Industrial Relations (Industrial Agents) Regulations 1997

The instrument’s central legal constructs are the registered industrial agent, the Registrar, the code of conduct and the regulatory processes for registration, monitoring and discipline.

• Industrial agent. The regulations operate in respect of an "industrial agent" defined by reference to section 112A of the Act and cross‑referred throughout (reg 3). The Schedule clarifies duty‑level conduct expectations applied to the industrial agent as an individual and, where relevant, to bodies corporate and their officers (Schedule 1, cl 2).

• Registrar and Deputy Registrar. The “Registrar” is the officeholder who administers the regime, with an expressly prescribed substitute (the designated Deputy Registrar) where the Registrar is absent or incapacitated (reg 3). The Registrar carries primary responsibilities: receiving applications, issuing certificates, keeping a register, conducting inquiries, receiving complaints, presiding over conciliations and issuing authorisations to litigate (regs 4, 9-10, 14-16).

• Fit and proper person and criminal record disclosures. Applicants must disclose criminal record details for the preceding ten years for themselves, and if not a natural person, for officers of the applicant body (reg 4(1)(b)). Where an admission of a criminal record appears in the application, or an objection is lodged, the Registrar is required to investigate and assess whether the applicant is a fit and proper person having regard to the conduct required under the code of conduct (reg 6(2), (3), (6)). The applicant’s statutory declaration must, if criminal convictions are included, set out grounds why those convictions do not render the applicant unfit given the conduct obligations under the code (reg 4(2)(c)(ii)).

• Financial protection: professional indemnity insurance or equivalent resources. Registration is conditional on evidence that the applicant “has, or will have if registration is granted” professional indemnity insurance for not less than $100,000, or proof of sufficient money or material resources to provide indemnity (reg 4(2)(b); reg 6(1)(b); reg 7(1)). Registration carries the ongoing condition that such insurance be maintained or evidential proof annually lodged (reg 7(2)-(4)).

• Code of conduct. Schedule 1 is expressly prescribed as the code of conduct and made a condition of registration (reg 8(1)-(2)). The code sets positive duties and prohibitions across integrity and diligence (cl 3), confidentiality (cl 4), conflict disclosure (cl 5), conduct in proceedings (cl 6), advertising (cl 7), withdrawal from retainer (cl 8), fees (cl 9), and holding trust moneys (cl 10). It applies to bodies corporate and their officers (cl 2).

• Public notice and third‑party objections. The applicant must publish a notice in The West Australian within two working days of making the application, and provide the Registrar a copy within one working day; the notice must state the place and time within which an objection may be made (reg 4(3)-(4)). The objection window is seven days from publication and is limited to challenges that the applicant is not a fit and proper person because of criminal record (reg 5(1)).

• Complaints and remedial processes. The regulations distinguish two complaint types: (a) any person may complain that registration may have been improperly obtained (reg 12(1)); (b) a client may complain that an industrial agent has failed to comply with a condition of registration, with a 28‑day time limit from knowledge or such later time as the Registrar may allow in exceptional circumstances (reg 12(2)-(3)). The Registrar conducts inquiries (reg 14), may conciliate client complaints (reg 16) and, for unresolved client complaints, may issue a certificate allowing proceedings before an industrial magistrate (reg 16(3)). The industrial magistrate decides complaint matters on the balance of probabilities (reg 17(4)).

• Adjudication, sanctions and appeals. The industrial magistrate may reprimand, cancel registration, and disqualify for a period or until satisfaction of conditions placed (reg 17(5)); costs orders are available in defined circumstances (reg 17(6)-(7)). Appeal routes exist to the industrial magistrate from Registrar determinations (reg 19) and from industrial magistrate or Registrar decisions to the Full Bench (reg 20), with Full Bench decisions open to further appeal under section 90 of the Act (reg 20(1)-(3)).

These concepts set the regime’s logic: licensing tied to minimum financial protection and behavioural standards, front‑loaded public transparency and short objection windows, Registrar investigatory discretion informed by the code, and a layered enforcement process culminating in administrative sanctions and rights of review (regs 4, 6-8, 12-20; Schedule 1).

The regulations identify and allocate duties and rights among several defined groups and stakeholders.

• Applicants and prospective industrial agents. Individuals, firms and bodies corporate applying for registration must supply specified identity and criminal record information, pay the application fee, provide evidence of professional indemnity insurance or equivalent financial resources, lodge statutory declarations verifying particulars and declaring compliance with the code, and publicise the application in The West Australian within two working days (reg 4(1)-(4); reg 4(2)(a)-(c)). Applicants therefore bear immediate compliance costs (fee, publication, insurance or equivalent) and administrative obligations that condition eligibility.

• Registered industrial agents. Once registered, agents must keep their professional indemnity insurance (or equivalent resources) in place and lodge evidence annually within 15 days after the anniversary of registration (reg 7(1)-(2)). Registration lasts five years, and renewal requires payment of the renewal fee by the agent (reg 11(1)-(3)). Registered agents are subject to the code of conduct as a condition of registration (reg 8(2); Schedule 1), and may be the subject of complaints by any person alleging improper registration or by clients alleging failure to comply with registration conditions (reg 12).

• Clients and complainants. Clients have an express right to lodge a complaint that an industrial agent failed to comply with a condition of registration, subject to a 28‑day time limit from awareness unless the Registrar accepts exceptional circumstances (reg 12(2)-(3)). Any person may lodge a complaint alleging an agent’s registration may have been improperly obtained (reg 12(1)). Complainants are required to submit complaints in the form of a statutory declaration with specified particulars (reg 12(4)). Complainants who initiate proceedings and fail to obtain a finding may be ordered to pay costs and a specified sum not exceeding $500 towards defraying the costs (reg 17(6)).

• Third‑party objectors. Members of the public or other stakeholders may object to a pending application within seven days of the required publication in The West Australian, but objections are narrowed to fitness and propriety concerns grounded in criminal record (reg 5(1)). Objectors must provide particulars and supporting information and must identify themselves (reg 5(2)).

• Registrar and Deputy Registrar. The Registrar is the central decision‑maker for registration and disciplinary inquiries; the regulations set out obligations and discretions including investigation when criminal records or objections arise, determining fit and proper status with regard to the code, conducting inquiries, requesting disclosure, presiding over conciliation and making determinations (regs 6, 14, 16). The Deputy Registrar substitutes for the Registrar in specified circumstances (reg 3).

• Industrial magistrates and the Full Bench. The industrial magistrate hears proceedings on certificates issued after unsuccessful conciliation and decides whether an agent has failed to comply with a condition, with powers to reprimand, cancel and disqualify (reg 17). The industrial magistrate also hears appeals from Registrar determinations (reg 19). The Full Bench hears appeals from Registrar refusals or industrial magistrate decisions and its decisions are subject to section 90 appeals (reg 20).

• Insurers and financial guarantors. The requirement to hold professional indemnity insurance of at least $100,000 or demonstrate equivalent resources makes insurers relevant third parties: availability and cost of cover are practical preconditions for registration (reg 4(2)(b); reg 7(1)).

• Media/publishers. The requirement to publish application notices in The West Australian engages the newspaper as the mandated channel for public notice of applications (reg 4(3)).

Who pays and who bears administrative burdens, as specified in the regulations:

• Application fee: $85 payable on lodgement (reg 4(2)(a)).
• Renewal fee: $85 every five years (reg 11(2)).
• Fee for a certified copy of register entry: $4 (reg 10(3)).
• Costs of maintaining professional indemnity insurance or demonstrating equivalent financial resources (reg 4(2)(b); reg 7(1)-(2)).
• Publication costs for the public notice in The West Australian (reg 4(3)).

Who decides:

• Registrar makes registration/grant/refusal and conducts inquiries (reg 6; reg 14).
• Industrial magistrate determines contested client complaints and appeals from Registrar determinations (regs 17, 19).
• Full Bench adjudicates appeals from Registrar refusal and certain industrial magistrate decisions (reg 20).

By allocating these roles and costs, the regulations concentrate decision rights in the Registrar and the industrial magistrate system, make applicants and registered agents the primary cost bearers for administrative and insurance obligations, and give clients and the public defined, time‑limited windows to raise issues.

The text establishes explicit duties for applicants and registered industrial agents, and rights of process and review for applicants, complainants and agents.

Applicant duties

• Complete an approved application form specifying the full name and business address, and for non‑natural persons the name, business address and position of each officer (reg 4(1)(a)).
• Disclose criminal record details for the previous ten years for the applicant and, if applicable, the officers of the corporate applicant (reg 4(1)(b)).
• Include an $85 application fee (reg 4(2)(a)).
• Produce evidence that the applicant has, or will have if registration is granted, professional indemnity insurance of at least $100,000, or proof of sufficient moneys or material resources to provide professional indemnity (reg 4(2)(b); reg 6(1)(b)).
• Provide a statutory declaration by the applicant or the bona fide controller of the business verifying particulars, explaining convictions if disclosed in the context of fit and proper consideration, and declaring compliance with the code of conduct (reg 4(2)(c)(i)-(iii)).
• Publish notice in The West Australian within two working days and give a copy to the Registrar within one working day; include name, address and details of where and within what time an objection may be made (reg 4(3)-(4)).

Registered industrial agent duties

• Maintain the professional indemnity insurance provided at registration or equivalent insurance, or retain equivalent financial/material resources (reg 7(1)).
• Lodge evidence annually, not later than 15 days after the registration anniversary, that the insurance or equivalent is in effect for the following year (reg 7(2)).
• Comply with the code of conduct set out in Schedule 1 as a condition of registration (reg 8(1)-(2); Schedule 1).
• Surrender the certificate of registration by notice in writing if the agent wishes to cease being registered (reg 9(2)).
• Keep register particulars accurate by notifying the Registrar of amendments as required (reg 10(4)).

Rights of applicants and registered agents

• Right to be informed of objections: the Registrar is to give the applicant a copy of any objection lodged under regulation 5 (reg 5(3)).
• Procedural fairness in investigations: if the Registrar proposes to refuse an application following an investigation, the Registrar must give written notice setting out the grounds and allow 21 days for response; a further written decision and reasons must follow within 28 days of the decision (reg 6(4)-(5)).
• Right to representation and to call and test evidence: in inquiries and hearings a party may be represented by a legal practitioner or any other person and has rights to present evidence and cross‑examine (reg 18(3)).
• Right to appeal: a person aggrieved by certain Registrar determinations (reasonable grounds for a client complaint or cancellation) may appeal to an industrial magistrate within 21 days (reg 19(1)-(2)); appeals from industrial magistrate or Registrar decisions lie to the Full Bench within 21 days (reg 20(1)).

Registrar powers and duties

• The Registrar must grant an application if there is no admission of criminal record and no objection and evidence of insurance or equivalent is produced (reg 6(1)).
• The Registrar must investigate where an application contains an admission of criminal record or a public objection (reg 6(2)).
• The Registrar is to have regard to the code of conduct when deciding fit and proper status (reg 6(6)).
• The Registrar may request disclosure of information relevant to an inquiry, conduct conciliation, and make determinations subject to appeal (regs 14, 16, 15).

Complainant rights and duties

• Complaints must be lodged in the form of a statutory declaration specifying name, address and grounds (reg 12(4)).
• Client complaints alleging failure to comply with a condition must be lodged within 28 days of becoming aware of the facts unless exceptional circumstances are allowed (reg 12(2)-(3)).
• If conciliation fails to resolve a complaint within 28 days after the Registrar’s notice (or following remittance under appeal), the Registrar issues a certificate authorising initiation of proceedings in the industrial magistrate’s court (reg 16(3), (6)).

Adjudicative rights

• Industrial magistrates decide complaints on the balance of probabilities, may make reprimands, cancellations and disqualifications, and may award costs in specified circumstances (reg 17(4)-(7)).
• Parties have the right to appeal Registrar determinations and industrial magistrate decisions to higher bodies as set out (regs 19-20).

Procedural limits and protections

• The Registrar and industrial magistrates are to proceed with as little formality as practicable, are not bound by rules of evidence (reg 18(1)(a)-(b)), but must observe natural justice in procedure (reg 18(1)(c)). The code of conduct also limits use and disclosure of confidences, subject to statutory or court‑ordered compulsion (Schedule 1, cl 4(3)(a)).

These duties and rights create a compliance environment in which financial prudence (insurance), documented disclosures (statutory declarations and public notices), adherence to professional standards (code) and prompt evidential upkeep (annual insurance proof and register accuracy) are enforceable through specified administrative and quasi‑judicial remedies (regs 4, 6-8, 10, 12-20; Schedule 1).

The instrument imposes administrative sanctions and provides mechanisms for enforcement, rather than prescribing criminal penalties within these regulations.

Primary enforcement levers

• Cancellation of registration. If the Registrar determines that registration was improperly obtained and there were grounds for refusal at the time the application was granted, the Registrar must cancel the registration (reg 15(2)). An industrial magistrate may also cancel registration after finding on the balance of probabilities that an agent failed to comply with a condition of registration (reg 17(5)(b)).
• Reprimand. An industrial magistrate may reprimand the industrial agent when a failure to comply with a condition is found (reg 17(5)(a)).
• Disqualification. Following a finding of non‑compliance the industrial magistrate may cancel registration and disqualify the industrial agent either for a specified period or until the fulfilment of conditions imposed by the industrial magistrate (reg 17(5)(b)(i)-(ii)).

Administrative removal and cessation

• Automatic cessation for failure to produce annual evidence. If an industrial agent does not lodge the evidence required under reg 7(2) within the specified time and then does not comply with the Registrar’s subsequent notice, the person ceases to be registered and is removed from the register (reg 7(3)-(4)).
• Cessation in other circumstances: registration ceases where not renewed, where the agent dies or the body corporate is wound up, on surrender of the certificate under reg 9(2), or where registration is cancelled under the regulations (reg 11(4)(a)-(e)).

Costs orders

• Industrial magistrate may order costs against a complainant. If proceedings are initiated and no finding is made against the industrial agent, the industrial magistrate may order the complainant to pay all or part of the industrial agent’s costs and a sum not exceeding $500 towards defraying the costs of the proceedings (reg 17(6)). Costs thus can be recovered as a debt in a court of competent jurisdiction (reg 17(7)).
• Industrial magistrate may award costs on appeal. If an appeal under reg 19 is not upheld, the industrial magistrate may order the party who commenced the appeal to pay all or parts of the costs of the other parties to the appeal (reg 19(7)-(8)).

Procedural enforcement powers

• Registrar inquiries and information requests. The Registrar may conduct inquiries into complaints and request persons to disclose information believed relevant to an inquiry (reg 14(1)(c)-(3)). The Registrar must keep matters learned in inquiry confidential except as required under the regulations or other written law (reg 14(5)).
• Conciliation certificate as gate to litigation. The Registrar issues a certificate if conciliation fails (reg 16(3)), which authorises a complainant to initiate proceedings before an industrial magistrate (reg 17(1)). The certificate is therefore a pre‑condition to litigation in respect of client complaints unless other appeal or remittance processes apply (reg 16-17).

Appeals and higher review

• Appeals from Registrar’s determinations to an industrial magistrate (reg 19); further appeal to the Full Bench within 21 days from certain decisions (reg 20). The Full Bench’s jurisdiction is governed by section 49 of the Act as applied by reg 20(2) and Full Bench decisions are subject to section 90 appeals (reg 20(3)). These routes provide procedural checks on Registrar and industrial magistrate determinations.

Limits and absence of criminal sanctions within the instrument

• The regulations themselves do not prescribe criminal offences or fines beyond the possibility of costs orders and administrative loss of registration. Where complementary criminal sanctions might exist (for example, in other laws), the regulations do not address them directly. The regulations do, however, allow for compliance to be enforced by administrative cancellation, reprimand, disqualification, costs and removal from the public register (regs 7, 11, 15, 17).

Operational limits and protections

• Confidentiality of inquiry material: the Registrar must maintain confidentiality of inquiry matters and is constrained to disclose only as required under the regulations or other written law (reg 14(5)).
• Admissibility protections: evidence of anything said or admitted during conciliation is not admissible in proceedings before an industrial magistrate, a court or tribunal (reg 16(4)), which shapes how enforcement evidence can be assembled and used.

Taken together, enforcement is predominantly administrative and procedural. The regulatory design emphasises removal of licence, temporary or permanent disqualification and controlled access to judicial processes, with modest cost exposure for complainants who initiate unsuccessful proceedings, rather than monetised statutory fines or criminal sanctions within the text of these regulations (regs 7, 11, 15-17, 19).

The regulations are drafted as a subordinate instrument linked to the Industrial Relations Act 1979 and cross‑reference multiple provisions of that Act and other legislative instruments.

Statutory base and cross‑references

• Section 112A of the Industrial Relations Act 1979. The term “industrial agent” is used as defined by section 112A of the Act; the regulations are made in aid of implementing registration under that section (reg 3 definition; reg 21). The register, issuance of certificates, and disciplinary processes operate for purposes of section 112A as provided in the regulations (reg 21(1)-(2)).
• Registrar and industrial magistrate definitions. The regulations adopt the offices established by the Act: the Registrar defined with reference to section 95 of the Act and the industrial magistrate with reference to section 81B of the Act (reg 3). That links the procedural and substantive competence under these regulations to established offices in the Act.
• Appeals and tribunal structure. Regulation 20 applies section 49 of the Industrial Relations Act to appeals to the Full Bench (reg 20(2)), and states that Full Bench decisions are subject to appeal under section 90 of the Act (reg 20(3)). This embeds the Commission and Full Bench appellate structure within the appeal route for registration and discipline matters.
• Interaction with the Workplace Agreements Act 1993. The regulations include transitional provisions for persons previously registered under the Workplace Agreements Act 1993 who elected at that time to be registered under these regulations (reg 21). The compilation table notes that the Workplace Agreements Act 1993 expired 14 Sep 2003; the regulations were amended by the Labour Relations Reform (Consequential Amendments) Regulations 2003 to reflect overlapping transitional arrangements (compilation table; reg 21 amendment note).
• Obligations under other written law and court processes. The code of conduct acknowledges exceptions to confidentiality where disclosure is required by another written law, rule of court or court order (Schedule 1, cl 4(3)(a)). The Registrar’s confidentiality obligations are qualified by the need to comply with these regulations or any other written law (reg 14(5)). Therefore statutory compulsion from other laws and court orders will override the code’s confidentiality protections.

Procedural and evidential interactions

• Evidence and admissibility. The regulations provide that the Registrar and industrial magistrates are not bound by rules of evidence when conducting inquiries, albeit subject to natural justice (reg 18(1)(b)-(c)). However, conciliation communications are explicitly inadmissible in subsequent proceedings (reg 16(4)), which mirrors common statutory protections for settlement communications in other dispute resolution regimes.
• Enforcement as administrative action with judicial oversight. While the regulations set out administrative licensing and disciplinary responses, appeals to the industrial magistrate and Full Bench provide statutory judicial review within the industrial relations system, and section 90 of the Act preserves further appellate routes (regs 19-20). This creates an integrated enforcement architecture within the wider Act.

Financial and consumer law intersections

• Professional indemnity and trust moneys. The requirement for professional indemnity cover (reg 4(2)(b); reg 7(1)) sits alongside the code’s rule that an industrial agent must not hold trust moneys without written authorisation (Schedule 1, cl 10). This combination interacts operationally with trustee and trust account rules found in other legal frameworks (banking, fiduciary obligations), though the regulations themselves do not set trust account mechanics beyond the prohibition without written authorisation.

Administrative law implications

• Procedural fairness and reviewability. The procedural requirements (notice, opportunity to respond, reasons for refusal and timeframes for response and decision) mirror administrative law principles and connect the Registrar’s actions to standards that enable subsequent appeals and potentially judicial review under general public law doctrines, albeit the regulations themselves detail internal appeal pathways (reg 6(4)-(5); regs 19-20).

In sum, the regulations operate as a specialised licensing and disciplinary instrument nested within the Industrial Relations Act’s institutional architecture (Registrar, industrial magistrates, Full Bench), reference and interact with other written laws where disclosure or court orders are relevant, and incorporate standard administrative and evidentiary modifications consistent with other statutory regulatory regimes (regs 3, 6, 14, 16, 18-20; Schedule 1).

The reprint and compilation information included in the text sets out the chronology of the instrument and a discrete amendment.

• Original instrument. The Industrial Relations (Industrial Agents) Regulations 1997 were gazetted 4 December 1997 and commenced 5 December 1997 (compilation table).

• 2003 consequential amendments. The Labour Relations Reform (Consequential Amendments) Regulations 2003 r.5 amended these regulations by Gazette notice on 15 August 2003 and those amendments commenced 15 September 2003 (compilation table). The text records that Regulation 21 was amended (note to reg 21 indicates "Regulation 21 amended: Gazette 15 Aug 2003 p. 3686‑7").

• Reprint 1. The reprint provided is dated as at 23 April 2004 and includes the amendments listed in the compilation table (compilation table entry: Reprint 1 as at 23 Apr 2004).

• Workplace Agreements Act 1993. The compilation table contains a footnote that the Workplace Agreements Act 1993 expired 14 September 2003. The transitional provisions in regs 21-22 reference persons who were registered under that Act and elected registration under these regulations; the expiry of that Act is therefore relevant to the transitional status for certain persons (footnote 2; regs 21-22).

What the amendment record shows, mechanically:

• A consequential amendment in 2003 altered reg 21 dealing with persons taken to be registered under these regulations after having been registered under the Workplace Agreements Act 1993 (reg 21 amendment note).
• The reprint consolidates the base instrument and the 2003 amendments as at 23 April 2004.

The reprint notes and compilation table in the instrument provide the formal legislative history captured in this document; no other amendments or later amending instruments are included in the reprint text provided. If a user needs current law status after 23 April 2004, they must consult the latest consolidated reprint or the Western Australian legislation database for further amendments beyond that date. The regulations themselves do not contain any retrospective amendment clauses beyond the transitional provisions in regs 21-22 that deems certain prior registrations to be registrations under these regulations for specified periods and conditions (reg 21(1)-(3); reg 22(1)-(2)).

The text of the regulations does not record any decided cases or litigation history. The instrument itself establishes internal procedural routes for adjudication and review, but does not list judicial decisions, interpretations or case law in its body.

What the regulations do provide, and which shapes the litigation pathway:

• Internal appeal routes. A person aggrieved by certain Registrar determinations (for example, a determination under reg 15(3) about reasonableness of grounds for a client complaint, or the Registrar’s determination to cancel registration) may appeal to an industrial magistrate under reg 19(1). The appeal must be commenced within 21 days after receiving notice of the determination (reg 19(2)). The industrial magistrate’s discretion on evidence and remedies is set out (reg 19(3)-(6)).
• Further appellate route to the Full Bench. A person aggrieved by the Registrar’s refusal to register or by certain decisions of an industrial magistrate may appeal to the Full Bench within 21 days (reg 20(1)). Section 49 of the Act applies to such appeals as if the decision were of the Commission (reg 20(2)). Full Bench decisions are subject to further appeal under section 90 of the Act (reg 20(3)). These provisions identify a distinct multi‑tiered review path internal to the industrial relations framework, culminating in potential appeal under section 90.
• Costs and recoverability. The industrial magistrate may order costs against unsuccessful complainants or appellants, and such costs are recoverable as debts in a court of competent jurisdiction (regs 17(6)-(7); 19(7)-(8)). This creates a financial risk that can influence whether parties progress to hearing or appeal.

Absent recorded case law in the instrument, one cannot cite precedent from this text. The regulations authorise and structure adjudication within the industrial relations system; any litigation history assessing the scope of terms like “fit and proper” in light of criminal convictions, or testing the Registrar’s investigatory and evidential discretion, would be found in subsequent decisions of industrial magistrates, Full Bench decisions, or general courts exercising appellate jurisdiction under section 90 of the Act. The regulations themselves, however, do not enumerate or summarise any of those decisions.

If users require an evidential understanding of how specific provisions (for example, the application of the code in fit and proper assessments or the scope of the Registrar’s discretion) have been interpreted by courts or tribunals, they will need to consult the industrial magistrates’ decisions, Full Bench decisions and any section 90 appellate jurisprudence post‑dating the 2004 reprint.

The regulations create a number of specific procedural and substantive traps for practitioners, applicants and clients. These items are drawn from the text and highlight timing, evidential, and documentary pitfalls.

Short public objection window and mandatory publication

• Publication timing: the applicant must publish notice in The West Australian within two working days of making the application and must give the Registrar a copy within one working day of publication (reg 4(3)). Missing this schedule may delay or invalidate the public notice step and could restrict the opportunity for objections.
• Objection window: third‑party objections are allowed only within seven days of the publication (reg 5(1)). Because the objection window is short, an applicant who fails to publish the notice correctly exposes the process to challenge; conversely, objectors have little time to act and must be ready to provide particulars and supporting information (reg 5(2)).

Criminal record disclosure and “fit and proper” assessment

• Ten‑year disclosure requirement: applicants (and officers of corporate applicants) must disclose criminal record details for the previous ten years (reg 4(1)(b)). If convictions are included, the applicant’s statutory declaration must state grounds why the convictions do not render the applicant unfit, assessed against the code (reg 4(2)(c)(ii); reg 6(6)). Failure to anticipate the code’s relevance to criminal records will hamper response to Registrar investigations.
• Narrow ground for public objection: objections under reg 5 are limited to the ground that the applicant is not fit and proper because of criminal record. Potential objectors cannot use that seven‑day window to raise other concerns under that mechanism.

Evidence of insurance and timing risks

• Insurance must cover “the year in which registration is to be granted”: applicants must produce evidence that they hold professional indemnity insurance covering that year, or proof of sufficient resources (reg 6(1)(b)). Practically, an applicant who proposes to obtain insurance after an application but before grant must ensure the policy’s effective dates align with the requirement.
• Annual evidence lodgement deadline: evidence that the professional indemnity insurance (or equivalent) will be of effect in the following year must be lodged each year not later than 15 days after the anniversary date of registration (reg 7(2)). Failure to lodge on time triggers a Registrar notice and ultimately automatic cessation and removal from the register if unremedied (reg 7(3)-(4)). This creates a firm annual administrative deadline that, if missed, ends the registration automatically.

Narrow client complaint timeframes and formality

• Client complaints about failure to comply with conditions must be lodged within 28 days of the client becoming aware of the facts unless the Registrar allows a later time for exceptional circumstances (reg 12(2)-(3)). The complaint must be in the form of a statutory declaration specifying name, address and grounds (reg 12(4)). The combination of timing and statutory declaration formality means complainants need to act promptly and with sworn particulars.
• If conciliation does not resolve the complaint within 28 days after the Registrar’s notice, the Registrar must issue a certificate authorising proceedings before an industrial magistrate (reg 16(3)). The parties must therefore be prepared for litigation in relatively short order if conciliation fails.

Confidentiality and admissibility traps

• Inquiries are confidential to the Registrar: the Registrar must not communicate matters obtained in the course of an inquiry except as required under these regulations or any other written law (reg 14(5)). Parties may therefore not be able to obtain inquiry materials for collateral litigation unless disclosure is compelled by another written law.
• Conciliation communications are inadmissible: anything said or admitted during conciliation is not admissible in proceedings before an industrial magistrate, court or tribunal (reg 16(4)). Parties must therefore not assume conciliatory admissions can be used later.

Costs exposure for unsuccessful complainants and appellants

• Costs risk for complainants: if proceedings are initiated before an industrial magistrate and no finding is made against the industrial agent, the industrial magistrate may order the complainant to pay all or part of the industrial agent’s costs and a sum up to $500 towards defraying the costs (reg 17(6)-(7)). Similarly, unsuccessful appellants under reg 19 may be ordered to pay costs (reg 19(7)-(8)). This creates a financial risk for complainants/appellants who pursue proceedings that do not result in a finding.

Trust money prohibition without authorisation

• An industrial agent must not hold any moneys in trust for or on behalf of a client or other party without the written authorisation of that person (Schedule 1, cl 10). This is a strict prohibition: agents used to managing client funds must obtain written authorisations to avoid contravening the code.

Advertising and promotional limits

• Advertising constraints: the code prohibits promotional conduct or advertising in a manner that is misleading or deceptive or likely to mislead or deceive (Schedule 1, cl 7). Agents must ensure promotional materials do not overstate skills, results or fees.

Corporate officer exposure

• When a body corporate is registered, the code applies to the body and to each officer of the body corporate (Schedule 1, cl 2). Officers therefore can be personally accountable to the standards in the code for corporate conduct and may be implicated in fit and proper assessments (reg 3 definition of officer; Schedule 1, cl 2).

Procedural informality with legal consequence

• Not bound by rules of evidence: inquiries are not bound by rules of evidence though natural justice rules apply (reg 18(1)(b)-(c)). This can yield admissibility uncertainty and places emphasis on comprehensively documenting matters and making admissible disclosures when necessary.

Ambiguities requiring careful drafting

• “Sufficient moneys or other financial resources” is permitted in lieu of insurance (reg 4(2)(b); reg 7(1)(b)), but the regulations leave what amounts to “sufficient” to the Registrar’s satisfaction. Applicants relying on non‑insurance financial resources should be prepared to provide documentary proof and justification to the Registrar.

These “gotchas” are not penalties in themselves but practical compliance hazards that can result in revocation, refusal, costs or inability to litigate. They emphasise the importance of timing discipline (publication and annual lodgement), documentary evidence (proof of insurance or resources and statutory declarations), and procedural readiness for investigations and hearings (regs 4, 7, 12-17; Schedule 1).

This section sets out concrete steps and a checklist based strictly on the regulatory text. The aim is to provide practical compliance actions for applicants, registered industrial agents and clients or complainants.

For applicants seeking registration

1. Use an approved form. Ensure the application is the approved form required by the Registrar (reg 4(1)).
2. Prepare identity and officer particulars. Include the full name and business address of the applicant; if not a natural person, list the full name, business address and position of each officer (reg 4(1)(a)).
3. Disclose criminal record particulars. Prepare particulars of any criminal record within the previous ten years for the applicant and, if relevant, for officers (reg 4(1)(b)).
4. Obtain professional indemnity insurance or document equivalent resources. Either secure professional indemnity insurance of at least $100,000 that will be effective for the year in which registration is to be granted, or prepare documentary evidence of sufficient moneys or material resources (reg 4(2)(b); reg 6(1)(b); reg 7(1)).
5. Draft the statutory declaration carefully. The statutory declaration must verify the application particulars, if convictions are disclosed explain why they do not render the applicant unfit having regard to the code, and declare that the applicant will comply with the code of conduct (reg 4(2)(c)(i)-(iii)).
6. Pay the application fee ($85). Include the fee on lodgement (reg 4(2)(a)).
7. Publish the required notice promptly. Publish notice in The West Australian within two working days of making the application and provide the Registrar a copy within one working day; ensure the notice specifies name, address and the time and place where objections may be lodged (reg 4(3)-(4)).
8. Be prepared for objections and investigations. Anticipate a seven‑day window for objections and that the Registrar will investigate if an admission of criminal record is present or an objection is lodged (regs 5(1); 6(2)).
9. If investigated, marshal evidence showing compliance with the code. The Registrar must have regard to the code when assessing fit and proper status (reg 6(6)). Be ready to address each code chapter (Schedule 1).

For newly registered industrial agents

1. Accept and retain the certificate of registration. The Registrar will issue a certificate in an approved form upon grant (reg 9(1)). Keep the certificate accessible.
2. Maintain required insurance or resources. Continue the professional indemnity insurance provided at time of registration or equivalent cover or resources (reg 7(1)).
3. Lodge annual proof. Annually, not later than 15 days after the registration anniversary, lodge evidence that the insurance or equivalent will be effective in the following year (reg 7(2)). If you do not lodge evidence, expect a notice and possible cessation (reg 7(3)-(4)).
4. Observe the code of conduct. Implement firm policies and written procedures to ensure compliance with Schedule 1 obligations: integrity and diligence (cl 3), confidentiality management (cl 4), conflict disclosure procedures (cl 5), court/Commission conduct (cl 6), advertising review (cl 7), withdrawal procedures (cl 8), fee communications (cl 9) and rules on trust monies (cl 10).
5. Maintain accurate register particulars and notify changes. Ensure the Registrar’s register remains accurate; the Registrar may amend the register but a proactive notification practice avoids discrepancies (reg 10(1), (4)).
6. Plan for five‑year renewals. Track the five‑year registration term and plan to pay the renewal fee ($85) on time; the Registrar must give you 28 days notice of the renewal fee (reg 11(1)-(3)).

For clients and complainants

1. Know the form and timing for complaints. Prepare a statutory declaration specifying name, address and grounds. If you are a client complaining that an agent failed to comply with a condition of registration, lodge within 28 days of becoming aware of the facts unless you can show exceptional circumstances to the Registrar (reg 12(2)-(4)).
2. Use conciliation early. If the Registrar offers conciliation, engage in it; the Registrar may preside, facilitate communication and record agreements (reg 16(1)-(2)). However, understand conciliation communications are inadmissible in subsequent proceedings (reg 16(4)).
3. Be aware of costs risk. If you initiate proceedings and no finding is made against the agent, you may be ordered to pay all or part of the agent’s costs and a sum (not exceeding $500) towards defraying the costs (reg 17(6)-(7)). Factor cost exposure into litigation decisions.

For avoiding procedural pitfalls and evidential issues

1. Keep contemporaneous written records. Because inquiries are not bound by rules of evidence but natural justice applies (reg 18(1)(b)-(c)), contemporaneous records, signed instructions and correspondence increase the chance that relevant information will be persuasive in inquiries or hearings.
2. Control publicity and advertising. Review all marketing materials against Schedule 1, cl 7 to ensure no statements that could be misleading or deceptive.
3. Secure written authorisations where holding client funds. If you expect to hold trust moneys on behalf of a client, ensure written authorisation is obtained because holding trust moneys without such authorisation breaches the code (Schedule 1, cl 10).
4. Draft clear client fee agreements. The code requires prompt written disclosure of the basis for costs and notification of circumstances likely to affect fees (Schedule 1, cl 9). Written fee agreements also assist in later disputes.

For handling investigations or hearings

1. Respond to Registrar notices in statutory declaration form where required. Responses to notices under reg 14(1)(b) must be verified by statutory declaration (reg 14(2)). Ensure legal oversight of such declarations.
2. Use representation where appropriate. The regulations allow parties to be represented by legal practitioners or other persons in inquiries and hearings (reg 18(3)(a)). Consider legal representation for contested matters.
3. If unhappy with a determination, note appeal timelines. Appeals to an industrial magistrate must be started within 21 days after receiving notice of the determination (reg 19(2)). Appeals to the Full Bench follow within 21 days of the relevant decision (reg 20(1)).

Document checklist for applicants and registered agents (minimum)

• Approved application form completed (reg 4(1)); statutory declaration verifying particulars (reg 4(2)(c)(i)).
• Criminal record particulars for applicant and, if applicable, officers covering 10 years (reg 4(1)(b)).
• Evidence of professional indemnity insurance ≥$100,000 or alternative proof of sufficient resources (reg 4(2)(b); reg 6(1)(b); reg 7(1)).
• Proof of payment of $85 application fee (reg 4(2)(a)).
• Copy of published notice in The West Australian and record of publication date (reg 4(3)-(4)).
• Certificate of registration on grant (reg 9(1)).
• Evidence of ongoing insurance lodged annually within 15 days of registration anniversary (reg 7(2)).
• Written client fee agreement and records of fee disclosures (Schedule 1, cl 9).
• Written client authorisations for any trust moneys to be held (Schedule 1, cl 10).

Following these steps and maintaining the documentation and schedules set out in the regulations will place applicants and registered agents in a position to meet the formal registration prerequisites, remain compliant with annual insurance and register obligations, and respond to inquiries or complaints in a procedurally sound manner.