations and timeframes for collectors: non‑executive collectors must remit funds to the controlling body within 14 days (reg 11(2)) and collectors must not visit houses or telephone outside the permitted times unless authorised by the Commissioner (reg 14(1)-(2)). Collectors who breach those provisions face prescribed penalties (Schedule 1).

• Executive officers. Reg 2 defines executive officers and regs 8(2)-(3) require organisations to notify the Commissioner in writing within one month of any change in executive officers, providing names, addresses and designations of new officers and naming those who have ceased (reg 8(2)-(3)). Executive officers who collect funds carry the stricter seven‑day banking obligation (reg 11(1)).

• The Commissioner and departmental officers. The Commissioner has several operational powers: to request information (reg 8(1)), to give directions regarding unlicensed collections (reg 10(1)), to authorise written exceptions to collection hours (reg 14), and to appoint authorised or approved officers to issue infringement notices (reg 18(3)). Those authorised officers must be issued identifying credentials (reg 18(4)).

• Auditors and banks. Reg 3(2)(d)(v) requires disclosure of auditor name, address and qualifications where requested. Reg 11 prescribes the structure of bank accounts (a dedicated account with two authorised signatories) and requires deposits into a bank account for funds collected (reg 11(1)-(4)). Reg 16 imposes a constraint that investments be made with a company registered to carry on banking business in WA unless the prudent person standard is met.

• The public and recipients of solicitations. Members of the public approached by collectors are protected by timing rules (reg 14) and by the Commissioner’s power to regulate unlicensed collections. The public also interacts with the enforcement regime presented in Schedule 2 forms (Form 1) which sets out the consequences of not paying modified penalties and explains options to elect prosecution.

The regulatory architecture therefore places operational, reporting, financial control and timing obligations on organisational actors (licensees, executive officers, branches), procedural obligations on collectors, and administrative and enforcement responsibilities on the Commissioner and appointed authorised officers.

Duties

• Application content and signing. An applicant under s 11 of the Act must include, at minimum, the name and contact details of the applicant; whether the applicant is a registered charity and the ABN if so; the name, address and role of the person making the application; and any additional information the Commissioner requires including charitable purpose, planned collection activities, principal executive officers, bank and auditor details, constitution, and recent financial statements (reg 3(2)(a)-(d)). The application must be signed by the person making it (reg 3(3)).

• Scope of licence for incorporated bodies. When an incorporated body receives a licence, it is deemed to apply to all its branches in Western Australia unless the licence explicitly limits its scope (reg 4). This duty is structural: branches of incorporated licence holders are covered by the primary licence.

• Provision of information and notification of governance changes. A charitable organisation must provide any requisite information the Commissioner requires about the organisation or branches, including names and addresses of executive officers and date of creation (reg 8(1)). If there is a change of executive officers, the licensee must notify the Commissioner in writing within one month and supply names, addresses and designations of new officers and names of those who have stopped (reg 8(2)-(3)). Failing to comply attracts a fine where specified.

• Handling of collected funds and records. Executive officers who collect or receive moneys must pay them into a bank account opened for that purpose within seven days (reg 11(1)). Non‑executive collectors must pay money they collect to the controlling body within 14 days (reg 11(2)). Charitable organisations that hold non‑cash assets not recorded in books must keep a register of assets (reg 11(3)). Bank accounts must be operated by authority signed by two officers appointed in writing by the governing body (reg 11(4)).

• Collection times and telephone calls. Collectors must not visit a house for solicitation or sales on Sundays, public holidays, or before 9 a.m. or after 6 p.m. on other days unless the Commissioner authorises it in writing (reg 14(1)). Telephone appeals are similarly restricted, but the permitted telephone window extends to 8 p.m. (reg 14(2)).

• Investment standard. Charitable organisations must not invest monies unless they deposit them in a company registered to carry on the business of banking in Western Australia or, in making the investment, exercise the care, diligence and skill of a prudent person managing others’ financial affairs (reg 16).

• Compliance with Commissioner directions on unlicensed collections. If the Commissioner directs that moneys or articles collected without a licence be applied, vested in a charitable organisation, or vested in the Commissioner for allotment, the person given a direction must comply (reg 10(1)-(2)). The Commissioner acts after advice from an advisory committee (reg 10(1)).

Rights and administrative options

• Commissioner exceptions. The Commissioner can authorise in writing exceptions to the collection time rules, allowing collectors to visit houses or telephone outside the standard permitted times (reg 14(1)-(2)).

• Administrative enforcement pathway and choice of court prosecution. The Commissioner may appoint authorised officers to issue infringement notices for listed offences (reg 18(1)-(4); Schedule 1). The Form 1 infringement notice, as prescribed by Schedule 2 and reg 19, informs the alleged offender that they may avoid prosecution by paying the modified penalty within 28 days, or elect prosecution by indicating that election on the form (Schedule 2, Form 1). That procedural right to elect prosecution preserves access to the court system for contested matters.

• Access to information and audit. While the regulations require the organisation to provide information requested by the Commissioner (reg 8(1)), Schedule 1 includes an Act offence for failing to provide Commissioner or auditor access to collection records (s 15(3A) as listed). The regulations thus support a right of the Commissioner and auditors to access records under the Act provisions incorporated into the enforcement schedule.

• Authorised officers’ identification. The Commissioner must issue each authorised officer a certificate, badge or identity card identifying them as authorised to issue infringement notices (reg 18(4)). This is a procedural safeguard that supports transparency in enforcement.

Overall, duties focus on pre‑licence disclosure, timely handling and safeguarding of funds, governance notifications, and constraints on collection methods and hours. Rights are primarily procedural: administrative authorisations from the Commissioner, the option to elect court prosecution rather than accepting an infringement notice, and the regulated appointment and identification of authorised officers.

The regulations combine direct penal provisions, a modified penalty/infringement notice regime, and direction powers that change the legal status of collected funds. Two enforcement tracks operate concurrently: criminal penalties (including fines set out in the regulations) and administrative infringement notices under the Criminal Procedure Act 2004.

Statutory fines in the regulations. Several regulations specify fines or penalties for contraventions. Reg 8(1) and reg 8(2) attach a fine of $1,000 for failing to provide information required by the Commissioner or for failing to notify changes of executive officers within the one‑month period, respectively. Reg 11(1)-(3) each carry a $1,000 penalty for failing to bank charitable money promptly, failing to deposit charitable money with the controlling organisation, and failing to keep a register of assets where required. Reg 14(1)-(2) each carry a $1,000 penalty for visiting houses or telephoning outside permitted hours. Reg 16 imposes a $1,000 penalty for failing to invest monies in a bank or meet the prudent person standard. These amounts are recorded in the text of the regulations.

Modified penalties and infringement notices. Reg 18 implements an infringement notice regime for the offences listed in Schedule 1. Reg 18(1) declares that the offences listed in Schedule 1 are offences for which an infringement notice may be issued under Part 2 of the Criminal Procedure Act 2004. Reg 18(2) states that the modified penalty specified in Schedule 1 is the modified penalty for the purposes of s 5(3) of the Criminal Procedure Act 2004. Schedule 1 maps specific Act offences to a $1,000 modified penalty (for example s 6(1) unlicensed person collecting for charity; s 9(2) failing to deliver moneys, books when licence revoked; s 15(2) failing to keep and retain collection records; s 15(3A) failing to provide Commissioner or auditor access to collection records). For many regulatory contraventions (r.8(1), r.8(2), r.10(2), r.11(1)-(3), r.14(1)-(2), r.16) Schedule 1 sets the modified penalty at $200.

Appointment and credentials for authorised officers. Reg 18(3) empowers the Commissioner to appoint persons or classes of persons to be authorised officers for the purposes of issuing infringement notices. Reg 18(4) requires the Commissioner to issue identification (certificate, badge or identity card) to each authorised officer. Those administrative measures provide the operational mechanism for issuing infringement notices.

Enforcement consequences of unpaid infringement notices. Form 1 in Schedule 2 sets out the practical consequences if a modified penalty is not paid within 28 days. It states that the alleged offender may be prosecuted or enforcement action may be taken under the Fines, Penalties and Infringement Notices Enforcement Act 1994, and lists a suite of possible enforcement actions under that Act, including suspension of driver or vehicle licences, publication of details on a website, garnishment of earnings or bank accounts, immobilisation or seizure and sale of property. This form links the administrative infringement regime directly to civil enforcement mechanisms in that enforcement Act.

Commissioner direction and property vesting. Reg 10(1) gives the Commissioner, on the advice of the advisory committee, a remedial power when unlicensed collections have occurred. The Commissioner may direct that the collected moneys or articles, or an equivalent sum, be applied to charitable purposes as though collected by a licensed charitable organisation, or be vested in and transferred to a charitable organisation or vested in and transferred to the Commissioner for allotment to a charitable purpose (reg 10(1)(i)-(iii)). Reg 10(2) makes compliance with such a direction mandatory and attaches a $1,000 penalty for non‑compliance. Thus the Commissioner has an administrative remedy that changes the legal status of unlicensed funds and can compel transfer.

Interaction with Act offences. Schedule 1 includes offences under the Charitable Collections Act 1946 for infringement purposes. Those Act provisions (for example s 6(1), s 9(2), s 15(2), s 15(3A)) remain enforceable and are incorporated into the infringement notice architecture for administrative enforcement.

Taken together, the enforcement architecture includes criminal fines specified in the regulations, an administrative infringement notice system with modified penalties and escalation to enforcement under the Fines, Penalties and Infringement Notices Enforcement Act 1994, and Commissioner powers to direct disposition of unlicensed funds. Operationally, the Commissioner’s authorised officers execute the infringement pathway, and the Form 1 notice creates an administrative pathway that avoids immediate prosecution if the modified penalty is paid within 28 days, while leaving the option of prosecution available to the alleged offender.

The regulations expressly cross‑reference several Commonwealth and State Acts and incorporate their definitions and enforcement pathways. The Commissioner is defined with reference to the Fair Trading Act 2010 (reg 2). The application form requirements in reg 3 rely on federal definitions and registers: ABN is as defined in the Commonwealth A New Tax System (Australian Business Number) Act 1999 (reg 3(1)) and the term registered charity is referenced to the Australian Charities and Not‑for‑profits Commission Act 2012 (reg 3(1)). Those cross‑references create an information linkage between State licensing under the Charitable Collections Act and Commonwealth records and tax/charity registration systems.

Reg 18 integrates the regulations into the Criminal Procedure Act 2004 enforcement framework by designating specified offences as those for which infringement notices may be issued under Part 2 of that Act (reg 18(1)). Reg 18(2) identifies the modified penalties in Schedule 1 as the relevant figures for s 5(3) of the Criminal Procedure Act 2004. This creates an administrative enforcement pathway that uses the Criminal Procedure Act's mechanisms.

Schedule 2, Form 1, explicitly refers to enforcement action under the Fines, Penalties and Infringement Notices Enforcement Act 1994 if the modified penalty is not paid within 28 days. The form lists specific enforcement tools available under that enforcement Act, linking the administrative penalty regime in these regulations to the civil enforcement toolbox , suspension or cancellation of licences, garnishment, seizure and sale of property, publication of details, and similar actions.

Reg 3(2)(d)(iv) and reg 11(1)-(4) bring banks and auditors into compliance obligations. Reg 3 may require the applicant to disclose the name of the bank where the required account is held and the name, address and qualifications of the auditor. Reg 11 imposes specified operational controls on accounts (two authorised signatories) and timeous banking. Reg 16’s investment constraint references a "company registered to carry on the business of banking in Western Australia" and a general "prudent person" standard in managing the financial affairs of others. These provisions interact with financial services law and sector practice: they effectively require use of recognised deposit institutions or the documented exercise of fiduciary prudence when diverging from that rule.

The regulations do not operate in isolation: they sit alongside the Charitable Collections Act 1946 (which contains principal offences and licensing powers referenced in Schedule 1) and interact with Commonwealth charity registration, tax systems and State civil enforcement regimes. The transitional provision in reg 20 addresses the administrative handover where an act done or omitted by the Minister under the regulations before the commencement day is taken to have been done or omitted by the Commissioner after commencement, thereby aligning past administrative acts with the current administrative authority (reg 20(2)).

Practitioners should note that the regulations implement an administrative enforcement path (infringement notices and the Fines Act enforcement mechanisms) while preserving the Act's criminal offences. The regulations reference other statutes to determine institutional definitions and enforcement processes, so compliance planning should consider those cross‑references: ACNC registration and ABN status are asked on application (reg 3(2)(b)); the Commissioner and authorised officers operate under State enforcement statutes (reg 18); and third‑party financial institutions and auditors are implicated in banking and account control obligations (regs 3, 11).

The regulations include a compilation table and express amendment history embedded at the end of the instrument. The Charitable Collections Regulations 1947 were originally published in the Western Australian Government Gazette on 3 April 1947. The compilation table lists multiple amendment events, consolidations and reprints over time.

Key historical entries recorded in the compilation table include:

• Amendments and reprints across the 1950s to 1970s, including untitled regulations in 1953, 1970 and 1972, and a reprint in the Gazette at 26 July 1966.
• Charitable Collections Amendment Regulations 1994 (6 May 1994).
• Charitable Collections Amendment Regulations 1998 and a second 1998 amendment (18 Aug 1998; 27 Nov 1998).
• Charitable Collections Amendment Regulations 2000 (Gazette 22 Aug 2000). The 2000 amendments also deleted several provisions (see the deleted regs 5-7, 9, 12-13, 15, 17, and the Appendix indicated in the printed text). The 2000 instrument contained a savings and transition clause (recorded in the notes) which preserved licences in force before the 2000 amendments but made the amended regulations apply thereafter as if the licence had been issued under the amended rules (see note 1 reproducing r 12 of the 2000 amendment).
• Charitable Collections Amendment Regulations 2006 (22 Sep 2006) and related reprints.
• Amendments in 2009 (12 Jun 2009), 2011 (30 Jun 2011), 2013 (20 Aug 2013), and 2017 (10 Mar 2017).
• Consumer Protection Regulations Amendment Regulations 2019 Part 2 (Gazette 24 Dec 2019), which introduced a transitional provision (reg 20) that transfers acts done by the Minister under the regulations before the commencement day to be taken as done by the Commissioner thereafter (reg 20(2)).
• Charitable Collections Amendment Regulations 2020 (SL 2020/120), with commencement dates 21-22 July 2020, which inserted or amended several provisions including the modernised reg 3 application requirements, reg 16 investments, and the insertion of Schedule 1 and Schedule 2 headings and forms (the instrument records specific insertions and amendments indicated in the text).
• Commerce Regulations Amendment (Infringement Notices) Regulations 2020 (SL 2020/163) with a commencement date 29 Sep 2020, which further adjusted the infringement notice and enforcement arrangements (notably adoption of Schedule 1 and alignment with the Criminal Procedure Act).

The notes to the compilation indicate various deletions over time; for example, several provisions formerly numbered 5-7, 9, 12, 13, 15, 17 and an Appendix were deleted in Gazette notices noted in the compilation. The compilation table itself functions as an authoritative history of the amendments that are incorporated in the current reprint.

Practitioners should consult the Gazette reprints and the listed amendment instruments for precise textual changes. The 2000 amendment’s savings and transition clause is of practical significance: licences in force immediately before the 2000 changes were not “taken to be affected” by the amendments, but after commencement those licences are treated as if issued under the amended regulations (note 1). More recent amendments in 2020 modernised administrative features such as the application contents (including ABN and ACNC registration references), introduced an explicit investment standard (reg 16), and formalised the infringement and forms schedules.

The compilation table shows that the regulations have been periodically updated to reflect administrative and policy changes and to align the enforcement architecture with broader State regulatory frameworks. For definitive drafting and citation, practitioners should rely on the latest reprint or the consolidated version on the State law publisher and cross‑check amendment instruments cited in the compilation table.

The regulatory text and accompanying compilation do not record any judicial decisions or litigation history. The instrument itself does not cite cases, nor does it include references to judicial interpretation or reported decisions within the text. The compilation table and notes likewise do not list any litigation.

Practical implications of the absence of litigation history in the instrument:

• There are no judicial decisions recorded in this compilation that authoritatively interpret ambiguous phrases used in the regulations, such as "charitable purpose" or the scope of the "prudent person" investment standard in reg 16. Those substantive definitions and standards remain primarily matters of statutory language and administrative practice as reflected in the regulations and the Charitable Collections Act 1946 itself.

• Enforcement practice and the boundaries of the Commissioner’s powers are not delineated by judicial opinion within this compilation. Where enforcement discretion under reg 10 (directions regarding unlicensed collections) or reg 18 (appointment of authorised officers and issuance of infringement notices) is challenged, guidance would come from external case law or judicial review not recorded here.

• For practitioners seeking precedent on contested enforcement actions, penalties, or the interpretation of time limits and record‑keeping duties, one must search case law databases and tribunal decisions outside of this compilation. The regulations set out the rules to be complied with but do not present any adjudicated instances in this consolidated text.

In summary, the regulations themselves supply the legal obligations and enforcement mechanisms, but the compilation does not include any litigation or reported decisions that would clarify statutory ambiguities or settle contested applications of the regulations. Users requiring precedential guidance must consult court and tribunal decisions separately.

This section highlights practical pitfalls and points where the regulations’ text can cause non‑obvious consequences. Each gotcha is tied to the regulatory provision that triggers it.

• Branch licence scope (reg 4). When an incorporated body obtains a licence it is, by default, deemed to apply to all branches in Western Australia unless the licence expressly limits its scope. That default can import obligations to local branches that may not be prepared operationally or financially to comply with record keeping, banking rules or notification deadlines. Organisations should check the exact terms of any licence to see whether branches are included or excluded.

• Differing banking timeframes for executive officers and other collectors (reg 11(1)-(2)). Executive officers who collect or receive money must bank it within seven days; non‑executive collectors must remit within 14 days to their controlling body. An organisation that uses volunteers must be clear about who is an executive officer versus a volunteer collector to avoid creating faster banking duties for some personnel. Misclassification could result in breaches and penalties.

• Asset register nuance (reg 11(3)). The obligation to keep a register of assets applies only if the organisation has assets other than cash and has not recorded those assets in its books of account. Organisations that maintain general ledgers but not a separate asset register may still be compliant, but the condition implies that failure to record non‑cash assets in books will create a statutory duty to maintain a separate register. This interacts with accounting practices and may impose new administrative work for small charities.

• Investment constraint ambiguity (reg 16). Reg 16 permits investment only by deposit in a company registered to carry on banking in WA or by exercising the "care, diligence and skill that a prudent person would exercise in managing the financial affairs of other persons." The reference to "company registered to carry on the business of banking in Western Australia" raises questions about whether other deposit‑taking entities or authorised deposit accounts with recognised institutions outside WA meet the test. The "prudent person" test is a standards‑based rule requiring documentation of decision‑making if an organisation chooses to invest other than by deposit with a WA‑registered bank.

• Commissioner discretion in unlicensed collections (reg 10). The Commissioner may direct that unlicensed collected funds be applied to charitable purposes or vested in a charitable organisation or vested in the Commissioner. That decision follows advice from an advisory committee (reg 10(1)). Once the Commissioner issues a direction, the person given the direction must comply and faces a $1,000 penalty for non‑compliance (reg 10(2)). Organisations or individuals who have held unlicensed funds should be aware that those funds may be legally reallocated by direction and that there is a statutory compliance obligation to implement such directions.

• Infringement notice architecture versus court prosecution (reg 18; Schedule 1; Schedule 2 Form 1). The modified penalty amounts differ from the statutory fines stated in the regulations: Schedule 1 records many regulatory contraventions as $200 modified penalties and some Act offences as $1,000 modified penalties. Payment of a modified penalty under the infringement scheme avoids immediate prosecution, but Schedule 2, Form 1 warns that failure to pay may lead to enforcement under the Fines, Penalties and Infringement Notices Enforcement Act 1994 and lists aggressive enforcement options. Organisations should be aware that electing to pay the modified penalty forecloses an immediate court contest, but that failure to pay can have severe consequences.

• Permitted times for visits and calls differ (reg 14). The permitted hours for in‑person visits (9 a.m.-6 p.m.) differ from the permitted hours for telephone calls (9 a.m.-8 p.m.). A collector or campaign that uses both methods must manage compliance with two separate time windows; an authorisation in writing from the Commissioner is necessary to operate outside those hours.

• Notification deadlines (reg 8(2)). The licensee must notify the Commissioner within one month of changes to executive officers. Failure to meet that deadline carries a $1,000 fine under reg 8(2). Organisations with frequent turnover of officers need systems to effect timely notifications.

• Administrative appointments and identification (reg 18(3)-(4)). The Commissioner may appoint authorised officers to issue infringement notices and must provide identity credentials. Although this provides administrative clarity, it also means enforcement may be carried out by persons other than police or prosecutors; organisations should be prepared for administrative enforcement interactions and verify the identity of authorised officers.

• Transitional provision effect (reg 20). Reg 20 takes acts done by the Minister under or for the purposes of the regulations before the commencement day and deems them to have been done by the Commissioner. Records of past administrative acts may therefore be attributed to a different office post‑commencement; organisations relying on former Ministerial authorisations should confirm that those authorisations remain effective and are recognised by the Commissioner under the transition.

• Record access and auditor rights embedded in the Act. Schedule 1 lists s 15(3A) (Act) failing to provide Commissioner or auditor with access to collection records as an offence (modified penalty $1,000). That signals a statutory right of access under the Act; organisations must ensure their records are retrievable and auditable to avoid administrative penalties.

Each of these points flows directly from the regulations’ language and structure. The practical effect is that compliance requires attention to governance boundaries (who is an executive officer), financial operations (banking timeframes and signatories), and administrative responsiveness (notice periods and information requests). Uncertainty in some phrases (for example the exact scope of permitted investment counterparties) creates exposure that may require seeking written Commissioner guidance or legal advice.

This is a practical compliance checklist built from the regulations. It organises action items by lifecycle stage: pre‑licence, ongoing operations, and responses to enforcement.

Pre‑licence: preparing the application (reg 3)

• Identify applicant details and an authorised signatory to lodge and sign the application (reg 3(2)(a); reg 3(3)). The signatory’s name, address and role must be provided.
• If the applicant is an ACNC registered charity, record the ABN for inclusion on the application (reg 3(1), reg 3(2)(b)).
• Prepare supporting documents that the Commissioner may require: a statement of charitable purposes, a plan of collection activities, the names and roles of principal executive officers, bank account details (reg 3(2)(d)(i)-(iv)), auditor name and qualifications (reg 3(2)(d)(v)), constitution or rules (reg 3(2)(d)(vi)), and the applicant’s most recent income and expenditure account and balance sheet (reg 3(2)(d)(vii)). Have these documents ready and current.

Governance and notification (reg 8)

• Maintain a current list of executive officers with names, addresses and designations so that any change can be notified to the Commissioner in writing within one month after the change (reg 8(2)-(3)). Implement an internal reporting process to trigger the notification requirement whenever officers are added or removed.
• Be prepared to comply with Commissioner requests for "requisite information" about the organisation or branches, including date of creation and executive officers’ details (reg 8(1)). Keep records centralised and retrievable to meet this requirement promptly.

Banking, custody and records (reg 11)

• Open a dedicated bank account for charitable collections and supply the bank name on the licence application if requested (reg 3(2)(d)(iv); reg 11(1)). Ensure the account is used exclusively for the licensed collection activities to prevent commingling of funds.
• Implement dual signatory authorisation: ensure the account is operated by authority signed by two officers appointed in writing by the governing body (reg 11(4)). Maintain written delegation documents for the appointed officers.
• Set internal processes to ensure executive officers who collect or receive money deposit funds into the dedicated account within seven days of receipt (reg 11(1)). For non‑executive collectors, create remittance procedures to ensure collected money is paid to the controlling body within 14 days (reg 11(2)). Record dates of receipt and deposit to demonstrate compliance.
• If the organisation holds non‑cash assets not recorded in books of account, create and maintain an asset register (reg 11(3)). If assets are recorded in your books, ensure ledgers are contemporaneous and available for audit.

Collection practices and permitted hours (reg 14)

• Implement collector training, compliance checklists and schedules to ensure door‑to‑door visits occur only between 9 a.m. and 6 p.m., not on Sundays or public holidays, unless a written authorisation from the Commissioner permits otherwise (reg 14(1)). For telephone appeals, restrict calls to 9 a.m.-8 p.m. (reg 14(2)).
• Maintain records of any written Commissioner authorisations allowing exceptions to these hours and ensure collectors carry a copy when authorised to operate outside standard hours.

Investment policy (reg 16)

• Adopt an investment policy that either: a) Deposits charitable monies in a company registered to carry on the business of banking in Western Australia (reg 16(a)), or b) Where the organisation chooses to invest elsewhere, documents how the organisation exercised the care, diligence and skill that a prudent person would exercise in managing the financial affairs of other persons (reg 16(b)).
• Keep minutes and written investment decision records evidencing the due diligence and rationale for investments that do not strictly rely on WA bank deposits.

Record retention, audit and access

• Maintain books of account showing receipts, disbursements and balances for each collection activity. Ensure records are indexed and available for audit and for the Commissioner or an auditor to access, given that failure to provide access to collection records is an Act offence captured in Schedule 1 (s 15(3A) , modified penalty $1,000 where listed).
• Prepare periodic reconciliations between collection schedules and bank deposits to show timely banking.

Handling unlicensed collections and Commissioner directions (reg 10)

• If approached about funds collected without a licence, seek immediate legal or administrative advice before disposing of or reassigning funds. Reg 10(1) authorises the Commissioner, after advice from the advisory committee, to direct that collected funds be applied to charitable purposes, vested in a charitable organisation, or vested in the Commissioner for allotment (reg 10(1)(i)-(iii)), and reg 10(2) requires compliance. Failure to comply attracts a $1,000 penalty.
• Maintain documentation showing any prior authorisations or interactions with the Commissioner relevant to collections done before licence issuance.

Responding to enforcement and infringement notices (reg 18; Schedule 1; Schedule 2 Form 1)

• If issued an infringement notice, consult the Form 1 details. You may pay the modified penalty within 28 days to avoid prosecution, or elect prosecution and dispute the allegation in court by returning the form as directed (Schedule 2, Form 1). Ensure decision‑makers consider the trade‑off between administrative settlement and contested litigation.
• If you disagree with an infringement notice, document the grounds for the dispute and consider seeking legal advice early. If the modified penalty is not paid, enforcement measures under the Fines, Penalties and Infringement Notices Enforcement Act 1994 may follow, as noted in Form 1.
• For any notice from the Commissioner requiring information or demanding compliance, treat the deadline as a statutory duty. Reg 8(1) and reg 10(2) carry express penalties for non‑compliance.

Operational administration and internal checks

• Appoint an internal compliance officer responsible for: maintaining the executive officer register, ensuring bank deposits and remittances meet deadlines, logging collection times, retaining copies of any written Commissioner authorisations, arranging audits and responding to information requests.
• Train all collectors and volunteers on permitted solicitation hours, banking and remittance rules, and record‑keeping obligations. Maintain signed acknowledgement forms showing collectors have been instructed on these requirements.

Documentation and evidence

• Retain copies of the licence, all Commissioner authorisations, auditors’ engagement letters and reports, bank statements and signatory authorisations, minutes of governing body decisions on banking and investment policy, and all correspondence with the Commissioner. These documents will be critical if the Commissioner exercises direction powers under reg 10 or if an authorised officer issues an infringement notice.

Practical engagement with the Commissioner

• When in doubt about whether a proposed collection activity or investment meets the regulations, seek written clarification from the Commissioner. Written authorisations are required to operate outside permitted hours (reg 14) and provide clearer evidence of administrative consent should enforcement or audit arise.

Following these steps and documenting compliance choices will address the principal obligations set out in regs 3, 4, 8, 10, 11, 14, 16 and 18. The core theme is documentation: the regulations require timely action (banking, notification), specified governance arrangements (two signatories, asset register) and accessible records. Where the regulations use standards‑based language (for example, "prudent person" in reg 16), organisations should adopt written policies and decision records to demonstrate how the standard was met.