PART 6: RECORD KEEPING AND MANAGEMENT

6.1	A migration agent must maintain proper records that can be made available for inspection on request by the Authority, including files containing: (a) a copy of each client¹s application; and (b) copies of each written communication between: (i) the client and the agent; and (ii) the agent and any relevant statutory authority; and (c) file notes of every substantive or material oral communication between: (i) the client and the agent; and (ii) the agent and an official of any relevant statutory authority.
6.2	A migration agent must keep all documents to which a client is entitled securely and in a way that will ensure confidentiality while the agent is giving services to the client and until the earlier of: (a) 2 years after the date of the last action on the file for the client; or (b) when the documents are given to the client or dealt with in accordance with the client¹s written instructions.
6.3	A migration agent must respond to a request for information from the Authority within a reasonable time specified by the Authority.
6.4	A migration agent must act on the basis that the agent's electronic communications are part of the agent's records and documents

PART 7: FINANCIAL DUTIES

7.1	A migration agent must keep separate accounts for: (a) the agent¹s operating expenses (the operating account); and (b) money paid by clients to the agent for fees and disbursements (the clients¹ account).
7.2	A migration agent must hold, in the clients¹ account, an amount of money paid by a client for an agreed block of work until: (a) the agent has completed the services that comprise the block of work; and (b) an invoice has been issued to the client for the services.
7.3	The agent may, at any time, withdraw money from the clients¹ account for disbursements that are required to be paid to the Department or any other agency, of the client.
7.4	A migration agent must keep records of the clients¹ account, including: (a) the date and amount of each deposit made to the clients¹ account, including an indication of the purpose of the deposit and the client on whose behalf the deposit is made; and (b) the date and amount of each withdrawal made in relation to an individual client, and the name of each recipient of money that was withdrawn; and (c) receipts for any payments made by the client to the agent; and (d) copies of invoices or accounts rendered in relation to the account.
7.5	A migration agent must make available for inspection on request by the Authority: (a) records of the clients¹ account; and (b) records of each account into which money paid by a client to the agent for fees and disbursements has been deposited.
7.6	If a migration agent provides a service to a client on the basis of a conditional refund policy, a 'no win, no fee' policy or an undertaking to similar effect: (a) the agent must have sufficient funds available to be able to cover any amount that the agent may become liable to pay to the client under the policy or undertaking; and (b) the agent must meet that obligation by: (i) keeping funds in the clients¹ account; or (ii) keeping a security bond; or (iii) maintaining adequate insurance.
7.7	Nothing in clause 7.1, 7.2, 7.3, 7.4 or 7.6 affects the duty of a migration agent, who is also a legal practitioner and who acts in that capacity, to deal with clients¹ funds in accordance with the relevant law relating to legal practitioners.

PART 8: DUTIES OF AGENTS TO EMPLOYEES

8.1	A migration agent has a duty to exercise effective control of his or her office for the purpose of giving immigration advice and assistance.
8.2	A migration agent must properly supervise the work carried out by staff for the agent.
8.3	All immigration assistance must be given by a registered migration agent.
8.4	A migration agent must make all employees, including those not involved in giving immigration assistance (for example receptionists and typists), familiar with the Code, for example by: (a) displaying the code prominently in the agent¹s office; (b) establishing procedures to ensure that employees become familiar with the Code including supplying employees with copies of the Code.
8.5	A migration agent should ensure that his or her employees are of good character and act consistently with the Code in the course of their employment.

PART 9: COMPLAINTS

9.1

A migration agent must respond properly to a complaint by a person (whether or not the person is a client) about the work or services carried out by the agent or the agent¹s employee.

9.2

A migration agent must submit to the procedures for mediation as recommended by the Authority about handling and resolving complaints by the client against an agent

9.3

If the Authority gives a migration agent details of a complaint made to the Authority about:

(a) the work or services carried out by the agent or the agent's employees;or

(b) any other matter relating to the agent's compliance with this Code - the agent must respond properly to the Authority, within a reasonable time specified by the Authority when it gives the details to the agent.

PART 10: TERMINATION OF SERVICES

10.1	A migration agent must complete services as instructed by a client unless: (a) the agent and client agree otherwise; or (b) the client terminates the agent¹s instructions; or (c) the agent terminates the contract for just cause and gives reasonable written notice to the client.
10.2	A client is entitled to ask a migration agent (orally or in writing) to return any document that belongs to the client. The agent must return the document within 7 days after being asked.
10.3	Australian passports, and most foreign passports, are the property of the issuing Government and must not be withheld.
10.4	A migration agent must not withhold a document that belongs to a client by claiming that the agent has a right to withhold a document by a lien over it.
10.5	On completion of services, the agent must, if asked by the client, give to the client all the documents: (a) given to the agent by the client; or (b) for which the client has paid.
10.6	If the client terminates the instructions, the agent must take all reasonable steps to deliver all documents quickly to the client or any other person nominated by the client in writing. If the agent claims a lien on any documents, the agent must take action to quantify the amount claimed and tell the client in a timely manner. Note 1 The question whether, in a particular case, an agent has a lien over documents is a matter for the law of the relevant State or Territory. If in doubt, a client should seek independent legal advice. Note 2 A document includes an application, nomination, sponsorship, statement, declaration, affidavit, certificate or certified copy. See Acts Interpretation Act 1901 section 25, Migration Regulations regulation 5.01.

PART 11:CLIENT AWARENESS OF THE CODE

11.1	A migration agent must ensure that at least 1 copy of the Code is displayed prominently in: (a) any waiting room or waiting area that is: (i) at the agent's place of business; and (ii) used by clients; and (b) any office or room in which the agent conducts business with clients.
11.2	An agent must ensure that a client who asks to see the Code can be supplied immediately with 1 copy for the client to keep.
11.3	Each contract made between an agent and a client must: (a) include a statement about the existence and purpose of the Code; and (b) guarantee that the client can obtain a copy of the Code, on request, from the agent.
11.4	A migration agent who has an Internet website must provide a link to the copy of the Code that is displayed on the Authority's website.