EVIDENCE (NATIONAL UNIFORM LEGISLATION) REGULATIONS 2012

The Regulations rely on and operationalise several core evidentiary concepts from the Act. The main concepts and how the Regulations treat them are:

• Notice of previous representation (regulation 4): For the hearsay exceptions contained in the Act (section 67 and related provisions), the Regulations require a notice to state the substance of the previous representation the notifying party intends to adduce, the substance of any other relevant representations by the same person that are known to the notifying party, and particulars of the date, time, place and circumstances of each representation, who made and received each representation, and in civil proceedings the address of each person named (so far as known). If the representation relied on is in writing, a copy or relevant portion must be attached and identified (regulation 4(4)-(5)). The Regulations also require, where reliance is placed on unavailability and other specified grounds in the Act (for example sections 63(2)(a)/(b), 64(2), 65(2), 65(3), 65(8)), that the notice state the particulars of facts that will be relied upon to establish those grounds (regulation 4(2)-(3)).

• Tendency and coincidence notices (regulation 6): For the tendency rule (Act, s 97) and the coincidence rule (Act, s 98), the Regulations require notices to set out the substance of the evidence to be adduced and, where the evidence includes conduct or events, to provide particulars of date, time, place, circumstances and the names of persons who perceived the conduct or events. Again, in civil proceedings the addresses of those persons must be included so far as known (regulation 6).

• Addresses and disclosure in criminal proceedings (regulations 5 and 7): The Regulations treat the disclosure of addresses differently depending on whether the proceeding is civil or criminal. In civil proceedings the address requirement in the notices is an obligation "so far as it is known to the notifying party" (regulations 4(1)(c)(iii) and 6(1)(b)(iii)/6(2)(b)(iii)). In criminal matters the court can, upon application by a party, order the notifying party to disclose an address of a person named in such a notice if the court is satisfied that the address is relevant to the offence charged and that disclosure is not likely to present a reasonably ascertainable risk to welfare or physical safety, or that the interests of justice outweigh that risk. The court may impose terms on such directions (regulations 5(1)-(2) and 7(1)-(2)).

• “Address” and “notifying party” (regulation 3): For interpretation, address is defined broadly to include private, business or official addresses; notifying party is defined as the person giving the notice.

• Judicial entity prescription (regulation 7A): For the purposes of the Act’s Dictionary definition of "judicial entity" paragraph (b), the Regulations prescribe the ICAC (Independent Commissioner Against Corruption) as a judicial entity.

• Forms and statutory certificates (regulation 8 and Schedule): The Schedule prescribes forms for certificates under sections 128/128A, affidavits by police members concerning fingerprints under sections 179 and 180, and certificates of convictions/acquittals under section 178. The forms contain standard phrasing, instructions about annexures and deletions, and notes that cross‑reference Act provisions (for example the Form 1 note reproduces the effect of sections 128(7) / 128A(8) that certain evidence cannot be used against the person except for falsity).

The Regulations therefore convert statutory admissibility grounds and notice obligations into concrete drafting and disclosure tasks. The practical effect is to require more factual particularity early in proceedings where the party intends to rely on hearsay exceptions, tendency/coincidence evidence, or certain prescribed evidentiary certificates. The Regulations also create a narrowly circumscribed mechanism for compelled disclosure of addresses in criminal cases, subject to judicial balancing of safety and the interests of justice.

These Regulations affect multiple participants in litigation and investigation in the Northern Territory who interact with the specified provisions of the Act:

• Notifying parties (regulation 3): Any party who proposes to rely on the hearsay exceptions specified in section 67(1) of the Act, or proposes to give notices under the tendency (section 97) or coincidence (section 98) provisions, is directly affected. The Regulations define and require specific content from the “notifying party.” Practically this includes prosecutors, plaintiffs and defendants, and civil litigants who plan to tender previous representations, tendency evidence or coincidence evidence.

• Courts and judicial officers (regulations 5, 7 and 8): The courts decide admissibility under the Act but are given express procedural powers by these Regulations to compel disclosure of addresses in criminal proceedings when certain tests are met (regulations 5 and 7). Courts also certify under Form 1 (Schedule) in relation to section 128 / 128A certificates and authenticate attached transcripts or records.

• Police forces and forensic officers (Schedule Forms 2 and 3): The Northern Territory police and the Australian Federal Police are explicitly referenced by Forms 2 and 3 as the deponents of affidavits concerning fingerprints under sections 179 and 180 of the Act. These forms set out the required content for fingerprint affidavit evidence, including certified copies of convictions and the expert’s comparison statement.

• ICAC (regulation 7A): The Independent Commissioner Against Corruption is prescribed as a judicial entity for the purpose of the Act’s Dictionary, which will affect how protections or classifications in the Act that depend on whether a body is a "judicial entity" apply to ICAC.

• Litigants in civil proceedings: The Regulations require that in civil proceedings, notices include the addresses of persons named in the notice “so far as it is known to the notifying party” (regulation 4(1)(c)(iii) and regulation 6(1)(b)(iii)/6(2)(b)(iii)). This imposes on civil litigants a duty to identify and, where possible, provide addresses for witnesses and persons involved in prior representations, events, or conduct.

• Defence counsel and accused persons in criminal proceedings: The Regulations create an application pathway (in criminal proceedings) for a party to seek an order that a notifying party disclose addresses of persons named in notices (regulations 5 and 7). Defence counsel may therefore apply for disclosure; the court will balance relevance, safety and interests of justice.

• Practitioners preparing certificates and affidavits: The Schedule prescribes specific forms and indicates how to complete them (including deletions and jurisdictional variations). Practitioners must follow the specific wording and the notes for completion, including complying with the Oaths, Affidavits and Statutory Declarations Act 2010 for affidavits made in the Northern Territory (Schedule, Forms 2-3 notes).

• Parties relying on section 63/64/65 categories in the Act: Regulation 4 requires that if a party intends to rely on particular subsections of the Act (listed in regulation 4(2)-(3)), the notice must state particulars of the facts relied upon to establish unavailability or other grounds. Practitioners who plan to invoke those specific statutory subparagraphs must therefore prepare additional factual material.

• Record custodians and courts that authenticate transcripts: Form 1 requires that a transcript or other record of the evidence be attached to the certificate and “duly authenticated by the court or its proper officer.” Custodians and registries will therefore have a practical role in preparing and authenticating attached records.

In short, the Regulations materially affect parties preparing to adduce hearsay, tendency or coincidence evidence by increasing the factual and documentary production requirements at the notice stage, and they affect courts and practitioners involved in disclosure applications about addresses and in preparing certain certificates and affidavits. They also affect how ICAC is classified within the Act’s definitions.

The Regulations create particular duties for notifying parties, prescribe rights of parties to apply to courts, and set out procedural rights attached to specified forms. The main duties and rights are as follows, with cross‑references to the relevant regulations and Schedule entries:

Duties on notifying parties to give sufficiently detailed notices

• Content requirements for previous representations (regulation 4): When a party gives a notice under section 67(1) of the Act (a notice of previous representation), the notice must state the substance of the previous representation the notifying party intends to adduce, and the substance of all other relevant representations by that person so far as known (regulation 4(1)(a)-(b)). The notice must give particulars of the date, time, place and circumstances of each representation, the names of persons by whom and to whom each representation was made, and, in civil proceedings, the address of each person so named (regulation 4(1)(c)(i)-(iii)). If the representation is in writing the notifying party must attach a copy or relevant portion of the document and identify it unless identity is apparent (regulation 4(4)-(5)). The duty also extends to stating particulars of facts where certain subsections of the Act are to be relied on (regulation 4(2)-(3)).

• Content requirements for tendency and coincidence notices (regulation 6): Notices under sections 97(1)(a) (tendency) and 98(1)(a) (coincidence) must state the substance of the evidence to be adduced and, where the evidence concerns conduct or events, provide particulars of the date, time, place, circumstances, the names of witnesses who perceived the conduct or events, and in civil proceedings the addresses of those persons so far as known (regulation 6(1)(a)-(b) and 6(2)(a)-(b)).

Right to seek disclosure of addresses in criminal proceedings

• Application to court for disclosure of addresses (regulations 5 and 7): In criminal proceedings a party may apply to the court for an order directing the notifying party to disclose the address of any person named in a notice given under regulation 4 (for previous representations) or regulation 6 (for tendency/coincidence matters) who made or perceived the representations, conduct or events referred to. The court may make such an order if satisfied that the address is relevant to the offence charged and that disclosure will not present a reasonably ascertainable risk to welfare or physical safety, or that the interests of justice outweigh any such risk (regulations 5(1)(a)-(b) and 7(1)(a)-(b)). The court’s direction can be given on such terms as it thinks fit (regulations 5(2) and 7(2)).

Form and evidence-related duties

• Prescribed forms (regulation 8 and Schedule): The Schedule prescribes forms for certificates and affidavits to be used for the purposes of certain sections of the Act. For example, Form 1 is a court certificate under section 128/128A that a person’s evidence or disclosed information is protected from use against the person (subject to the falsity exception). Forms 2 and 3 are affidavits of fingerprint examiners (State police and AFP respectively) under sections 179 and 180 and set out the matters an expert must state, including annexing certified copies of convictions. Form 4 is a certificate of convictions, acquittals and other judicial proceedings under section 178. The Schedule contains notes on completion: specific deletions, required annexures, and jurisdictional variations (Schedule, Forms 2-4 notes).

Interpretive and procedural duties

• Definitions and scope (regulation 3): Notifying parties must understand that "address" is broadly defined (private, business or official) and that "notifying party" is the person giving the notice. These definitions will affect the practical fulfilment of the address particulars requirements in civil notices and the scope of what may be sought in criminal applications.

• Authentication and statutory compliance (Schedule, Forms 1-3 notes): When attaching records to certificates (Form 1) or making affidavits (Forms 2 and 3), parties must ensure authentication by the court or proper officer and, when affidavits are made in the Northern Territory, compliance with the Oaths, Affidavits and Statutory Declarations Act 2010. The Schedule’s notes indicate precise wording and witnessing formats to be used depending on whether the affidavit is made in the Territory or outside it.

Limits and rights not created by the Regulations

• No new evidentiary tests (regulations generally): The Regulations do not alter the substantive admissibility tests contained in the Act. They operate “for the purposes of” specified Act provisions (for example, regulation 4 “for the purposes of section 67(1)”) by prescribing content and process for notices and forms.

• Court discretion retained (regulations 5 and 7): The Regulations expressly vest discretion in courts to order address disclosure and to set terms for such disclosure. The court retains weighing functions (relevance, safety and interests of justice), and the Regulation does not circumscribe how those factors are to be balanced beyond the stated tests.

Consequences of non‑compliance

• The Regulations set out required content but do not themselves specify penalties for non‑compliance. The practical consequence is that the court, exercising its powers under the Act and ordinary case‑management and evidentiary discretion, will determine admissibility and may respond to insufficient or late notices by excluding evidence, imposing directions or otherwise exercising case‑management powers. The Regulations do not add statutory sanctions in their own text.

In summary, the Regulations place on notifying parties concrete drafting duties concerning the substance, particularity, and documentary support for notices linked to hearsay, tendency and coincidence evidence. They create a procedural right for parties in criminal matters to seek disclosure of addresses but leave ultimate decision and terms to the court. The Schedule imposes precise requirements for certain certificates and affidavit evidence, including jurisdictional forms of words and annexure rules.

The Regulations themselves do not prescribe criminal penalties or fixed monetary fines for breach. Their enforcement mechanism is procedural: courts and judicial officers apply and enforce the Regulations by exercising the powers and discretions conferred on them by the Act and by the Regulations. Key points about enforcement and practical consequences as indicated in the Regulations are:

Procedural enforcement through court discretion

• Admissibility and court powers remain central: The Regulations are framed “for the purposes of” specific sections of the Act (for example, regulation 4 for section 67(1); regulation 6 for section 99). The Act contains the substantive admissibility rules and powers to control evidence. The Regulations specify the content required for notices that engage these provisions. Where a party fails to comply with prescribed notice requirements, the practical enforcement will be exercised by the court in its rulings on admissibility, disclosure orders and case management. The text of the Regulations does not articulate a statutory penalty regime for non‑compliance.

• Court-ordered disclosure in criminal proceedings (regulations 5 and 7): The Regulations give the court a gatekeeping power to order a notifying party to disclose addresses of persons named in notices for previous representations (regulation 5) or for tendency/coincidence notices (regulation 7), subject to relevance and safety/justice balancing tests. Failure to comply with such a court order could attract contempt or other court powers, but neither the Regulations nor the Schedule specify a particular fixed penalty; enforcement would flow from the court’s general powers.

No statutory fines or criminal offences in the Regulations

• The Regulations do not create new offences: There is no provision in the Regulations creating an independent criminal or civil penalty for failing to include the required particulars in a notice, or for failing to use the prescribed forms. Instead, compliance is a procedural requirement for the operation of the Act’s admissibility processes. Failure to comply is therefore likely to be addressed through judicial management: exclusion of evidence, directions, costs orders, or orders compelling proper particulars or documents.

Form-certificates and evidence protection

• Form 1 and the protections in sections 128(7) / 128A(8): Form 1 is a certificate under section 128/128A of the Act and includes a note reproducing the statutory protection: evidence given in respect of which such a certificate has been given cannot be used against the person, except in prosecutions for falsity. The Regulations therefore prescribe the form by which courts certify certain protections. The legal effect and potential enforcement consequences of misuse of such evidence are those set out in the Act itself; the Regulations do not add enforcement mechanisms beyond prescribing the wording and authentication.

Practical enforcement mechanisms lawyers should expect

• Judicial case management and possible sanctions: In practice, courts may treat non‑compliance with notice requirements as a matter for directions hearings, potential exclusion of improperly noticed evidence, or costs consequences. They may also require the re‑service of compliant notices or exercise supervision over disclosure. Those are not specified in the Regulations but follow ordinary judicial powers tied to the Act and court rules.

• Contempt for non‑compliance with orders: If the court exercises its power under regulations 5 or 7 to order disclosure and a party disobeys, courts retain contempt and other enforcement powers under general court jurisdiction. The Regulations themselves do not specify contempt procedures.

Interface with other statutory enforcement regimes

• Affidavit formalities and statutory requirements: The Schedule directs that certain affidavits made in the Northern Territory must comply with the Oaths, Affidavits and Statutory Declarations Act 2010. Breach of the formalities of that Act could have statutory consequences separate from breach of these Regulations. Similarly, certificates of convictions, and records attached to forms may have evidentiary rules and offences relating to false documents under other laws; those are not created by these Regulations but interact with them.

In short, the Regulations prescribe procedural duties and provide courts with specified disclosure powers in criminal cases. They do not themselves create an independent penalty regime; enforcement will be exercised through judicial discretion, case management powers and, where a court order is contravened, the court’s own enforcement mechanisms. Practitioners should therefore treat compliance as both evidentiary and operationally necessary, because non‑compliance is liable to attract judicial responses that could exclude evidence or otherwise prejudice a party’s case.

The Regulations are designed to work tightly with the Evidence (National Uniform Legislation) Act 2011 and with a small number of other statutes and institutional arrangements referenced in the text. The primary interactions are:

Direct interaction with the Evidence (National Uniform Legislation) Act 2011

• Sectional linkage: The Regulations repeatedly specify that they apply “for the purposes of” particular Act provisions. For example, regulation 4 operates for the purposes of section 67(1) of the Act (previous representations and hearsay exceptions); regulation 6 is for the purposes of section 99 (notices under sections 97/98 pertaining to tendency and coincidence rules); Forms in the Schedule are prescribed “for the purposes of the provisions of the Act specified in the forms” (regulation 8). This means the Regulations do not stand alone: they operationalise notice and form obligations that trigger the Act’s admissibility rules.

• Certificates and statutory protections: Form 1 cross‑references sections 128 and 128A of the Act and reproduces the statutory non‑use protections that attach to certain certificates. The effect of those certificates , that evidence or information cannot be used against the person except in prosecutions for falsity , is set out in the Act, and the Schedule provides the prescribed template that courts should use when issuing such certificates.

Designation of ICAC as a “judicial entity”

• Regulation 7A inserts a prescription into the Act’s Dictionary by declaring the ICAC to be a judicial entity for the purposes of the Act’s Dictionary definition of judicial entity paragraph (b). This affects how the Act’s provisions that refer to "judicial entity" apply to ICAC. The endnote information records this insertion as having been made by the Independent Commissioner Against Corruption Amendment Act 2023 (Act No. 29, 2023) (Endnotes). The regulatory prescription therefore interacts with legislative amendments in the Independent Commissioner Against Corruption Amendment Act 2023.

Affidavit formality and the Oaths, Affidavits and Statutory Declarations Act 2010

• Affidavit form compliance: Schedule Forms 2 and 3 contain notes that an affidavit made in the Northern Territory must comply with the Oaths, Affidavits and Statutory Declarations Act 2010. That Act sets out attestation, form and witnessing requirements for statutory declarations and affidavits in the Territory; compliance affects the admissibility and validity of those affidavit exhibits. Practitioners must therefore ensure that affidavit formalities meet both the Schedule’s content requirements and the statutory oath/affirmation formalities.

Interplay with police record systems and convictions certificates

• Forms 2-4 interact with court recordkeeping and police records. The fingerprint affidavits (Forms 2-3) require comparisons against fingerprint records and annexure of certified copies or certificates of conviction. Form 4 is a certificate of convictions, acquittals and other judicial proceedings under section 178. These forms therefore presuppose access to police and court records and compliance with the rules for certification and authentication of records, which may involve interaction with other statutory recordkeeping obligations and privacy or information access regimes.

Local court amendments and reprinting notes

• The Endnotes record that schedule amendments were made by the Local Court (Related Amendments) Act 2016 (Act No. 8, 2016) (Endnotes, List of Legislation and List of Amendments). Those legislative amendments may alter the text of particular Schedule items or authorities referenced by the Regulations. Practitioners must therefore read the Regulations together with the up‑to‑date reprint and the indicated amending Acts.

No contradiction with substantive Act: procedural not substantive

• The Regulations do not purport to change substantive admissibility criteria in the Act; they prescribe notice content, forms and limited disclosure mechanisms to be used within the Act’s framework. Consequently, their interaction with the rest of the legal system is mainly procedural: they impose specific factual and documentary production requirements that must be satisfied when a party relies on certain exceptions or rules in the Act.

Administrative/operational interaction

• Court authentication and registry roles: Forms require attachment of transcripts and authentication by court officers. That interacts with court registry procedures, transcript preparation standards, and the administrative rules governing authentication and provision of certified copies.

In sum, the Regulations should be read as a practical extension of the Act: they instruct how parties and courts must proceed when engaging specified evidentiary routes. They also interact with the Oaths Act (for affidavit formalities), with police and court record systems for certified documents and with amending legislation such as the Independent Commissioner Against Corruption Amendment Act 2023 and the Local Court-related amendments noted in the Endnotes.

The Regulations include an Endnotes section that records formal amendments and reprint history. The key historical points recorded in the text supplied are as follows:

• Initial notification and commencement: The Evidence (National Uniform Legislation) Regulations (SL No. 46, 2012) were notified on 14 December 2012 and commenced 1 January 2013 (regulation 2 cross‑referenced and Endnotes, List of Legislation). The commencement is tied to the commencement of section 197 of the Act (regulation 2).

• Local Court (Related Amendments) Act 2016: The Schedule was amended by the Local Court (Related Amendments) Act 2016 (Act No. 8, 2016), which received assent on 6 April 2016 and commenced 1 May 2016 (Endnotes, List of Legislation and List of Amendments: sch amd Act No. 8, 2016, s 45). The Endnotes indicate sch (the Schedule) was amended by that Act (sch amd Act No. 8, 2016, s 45). The Schedule contains the Forms prescribed for use; amendments to the Schedule would therefore have changed form text or notes.

• Independent Commissioner Against Corruption Amendment Act 2023: Regulation 7A (the prescription of the ICAC as a judicial entity) was inserted by the Independent Commissioner Against Corruption Amendment Act 2023 (Act No. 29, 2023). The Endnotes state r 7A ins Act No. 29, 2023, s 56. The Assent date for that amending Act was 13 November 2023; the Endnotes record commencement of section 45 of that amending Act as 2 January 2024 and a remainder (rem) of 14 November 2023 (Endnotes, List of Legislation). The reprint supplied is "As in force at 14 November 2023", which corresponds with the version reproducing r 7A as inserted (the Endnotes show the insertion reference).

• General amendments of form only: The Interpretation Legislation Amendment Act 2018 (Act No. 22, 2018) made general amendments of a formal nature to regulations 1 and 2 and the Schedule (Endnotes, General amendments). These changes were described as formal and not individually itemised in the reprint’s table of amendments.

• Reprint and notation: The Endnotes include a key to abbreviations and a list of the legislation that has amended these Regulations. The reprint and endnotes show the Regulations as in force at 14 November 2023 and record the subsequent Act (Independent Commissioner Against Corruption Amendment Act 2023) for which the insertion of r 7A is attributed.

Practical implications of amendment history

• Form and Schedule changes: The Local Court amendments in 2016 changed the Schedule, which contains the prescribed forms. Practitioners should therefore confirm they are using the current version of the forms as amended.

• ICAC prescription: The legislative insertion that led to regulation 7A (Act No. 29, 2023) affects how the Act’s definition of judicial entity applies to ICAC. The insertion post‑dates the 2012 origin of the Regulations and shows the Regulations have been used to align the Act and associated bodies over time.

• Ongoing need to check reprints: The Endnotes emphasise that these Regulations have been subject to formal and substantive amendments since the 2012 origin, and that users should consult the current reprint or the consolidated legislation, including the listed amending Acts (Local Court related amendments 2016; Independent Commissioner Against Corruption Amendment Act 2023; Interpretation Legislation Amendment Act 2018), to ensure compliance.

The Regulations’ amendment history in the supplied text is limited to the items listed in the Endnotes section. The Schedule, being the most practical part of the Regulations (forms and notes), has been expressly amended by statute in 2016, and the 2023 amendment added a substantive regulation (7A) to prescribe ICAC. Practitioners should track further legislative changes and any alterations to the Act that affect the operation of the Regulations.

The Regulations as supplied do not record any judicial decisions interpreting or applying them. The Schedule and the Regulations themselves contain practical rules and prescribed forms, but the text includes no case citations, no reported judicial decisions, and no references to litigation outcomes. The Endnotes list amending Acts and formal reprinting changes but do not list any litigation concerning the Regulations.

What this means in practice

• No reported judicial interpretation included in the instrument: Because the Regulations do not contain any reported case law in the text supplied, practitioners cannot rely on decisions construing specific wording here without conducting a separate case‑law search. The Regulations implement and are to be read with the Act; relevant judicial authority will primarily be found in decisions interpreting the corresponding provisions of the Act , for example, cases dealing with sections 63-67 (hearsay exceptions), sections 97-99 (tendency and coincidence rules), sections 128/128A (certificate protections) and sections 178-180 (conviction/fingerprint evidence). Any litigation applying or interpreting these Regulations would necessarily involve the Act and court exercise of discretion in particular factual contexts.

• Practical implication for practitioners: In the absence of a litigation history within the Regulations document, practitioners should treat the Regulations as procedural prescriptions and rely on the courts’ existing powers under the Act. When planning to rely on the notices or forms, lawyers should check current case law on the corresponding Act provisions and any decisions that have specifically addressed compliance with the Regulations’ notice particulars or form requirements.

• Further research required: To understand how courts have enforced these Regulations’ notice requirements or exercised their power to order address disclosure under regulations 5 and 7, a jurisdictional search of Northern Territory decisions and any appellate decisions applying these specific regulations is required. The Regulations themselves do not supply litigation history.

In short, the Regulations document does not include litigation history. Practitioners must undertake jurisdictional legal research into cases dealing with the Act and the Regulations to identify how courts have enforced notice requirements, treated failure to comply with particulars, or balanced the tests for disclosure under regulations 5 and 7.

The Regulations contain several practical pitfalls and points that commonly lead to procedural friction. These are mechanics that practitioners must mind; they are risks and operational details grounded in the text of the Regulations and Schedule.

1. “Substance” requirement is particular, not parroting

• Regulation 4(1)(a) and regulation 6(1)(a)/6(2)(a) require the notice to state “the substance” of the evidence or representation intended to be adduced. The Regulations further require particulars of date, time, place and circumstances, and the names of persons involved. Merely providing a summary without the specified particulars risks non‑compliance. The safe approach is to give the precise factual core of the representation or incident, plus the surrounding particulars required by the Regulation.

2. Written representations: attachment requirement and identity

• Regulation 4(4)-(5) requires that if a notice refers to a representation in writing, a copy of the document or relevant portion must be attached and the document identified unless identity is apparent on the face of the copy. Practitioners sometimes omit attachments or attach unmarked, uncertified copies; the Regulations require an attachment and identification. If identity is not apparent, include a clarifying statement.

3. “So far as it is known” is a substantive duty

• For civil proceedings regulation 4(1)(c)(iii) and regulation 6(1)(b)(iii)/6(2)(b)(iii) require the address of persons named in notices only “so far as it is known to the notifying party.” That phrase creates an affirmative obligation to make reasonable enquiries. A practitioner who omits addresses and cannot explain why they were unknown will be at risk of judicial criticism; keep and document searches and efforts to locate addresses.

4. In criminal proceedings addresses are not automatically disclosed

• Regulations 5 and 7 create a court application route for disclosure of addresses in criminal proceedings, but do not make disclosure automatic. A party must apply and satisfy the court that the address is relevant and that disclosure is not likely to present a reasonably ascertainable risk to welfare/physical safety or that the interests of justice outweigh that risk. Do not assume addresses provided in civil notices will be available in criminal contexts.

5. Safety balancing is fact‑sensitive and court can impose terms

• Even where the court orders disclosure, regulation 5(2) and regulation 7(2) allow the court to impose terms. Expect terms might include redactions, limited inspection rights, or in‑camera inspection. Practitioners should prepare submissions addressing both relevance and safety, with particular evidence to meet the tests.

6. Form‑compliance technicalities and jurisdictional wording

• The Schedule’s Forms contain optional and mandatory phrasing and notes about deletions (for example, Forms 2 and 3 include alternative phrases depending on whether the affidavit is sworn in the Northern Territory or outside it). Form 2/3 Notes specify that a phrase must be used if the affidavit is made in the Northern Territory and may be used if sworn outside it. Failure to use the correct jurisdictional phrasing or to comply with the Oaths, Affidavits and Statutory Declarations Act 2010 may jeopardise admissibility.

7. Form 1 certificates and the ‘cannot be used’ protection

• Form 1 is a court certificate under section 128/128A. The Note reproduces the statutory rule that evidence to which such a certificate applies cannot be used against the person, except in a criminal proceeding concerning falsity of the evidence. Parties must ensure the certificate is properly completed and the transcript attached and authenticated as required by the Form notes, otherwise the protection may be questioned.

8. Fingerprint affidavits demand certified convictions

• Forms 2 and 3 require annexure of certified copies or certificates of conviction, and the deponent must identify links between fingerprints and convicted persons. Ensure certified annexures are prepared, properly indexed and authenticated; otherwise the affidavit may fail to meet the Form’s requirements.

9. Authentication requirement for transcripts and records

• Form 1 requires the transcript or other record of evidence attached to the certificate to be “duly authenticated by the court or its proper officer.” Courts will expect authentication in their established registry formats; parties should secure court authentication early rather than risking late compliance.

10. ICAC prescription may change access and protections

• Regulation 7A prescribes the ICAC as a judicial entity for the purpose of the Act’s Dictionary. That may change how protections or procedures that depend on a body being a “judicial entity” apply to investigations or disclosures involving ICAC. Practitioners engaged in ICAC matters should note this was inserted by Act No. 29, 2023 (r 7A ins) and check for any downstream effects in the Act or related practice directions.

11. No sanctions in the Regulations , court remedies are varied

• The Regulations do not define specific penalties for non‑compliance; consequences are prudential and judicial. Do not assume a fixed consequence; instead expect courts to use case management tools, directions or exclusion, and possibly contempt powers for defiance of orders.

12. Amendments and reprints: watch the Schedule

• The Schedule has been amended (notably by the Local Court (Related Amendments) Act 2016). Always use the current reprint for form text. Failing to use the current prescribed form risks procedural objection.

Summary: The principal practical pitfalls are insufficient particularity in notices, failure to attach and identify relevant written documents, inadequate effort to ascertain addresses (or poor record-keeping of such efforts), mis‑use or mis‑wording of prescribed forms, and insufficient factual material when applying for address disclosure in criminal proceedings. Meticulous preparation, use of the exact prescribed wording, authenticated annexures, and documented searches for addresses reduce risk.

Compliance with these Regulations requires both substantive factual preparation by the notifying party and attention to prescribed form and wording. The following step‑by‑step checklist and practical advice follows directly from the text of the Regulations and Schedule.

A. Notices for previous representations (regulation 4)

1. Draft a notice that explicitly cites section 67(1) of the Act as the basis for the notice.

2. State the substance of the previous representation you intend to adduce (regulation 4(1)(a)). Provide the core content of what the prior statement asserted.

3. State the substance of all other relevant representations made by the same person so far as known to you (regulation 4(1)(b)). Do not omit related representations that might be used to challenge consistency.

4. Provide particulars for each representation (regulation 4(1)(c)(i)-(iii)):

   • date, time, place and circumstances of the representation;
   • names of the persons by whom and to whom each representation was made;
   • in civil proceedings, the address of each person named under the prior bullet, so far as it is known to the notifying party.

5. If relying on particular subsections of the Act listed in regulation 4(2)-(3) (for example, s 63(2)(a)/(b), s 65(2)/(3)/(8), s 64(2)(a)/(b)), include particulars of the facts on which you rely to establish unavailability or the specified grounds.

6. If the previous representation was in writing, attach a copy or the relevant portion to the notice and identify the document unless identity is clear from the copy (regulation 4(4)-(5)). Ensure the copy is legible and properly indexed.

7. Retain and record evidence of searches used to find any addresses. In civil matters the notice must include addresses “so far as known” (regulation 4(1)(c)(iii)). Document the enquiries made to justify a statement that an address is not known.

B. Tendency and coincidence notices (regulation 6)

1. Draft notices under sections 97(1)(a) or 98(1)(a) that state the substance of the evidence intended (regulation 6(1)(a), 6(2)(a)).

2. If the evidence relates to conduct (tendency) or events (coincidence), include particulars of date, time, place, circumstances, and names of those who saw/heard/perceived the conduct or events (regulation 6(1)(b)(i)-(ii), 6(2)(b)(i)-(ii)).

3. In civil proceedings, provide the addresses of those persons if known (regulation 6(1)(b)(iii), 6(2)(b)(iii)).

4. Attach supporting documents or chronologies if helpful to show propensity, similarity or linkage.

C. Applying for addresses in criminal proceedings (regulations 5 and 7)

1. If you require the address of a person named in a notice in a criminal proceeding, make a formal application to the court seeking an order under regulation 5 (for previous representations) or regulation 7 (for tendency/coincidence).

2. Prepare evidence to show:

   • relevance of the address to the offence charged (regulations 5(1)(a)/7(1)(a));
   • either disclosure is not likely to present a reasonably ascertainable risk to welfare/physical safety, or that the interests of justice outweigh such risk (regulations 5(1)(b)/7(1)(b)).

3. Anticipate the court will ask for evidence of the safety risk and may impose terms on disclosure (regulations 5(2)/7(2)). Prepare submissions proposing terms if disclosure is ordered (e.g., redaction, restricted circulation, in‑camera inspection).

D. Use prescribed forms and comply with the Schedule (regulation 8 and Schedule)

1. Use Form 1 for court certification under section 128 / 128A where required. Attach the transcript or record of the evidence and obtain authentication by the court or proper officer (Schedule, Form 1 and notes).

2. Use Form 2 (State/Territory police) or Form 3 (Australian Federal Police) for fingerprint affidavits under sections 179/180. Ensure the affidavit contains the statements required by the Form, annex certified copies/certificates of conviction, and uses the correct wording for jurisdictional variations (Schedule, Forms 2 and 3 and notes).

3. Use Form 4 where a certificate of convictions/acquittals and other judicial proceedings is prescribed under section 178. Follow notes for completion and delete inapplicable paragraphs.

4. For affidavits made in the Northern Territory, ensure compliance with the Oaths, Affidavits and Statutory Declarations Act 2010, as directed in the Schedule notes for Forms 2 and 3.

E. Authentication, annexures and indexing

1. Authenticate transcripts and records as required by Form 1; coordinate with court registry to obtain proper authentication.

2. Annex certified copies or certificates of convictions as required by Forms 2 and 3. Ensure annexures are properly marked with an alphabetical sequence starting at “B” and described in the affidavit as required.

3. Index and paginate attachments. Provide an annexure list in notices or affidavits to make identification straightforward.

F. Record efforts to discover addresses and other particulars

1. For civil matters, retain records of searches and enquiries used to obtain addresses. Make a contemporaneous file note of searches and responses.

2. For criminal matters where you will apply under regulation 5 or 7, collect evidence that the address is relevant and weigh evidence concerning risk to safety, to present to the court.

G. Drafting and procedural practice tips

1. Use the exact statutory cross-references and language where practical. Note the Regulations’ emphasis on “substance” and “particulars” , do not rely on generic descriptions.

2. When in doubt about whether a representation is “in writing,” attach the disputed document and include an identification statement to avoid compliance challenges.

3. If you intend to rely on multiple Act subsections, explicitly list each subsection and the particulars required by regulation 4(2)-(3).

4. Prepare skeleton submissions in the event the court scrutinises the adequacy of your notice. Courts will expect factual particularity and an explanation of why certain addresses or particulars cannot be provided.

5. Check for any amendments to the Schedule and the Regulations (for example, Local Court amendments 2016; the 2023 amendment inserting r 7A) and ensure the form you use is the up‑to‑date prescribed form.

H. Practical templates and workflow

1. Create an internal template for previous representation notices that maps the Regulation 4 checkboxes: substance; other known representations; particulars (date/time/place/circumstances); names; addresses (civil); attachment of written representation where applicable; particulars for unavailability grounds where applicable.

2. For tendency/coincidence notices, use a template mapping regulation 6 requirements: substance; particulars for each incident; witness names and addresses; attachments.

3. Implement a checksheet at filing that confirms attachments are included, annexures are indexed, and transcripts are authenticated before filing or certification by the court.

Following these steps will align practice with the Regulations’ explicit requirements. The core compliance principle is to deliver full factual particularity and documentary proof at the notice stage where the Regulations require it, and to be prepared to address safety and relevance balancing when seeking address disclosure in criminal matters.