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					Federal Acts relevant to RMIT
                                                                                                                                                                                                                                                                   Staff involved Penalties involved
      Legislation                               Sections of the Act directly relevant to RMIT                                Areas of potential compliance risk                    RMIT Processes Affected           Relevant Departments           Notes                                            Failure Risk
                                                                                                                                                                                                                                                                    (likelihood)   (consequence)

Commonwealth Legislation

Commonwealth Legislation
                       To eliminate age discrimination in the areas of work, education, access to premises,
                       provisions of goods, services and facilities; accommodation, disposal of land;
                       administration of laws and provision of information. Part 3 - Concept of Age                                                                                                                                                                                   Personal
                                                                                                                Age discrimination. Penalties - advertisements 50
Age Discrimination Act Discrimination - direct and indirect. Part 4 - Unlawful age discrimination. Division 2 -                                                                                                                                                      Small No         liabilities
                                                                                                                pu; victimisation 6 months imprisonment; disclosure           Recruitment, student enrolment        P&C, student services
2004 (F)               discrimination in employment; against contract workers; Division e - other areas: s.26                                                                                                                                                        (unlikely)    (imprisonment)
                                                                                                                of information 2 years imprisonment;
                       education; s.27 access to premises; s.28 goods, services and facilities; s.29                                                                                                                                                                                   (major)
                       accommodation; Division 4 - General Exemptions: Positive discrimination; pensions,
                       allowances or benefits; Health

                                                                                                             Non-compliance with designated tax period
                                                                                                             reporting/payment; Input tax credit calculation errors;
                                                                                                             processing errors in GST calculations, reporting and
                                                                                                                                                                              Accounts Payable; Accounts
                                                                                                             payment; calculation or processing errors with regard
                                                                                                             to importations/exportations; provision and receipt
                                                                                                                                                                              Tendering/Purchasing;                 Financial Services;
                                                                                                             (and keeping of) of tax invoices/adjustments                                                                                                                     Potential for high
* A New Tax System      Majority of Act: Administration collection and recovery provisions; Payments and                                                                      Importations/Exportations; GST        Property Services; Any
                                                                                                             containing prescribed inclusions; Correct provision of                                                                                                Medium No number of staff to
(Goods & Services       refunds of GST (when applicable, how to process and when to pay); Input tax credits;                                                                  Registration; supply of goods         RMIT subsidiary that                                                                    High
                                                                                                             GST returns within designated tax period and in the                                                                                                   (possible)   be involved
Tax) Act 1999 (F)       Which supplies or importations are GST applicable or GST free;                                                                                        within Australia; sale/supply of      provides
                                                                                                             prescribed form; knowledge and compliance with                                                                                                                       (Major)
                                                                                                                                                                              Australian property; bad debt         goods/services
                                                                                                             prescribed special rules and exemptions (particularly
                                                                                                                                                                              provision; importation of
                                                                                                             those goods or services that are designated as GST-
                                                                                                             free); determination of extent of creditable purpose
                                                                                                             relating to providers of financial supplies (special rule
                                                                                                             Division 70); Inappropriate classification in contracts

                        Part 5 – The Register of the National Estate - not really relevant to RMIT - relevant to   Need to comply with requests to provide information Responses to requests for
* Australian Heritage                                                                                                                                                                                                                                                Small No
                        the Australian Heritage Council. The only obligation upon RMIT is to provide               relating to Heritage Buildings that should be included information relating to Heritage          Property Services                                                  minor                Low
Council Act 2003 (F)                                                                                                                                                                                                                                                 (unlikely)
                        information to be included on Register upon request.                                       on the Register of the National Estate.                Buildings

                                                                                                                   Loss of opportunity to apply for relevant grants;
                                                                                                                   unauthorised access to or use of protected                 Provision of child care services;
                                                                                                                                                                                                                    Property Services;        Child care centres                      Personal
                                                                                                                   information; non-acquisition of research grants            development of new child care
Child Care Act 1972                                                                                                                                                                                                 Child Care Services;      at City and            Small No         liabilities
                        Part II - Capital Grants; Part IIIa - Confidentiality; Part IV - Grants;                   relating to child care or related matters; Offences:       facilities or refurbishment of old;                                                                                           High
(F)                                                                                                                                                                                                                 Research Institutes;      Bundoora               (unlikely)    (imprisonment)
                                                                                                                   soliciting disclosure of protected information/ offering   Research into child care or related
                                                                                                                                                                                                                    People & Culture          campuses                                 (major)
                                                                                                                   to supply protected information/ untrue                    matters.
                                                                                                                   representations (2 yrs imprisonment)

* Competition Policy
Reform Act 1995 (F)
                        Amendment to the Trades Practices Act 1974 and the Prices Surveillance Act1983 -           Include within Trades Practices Act and Prices
also Competition                                                                                                                                                                                                                                                                                           Minor
                        Parts 5, 6 and 7                                                                           Surveillance Act information
Policy Reform
(Victoria) Act 1995 (S)

                                                                                                                   Duplication of publications or software; plagiarism;
                                                                                                                                                                              Student services; Staff/Academic
                                                                                                                   non-consent (prior) to use material from copyright
                                                                                                                                                                              publications; Student
                                                                                                                   owner; The purpose doesn't fall within the fair                                                                                                 Affects a lot    Low financial
                                                                                                                                                                              assessments;                          Student Services; All
                                                                                                                   dealing provisions of the Act (s.40); The copying                                                                                                of RMIT -         penalties.
* Copyright Act 1968    Duplication of publications or software; Plagiarism; Allocation of copywrite to                                                                       Licensing/use/copying of              Schools; Research &
                                                                                                                   doesn't come under the statutory licence provisions                                                                                              staff and         Moderate              High
(F)                     publishers;                                                                                                                                           corporate software applications;      Innovation; Information
                                                                                                                   of the Act; use of Turnitin without consent;                                                                                                     students       reputation risk
                                                                                                                                                                              Reproduction of other material        Technology & Services
                                                                                                                   importation of material. Penalties: Actions by                                                                                                    (Likely)        (Moderate)
                                                                                                                                                                              (student/staff photocopying);
                                                                                                                   copyright owners; injunctions; compensation; public
                                                                                                                                                                              Prevention of plagiarism
                                                                                                                   apologies (reputation)

                                                                                                                                                                                                                                                                                      Document: 4c149784-1121-4d0c-88f5-847d511561bc.xls, Federal Acts
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Federal Acts relevant to RMIT
                                                                                                                                                                         RMIT Central Administration
                                                                                                                                                                         (Company registration;
                                                                                                                 Non-registration of a Company; Incorrect execution amendments to constitution;
                                                                                                                 of company documents (s.127); lodgement/incorrect preparation or amendment to
                                                                                                                 lodgement of registered office; non-maintenance of official company documents;
                                                                                                                 required registers; Employee need for due care and lodgement of registered office);
                                                                                                                 diligence; conflicts of interest; Insider trading; non- Maintenance of registers;                                                               Affects a    Potential for high
                      Chapter 2A - Registering a Company; Chapter 2B - Company Powers & corporate                                                                                                               University Secretary;     Check whether
                                                                                                                 approval for benefit to related parties; non-lodgement Disclosure of conflicts of interest                                                     moderate        financial and
Corporations Act 2001 responsibilities; Chapter 2D - Officers & Employees; Chapter 2E - Related Party                                                                                                           Chancellery; Financial    RMIT Act
                                                                                                                 of documents with ASIC; Financial reporting and         (ethical behaviour, code of                                                            amount of          personal             High
(F)                   Transactions; Chapter 2G - Meetings; Chapter 2M - Financial Reports & Audit;                                                                                                              Services; Controlled      supersedes this
                                                                                                                 audit requirements; Offences: non-disclosure; fraud; conduct); Appointment of                                                                    RMIT            penalties.
                      Chapter 5A - Deregistration and transfer of registration;                                                                                                                                 Entities                  Act in any respect
                                                                                                                 false representation; false accounting; insolvent       directors; Public Information                                                          (possible)          (Major)
                                                                                                                 trading. Penalties: Criminal prosecution;               relating to Directors; Need for
                                                                                                                 compensation recovery; personal actions against         approval for benefit to related
                                                                                                                 directors; creditors may sue; absolute/strict liability parties (s.208); lodgements of
                                                                                                                 for some offences.                                      documents with ASIC; conduct of
                                                                                                                                                                         Directors' meetings; Financial
                                                                                                                                                                         reporting and audit requirements;

                                                                                                                                                                                                                Global Business
                                                                                                                                                                           International business               Development;
                                                                                                                                                                                                                                                                Extremely      High personal
Criminal Code Act                                                                                                Bribing a foreign public official. Penalty: 10 yrs        development or marketing;            International Services;
                        Section 70.2 – Bribery of Foreign Officials                                                                                                                                                                                             small no of      penalties           Moderate
1995 (F)                                                                                                         imprisonment                                              Provision of university services     RMIT University
                                                                                                                                                                                                                                                               staff (Rare)       (major)
                                                                                                                                                                           overseas                             International College;
                                                                                                                                                                                                                University Marketing
                        Division 477 - serious computer offences: 477.1 Unauthorised access, modification or
                        imparment with intent to commit a serious offence (against a federal or state law).
                        [absolute liability, not knowing is no defence, penalty - serious life prison on 5 or more
Cybercrime Act 2001                                                                                                Hacking, unauthorised damage to electronic
                        yrs]; 477.2 Unauthorised modification of data to cause impariment - relates to a
(F) [hacking]                                                                                                      communications, use of computers to commit crime.
                        computer within a commonwealth agency - 10 years prison; 477.3 unauthorised
                        impairment of electronic communications (knowlingly) - 10 yrs prison, absolute
                                                                                                                   Non-registration of a design (exclusivity is lost);
                                                                                                                   Design not unique (substantially similar in overall                                                                                                          Low financial
                                                                                                                   impression to another design); Infringement of a    Design registration; Use of              Design & Social                                 Small No      penalties. Minor
Designs Act 2003 (F)    Majority of the Act - Design rights, registrable designs; Design registration;                                                                                                                                                                                                  Low
                                                                                                                   registered design (same as copyright provisions).   registered designs                       Context - all areas                             (unlikely)     reputation risk
                                                                                                                   Penalties: Proceedings; injunctions; damages;                                                                                                                  (Minor)
                                                                                                                   license revocation.
                                                                                                                 Non-provision of facilities that are accessible to
                                                                                                                 people with disabilities; Student enrolments or staff
                                                                                                                 recruitment discrimination against disabilities; Blind    Staff selection and recruitment;     Property Services;
                                                                                                                 students provided with printed texts; non-provision of    student enrolment/registration       People and Culture;                                             Low financial
Disability              Majority of the Act - discrimination in employment; education; provision of services;                                                                                                                                                     All staff
                                                                                                                 aids that would enable accessibility; no attempt          processes; access to RMIT            Student Services;                                             penalties, risk of
Discrimination Act      access to buildings; indirect discrimination; club/organisation membership; sporting                                                                                                                                                     involved                            Very High
                                                                                                                 made to implement any adjustments possible to             facilities management/facility       Academic Registrar;                                            imprisonment
1992 (F)                activities. Discrimination involving harassment.                                                                                                                                                                                          (Likely)
                                                                                                                 enable disabled students to participate in a course to    design planning/refurbishment;       Student Learning                                                  (major)
                                                                                                                 the same extent as other students, or staff to            Provision and planning of courses.   Support
                                                                                                                 participate in a job. Penalties: Victimisation/
                                                                                                                 Incitement - 6mnths prison; Ads/ displays - $1000

                                                                                                                 Misleading/deceptive conduct regarding courses,
                                                                                                                 teaching or employment prospects; non-provision of
                                                                                                                 student information to Secretary (CRICOS
                                                                                                                 Register?); Non-provision of student reminders re
                                                                                                                                                                           International student
* Education Services                                                                                             visa breaches; unsatisfactory record-keeping; non-                                                                                             Moderate
                                                                                                                                                                           enrolment/registration processes;                                                                     Financial
For Overseas                                                                                                     participation in tuition assurance scheme; Non-                                             International and                                  number of
                        Part 2: Registration of approved providers; Part 3: Obligations on registered providers:                                                           marketing of courses;                                                                              penalties, risk of
Students Act 2000 (F) -                                                                                          payment of annual fund contribution; non-compliance                                         Development;                                          staff                                High
                        Division 2: Refunds of course money.                                                                                                               communication with potential                                                                        imprisonment
and the National Code                                                                                            with refund provisions; Non-notification of ESOS                                            Financial Services                                  involved
                                                                                                                                                                           students; external reporting and                                                                       (major)
(F)                                                                                                              breaches; Penalties exist for non-reporting (50                                                                                                (possible)
                                                                                                                 penalty units $5671); insufficient record-keeping (60
                                                                                                                 pus $6805); infringements; failure to identify provider
                                                                                                                 in written material (6 months prison); provision of
                                                                                                                 false or misleading information (12 months prison);

                                                                                                                 Not having an EEO program to eliminate workplace
                                                                                                                 discrimination and to promote equal opportunity; not
* Equal Employment                                                                                                                                                                                                                                              Moderate
                                                                                                                 collecting statistics on employment of women or
Opportunity             Development of a program to eliminate workplace discrimination and to promote                                                                 Staff selection and recruitment; All                                                      number of      Affects large
                                                                                                                 members of designated groups; non-provision of
(Commonwealth           equal opportunity for women or members of designated group; Reporting to Minister;                                                            RMIT staff employment areas and People & Culture                                             staff      number of staff        Moderate
                                                                                                                 relevant reports to Minister?; Sexual harassment;
Authorities) Act 1987   Sexual harassment and discrimination.                                                                                                         services                                                                                   involved       (moderate)
                                                                                                                 discriminating because of age, race, colour, ethnic
(F)                                                                                                                                                                                                                                                             (possible)
                                                                                                                 origin, gender, pregnancy, medical records, trade
                                                                                                                 union activity etc.

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Federal Acts relevant to RMIT
Equal Opportunity for                                                                                                                                                                                                                                                      Reputational risk,
                        Part II Employers required to develop equal opportunity for women in the workplace                                                               Staff selection and recruitment,                                                     number of
Women in the                                                                                                      Loss of citation as Employer of Choice for Women,                                                                                                             loss of
                        programs; Part IV Reports by Relevant Employers,                                                                                                 staff personal development or       People & Culture                                    staff                            Moderate
Workplace Act 1999                                                                                                non-reporting, non-development of processes                                                                                                                accreditation
                        Also requirements to maintain the EOWA Employer of Choice for Women citation                                                                     promotion processes                                                                   involved
(F)                                                                                                                                                                                                                                                                           (moderate)
                      Section 5: The following requirements imposed under a law of the Commonwealth
Electronic            can be met in electronic form: a requirement to (a) give information in writing; (b)
Transactions Act 1999 provide a signature (c ) product a document (d) record information (e) retain a
(F)                   document. For the purposes of a law of the commonwealth, a transaction is not
                      invalid because it took palce by means of one or more electronic communications.

                                                                                                                  Incorrect calculation or provision of FBT tax on
                    Calculation of relevant FBT tax amounts/obligations with respect to private use of
                                                                                                                  relevant expense categories; Non-use of tools to                                                                                            Moderate          Financial
                    university vehicles (maintenance of log books); debt waivers or loans; expense
Fringe Benefits Tax                                                                                               ensure accurate FBT calculation (e.g. log books);                                          Financial Services;                              number of         penalties,
                    payments; provision of housing or property; living-away-from-home allowances; airline                                                              Financial services; payroll; staff
Assessment Act 1986                                                                                               lack of knowledge of relevant exemptions; inaccurate                                       People & Culture;                                   staff     Unlikely to relate     Moderate
                    transport; entertainment or meal expenses; car parking; knowledge of exemptions;                                                                   recruitment and selection
(F)                                                                                                               or untimely reporting of returns to ATO; inefficient                                       Payroll                                           involved    to large numbers
                    corporate credit cards; use of consultants or contractors; calculation & payment of tax;
                                                                                                                  record-keeping with regard to relevant transactions                                                                                         (possible)         (minor)
                    provision of returns to ATO; record-keeping of transactions;
                                                                                                                  or liabilities. Penalties: Double amount due.
                        No of fee paying domestic students must not exceed 25% of total number of domestic
Higher Education        students for that course; S.14 - must provide educational profiles; Chapter 2 Grants
Funding Act 1988 (F)    for HE Assistance; Chapter 4 Higher Education Contribution Scheme; Chapter 5
                        Open Learning Deferred Payment Scheme;

                                                                                                                Non-allocation of grants; Inaccurate record keeping
                                                                                                                of student numbers resulting in reduction in grant
                                                                                                                allocation; Not providing the appropriate level of
                       Financial support to students with regard to higher education through the provision of quality or financial viability required to remains an
                                                                                                                                                                                                             Student services;
                       grants and other payments to higher education establishments and through financial Australian higher education provider; Non-provision                                                                                                  Moderate
                                                                                                                                                                         Student fees calculations; HE       student enrolment and
* Higher Education     assistance to students; HE Grants dependent upon numbers of students; Compliance of annual financial statement to Minister (indicating                                                                                                 number of Potential loss of
                                                                                                                                                                         grant applications; Student         registration; financial
Support Act 2003 (F) - to quality and financial viability requirements to maintain HE status; provision of fair the provider who receives assistance or a student of                                                                                              staff      registration,
                                                                                                                                                                         statistical record-keeping;         services; all academic
This Act is in the     and equal treatment to all students; student membership of groups or unions must be the provider receiving assistance); Not charging the                                                                                                involved/   Relates to large       Very High
                                                                                                                                                                         provision of student services;      schools; Fees
process of being       voluntary; Compliance to tuition assurance requirements; implementation of student student contribution amounts and tuition fees in                                                                                                   High level of    number of
                                                                                                                                                                         Financial management; Statistical   determination
repealed.              grievance and review procedures; appointment of Review Officer to review RMIT            accordance with the Act; Non-cooperation or                                                                                                  complexity of students (major)
                                                                                                                                                                         reporting                           committees; Council;
                       decisions; Compliance with privacy legislation; Reporting regarding compliance           compliance with quality requirements or audits; non-                                                                                          Act (likely)
                       (subdivision 19) under act and provision of HE;                                          implementation of student grievance procedures;
                                                                                                                non-compliance to reporting requirements; non-
                                                                                                                compliance to allocated number of places;
                                                                                                                Penalties: Regulator action; loss of registration

Commonwealth Grant
                   Chapter 4 Regional Loading; Chapter 5 Medical Student Loading; Chapter 6 Enabling
Scheme Guidelines
                   Loading; Chapter 7 Reduction in assistance for HE providers failing to meet certain
No.1 - HESA 2003
(prepared 16.7.08)

                        Protocol 1: HE provider must have objectives and/or functions specified in its enabling
                        legislation; Protocol 2: Governing body must adopt a statement of its primary
                        responsibilities (Must include: appointing VC as CEO and monitoring performance;
                        Mission & stragegic direction, annual budget and business plan; oversight and review
                        of RMIT management and performance; Establishing policy and procedural principles
                        [consistent with legal requirements and community expectations]; approving and
                        monitoring systems of control and accountability [including general overview of any
                        controlled entities - as per s50AA of the Corporations Act]; oversight and monitoring
                        assessment and management of risk, including commercial undertakings; oversight
                                                                                                                                                                                                                                       Although these
                        and monitoring academic activities; approving significant commercial activities; may
                                                                                                                                                                                                                                       may have been
                        have governance delegations.
National Governance                                                                                                                                                                                                                    removed I think the
                                                                                                                                                                                                             Controlled Entities,
Protocols (imposed                                                                                                                                                                                                                     expectation is that
                       Protocol 3: duties and sanctions of RMIT members specified in enabling legislation.                                                                                                   Governance, Board
under para 33-17(1)(a)                                                                                                                                                                                                                 the protocols will
                       Board must be appointed or elected. Members must always act in the best interests                                                                                                     control
of the HESA                                                                                                                                                                                                                            be adhered to
                       of RMIT. Includes duties of members [act in best interests; in good faith, honestly and
                                                                                                                                                                                                                                       voluntarily until
                       for property purpose; exercise appropriate care and diligence; not improperly use
                       position; disclose and avoid conflicts of interest]; Protocol 4: make available program
                       of induction and PD for members [board]; Protocol 5: maximum board number 22 and
                       details of expertise required; Protocol 6: adopt systematic election processes;
                       Protocol 7: codify internal grievance procedures and publish them with procedure for
                       complaints to ombudsman or similar. Protocol 8: annual report must be used for
                       reporting on high level outcomes. Protocol 9: annual report must include a report on
                       risk management
                        Protocol 10: oversight of controlled entities: includes steps required. Protocol 11:
                        Assessment of risk from entity part ownership.

                                                                                                                                                                                                                                                                               Document: 4c149784-1121-4d0c-88f5-847d511561bc.xls, Federal Acts
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Federal Acts relevant to RMIT
New requirements re     New arrangements and consultations on the benchmarks, protocols and fee                      Failure to make provision and improvements to
benchmarks, protocols   guidelines anticipated to commence early in 2009. Requirements to meet national              student amenities and services to benchmarks as a
and fee guidelines re   benchmarks relating to access to student support services and fulfil new                     minimum. Using rebuilding fee for other purposes or Provision of student services           Student Services
student support         representation and advocacy protocols (2010). Ability to set a compulsory fee (max           not above benchmarks. Setting fee above maximum
services etc.           $250) for rebuilding student amenities and services above benchmarks (1.7.09)                level.

                                                                                                                     Failure to make deductions from the salary or wages
                                                                                                                                                                                                                                            number of      Relates to large
                                                                                                                     of employees; inaccurate income tax calculations;
Income Tax                                                                                                                                                                                                       Payroll; People &              staff       number of staff
                    Process to make income deductions from salaries or wages of employees;                           non-allowance for input tax credits; incorrect
Assessment Act 1997                                                                                                                                                       Payroll; Financial Services            Culture; Financial          involved/     but unlikely to be     Moderate
                    allowances for input tax credits and expenses; transfer pricing                                  calculation of allowances for expenses; Control of
(F)                                                                                                                                                                                                              Services                  High level of      large dollar
                                                                                                                     foreign entities; capital gains. Penalties: Assessed
                                                                                                                                                                                                                                           complexity of   amounts (minor)
                                                                                                                     under Criminal Code Act 1995 (C)
                                                                                                                                                                                                                                            Act (likely)
                       Division 3 - Visas for non citizens; Sub-Division AE - Evidence of Visa; Sub-Division
                       AF - Bridging Visas; Sub-Division AG - Other provisions about visas (s,78 Children            Cancellation of student visas (risk loss of student                                         People and Culture;
                       born in Australia); Sub-Division GA - Cancellation of approval as a business sponsor          income if visa not checked - if they break the                                              Global Business
                                                                                                                                                                               Provision of services to overseas                                            Low number of
                       (s.137H provision of information - business sponsor); Subdivision GB - Automatic              conditions of their visa); business sponsorship (may                                        Development;              Low number
                                                                                                                                                                               students within Australia;                                                   potential staff,
                       cancellation of student visas (non-complying students may have their visas                    be cancelled: loss of tutor; financial liability risk);                                     International Services;   of instances
Migration Act 1958 (F)                                                                                                                                                         Sponsorship of overseas tutors or                                              moderate               Low
                       automatically cancelled); Division 3A - Sponsorship; Division-Sub Division C -                allowing non-citizens to work without visa; Provision                                       RMIT University             involved
                                                                                                                                                                               other staff; recruitment of non-                                                financial
                       offences in relation to persons who allow non-citizens to work. Division 14A -                of identifying information without authority; Checking                                      International College;     (unlikely)
                                                                                                                                                                               Australian staff                                                            penalties (minor)
                       Monitoring compliance with student visa conditions (Subdivision C - may enter                 of student visas to ensure valid; Penalties: Allowing                                       University Marketing;
                       education providers' premises - with consent); S.336D - authorising access to                 to work (strict liability) - $10,000                                                        Academic staffing'
                       identifying information'
                                                                                                              Non-registration; non or inaccurate reporting; poor
                                                                                                                                                                                                                                           Low number
                                                                                                              record keeping; Inappropriate disclosure of
                                                                                                                                                                                                                                              of staff
                                                                                                              information; allowing publication of material that may
                                                                                                                                                                                                                                             involved,         Moderate
National Greenhouse Parts 2 Registration; Part 3 Obligations on registered bodies (reporting and record-      disclose trade secrets - penalties may apply (for
                                                                                                                                                                                                                                            moderate           financial
& Energy Reporting  keeping); Part 4 Disclosure of information; monitoring activities and audits can be       RMIT and individual Chancellor) or infringement        Facilities management;                      Property Services                                                Moderate
                                                                                                                                                                                                                                            number of          penalties
Act 2007 (F)        conducted                                                                                 notices imposed. Penalties: Civil penalty orders (up
                                                                                                                                                                                                                                            reportable        (moderate)
                                                                                                              to 100pus/day $11342/day), criminal prosecution;
                                                                                                              CEO personal penalties; Infringement notices;
                                                                                                              Enforceable undertakings.
                                                                                                              Committing breaches of duty or misconduct, allowing
                                                                                                              people to commit breaches of duty or misconduct
                                                                                                              (i.e. not having processes in place to stop it                                                                                              Low financial
                    Part II Functions, Powers & Duties of Ombudsman; S.4, 7 & 8 - Investigation of                                                                                                                                         Low number
                                                                                                              happening - could also include fraud); non-                                                                                                penalties of non-
                    complaints; S.5 Functions of Ombudsman investigations of complaints, initiate own                                                                                                                                         of staff
Ombudsman Act 1976                                                                                            prevention of administrative processes that allow for RMIT Ombuds; All RMIT areas                                                            cooperation.
                    investigations); s.36 offence to fail to appear or furnish information; Complaints relate                                                                                                    Ombuds.                    involved in                              Low
(F)                                                                                                           complaints - i.e. how we do things, poor record-       may be the subject of complaint                                                      Other matters
                    to processes/administration; or issues where committing breaches of duty or                                                                                                                                            investigation
                                                                                                              keeping; the mis-management of compliance                                                                                                   criminal code
                    misconduct.                                                                                                                                                                                                              (unlikely)
                                                                                                              processes. Penalties: Failure to co-operate with                                                                                               (minor)
                                                                                                              investigation ($1000 or 3 months imprisonment).
                                                                                                              Criminal code applies
                                                                                                                     Contravening the rights of the patent owner; or
                                                                                                                     infringing a patent; claiming patent status prior to
                                                                                                                     certification (i.e. publicising that the university has
                                                                                                                     received patent approval or certification when it
                                                                                                                     hasn't); Incorrect patent applications thereby not                                                                    Low number
                        Obtaining a patent; patent not valid until certified; Division 2 - specifications required
                                                                                                                     receiving patent certification; lapsing of a provision                                                                   of staff   Low financial
Patents Act 1990 (F)    for patent application; Chapter 4 - Publication of patent; S38 timeframe for provision                                                               Research                            Research Schools                                                    Low
                                                                                                                     application if not completed within the prescribed                                                                      involved  penalties (minor)
                        applications; s.143 conditions for patents ceasing
                                                                                                                     timeframe (s.38); patent ceasing if requirements not                                                                   (unlikely)
                                                                                                                     met (s.143 - renewal fees or non-provision of
                                                                                                                     prescribed documents); Penalties: Court proceedings
                                                                                                                     for infringements; false representation or refusal to
                                                                                                                     give evidence etc $1000-$6000.

                        Part III Information Privacy: Division 1 Interferences with Privacy; Div 2 IPPS; Div 3
                        Approved privacy codes and the NPPs; Div 4 Tax File Number Information; Div 5
Privacy Act 1988 (F)                                                                                                                                                                                                                        number of
                        Credit Information; Part IIIA Credit Reporting; Part VI Public interest determinations; Same privacy implications as Information Privacy Act                                             RMIT Controlled                             Low financial
(Controlled Entities                                                                                                                                                 RMIT Controlled Entities                                                  staff                              Moderate
                        Part VIA Dealing with personal information in emergencies and disasters; Schedule 2 below but for RMIT Controlled Entities only.                                                         Entities                                  penalties (minor)
only)                                                                                                                                                                                                                                        involved
                        Interim Guidelines concerning the collection, storage, use and security of tax file
                        number information; Schedule 3 NPPs.

                                                                                                                                                                                                                                                               Document: 4c149784-1121-4d0c-88f5-847d511561bc.xls, Federal Acts
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Federal Acts relevant to RMIT

                                                                                                                 Research may result in quarantinable disease or pest
                        S.12 Declaration of a place infected with a quarantinable disease or pest; s.13(2)       being found or imported; non-compliance with import
                                                                                                                                                                                                                                                             Very low
                        Permits for importation; s.15AC must give notice of proposed importation (offence to     permit requirements; loss or destruction of imported
                                                                                                                                                                          Research; importing of plants or                                                  number of
                        give false or misleading information); s.48AC diseased plant grown from another          goods if doesn't meet quarantine requirements;                                                                                                             Financial &
Quarantine Act 1908                                                                                                                                                       animals for research or other                                                       staff or
                        plant; Part V - Quarantine of Animals & Plants *Part VAAA - Vector Monitoring &          liability for quarantine expenses (need to allow for                                        Research Schools         Penalties involved                   imprisonment          Moderate
(F)                                                                                                                                                                       purposes; Research partnerships                                                   instances
                        Controlling Activities (may impose quarantine duties on RMIT if considered               when importing); RMIT may become quarantine                                                                                                              penalties (major)
                                                                                                                                                                          may impose risks on RMIT;                                                          involved
                        necessary; Part VI - Expenses of Quarantine; cannot refuse to provide information on     officers. Penalties: Expenses; misleading/false
                        the grounds of incrimination                                                             information 6-12 months prison; non-compliance with
                                                                                                                 directions 1-2 yrs prison.

                                                                                                                 Discrimination on grounds of race, colour or ethnic
                                                                                                                 origin; refuse a student enrolment or employment to
                                                                                                                                                                          Staff selection and employment;
                                                                                                                 a person due to their race; refuse to supply goods or
                                                                                                                                                                          student registration and
                                                                                                                 services to a person due to their race; refuse access                                                                                        All staff    Criminal code
* Racial Discrimination                                                                                                                                                   enrolment; provision of student    People & Culture - All
                        Discrimination on grounds of race, colour or ethnic origin.                              to RMIT facilities, buildings or property due to race;                                                               Penalties involved     involved        penalties              High
Act 1975 (F)                                                                                                                                                              services and courses; any area     departments
                                                                                                                 vicarious liability if employee or agent undertakes                                                                                          (Likely)      (moderate)
                                                                                                                                                                          within RMIT involving staff or
                                                                                                                 discriminatory acts; offensive behaviour likely to
                                                                                                                 offend, insult, humiliate or intimidate; Penalties:
                                                                                                                 Criminal code applies

                                                                                                                                                                                                             Student learning
                                                                                                                 Emailing marketing material without obtaining the
                                                                                                                                                                                                             support; Student
                        Regulating commercial email and other types of commercial electronic messages;           recipients prior permission; IT facilities and services                                                                                       Large
                                                                                                                                                                                                             services; IT Services;
                        Unsolicited commercial messages must not be sent; Commercial electronic                  must not be used by staff for any of these purposes;                                                                                       number of
                                                                                                                                                                                                             University Marketing;
                        messages must include information about the individual or organisation who sent the      not having unsubscribe facility on marketing                                                                                                 staff or       Very high
                                                                                                                                                                         IT development; IT usage by staff   Educational Media
Spam Act 2003 (F)       message; commercial electronic messages must contain an unsubscribe facility;            messages; use of address-harvesting software by                                                                    Penalties involved       students        financial           Very High
                                                                                                                                                                         and students; Marketing;            Group; School of
                        address-harvesting software must not be supplied, acquired or used; an electronic        staff or students (on RMIT equipment); Penalties:                                                                                          potentially   penalties (Major)
                                                                                                                                                                                                             Business Information
                        address list produced using address-harvesting software must not be supplied,            No prior record: RMIT $6000-$226,840; Individual                                                                                            involved
                                                                                                                                                                                                             Technology; School of
                        acquired or used.                                                                        $1134-$45,368; Prior record - RMIT Up to $1.13m                                                                                              (likely)
                                                                                                                                                                                                             Creative Media;
                                                                                                                 Individual up to $11k
                                                                                                                                                                                                             Research Support

                                                                                                                 Failure to make the compulsory employer
                                                                                                                 superannuation contributions; failure to offer
* Superannuation        Part 3 Liability to pay superannuation guarantee charge; Part 3A Choice of fund          employees a choice of superannuation fund; failure                                                                                        Low number
Guarantee               arrangements; s.32N timeframes for the provision of standard choice forms; Part 4        to act on an employee's choice of fund within 2                                                                                              of staff
                                                                                                                                                                          Payroll                            People & Culture                                             financial                 Low
(Administration) Act    need to provide superannuation guarantee certificate if a shortfall occurs; s.79 Record- months; failure to keep records in accordance with                                                                                          involved
                                                                                                                                                                                                                                                                       penalties (minor)
1992 (F)                keeping requirements                                                                     the Act and for a minimum of 5 years. Penalties:                                                                                           (unlikely)
                                                                                                                 Failure to keep records $3400; Disclosure of
                                                                                                                 protected information 2 yrs prison

                                                                                                                                                                                                                                                             Very low
                     Part 21 labelling of customer equipment and cabling; part 21 cabling providers; part                                                                                                                                                   number of
* Telecommunications 23 standard agreements for the supply of carriage services. Div 2: service providers; Contravening cabling licence provisions, leading to                                                                                                staff or    Minor penalties
                                                                                                                                                                          Property/facility maintenance      Property Services; ITS                                                                 Low
Act 1997 (F)         Div 3: carriage service provider; Div 4: content service providers. Part 6 - industry cancellation of cabling licence                                                                                                                  instances        (minor)
                     codes and standards. P.132 compliance                                                                                                                                                                                                   involved

                        Part 3 rights of the registered owner and any authorised users of a trade mark; Parts
                        4 & 5 how to register a trade mark; Part 6 application and document amendments;          Non-registration of a trade mark may result in losing                                       Policy & Planning;                              Very low
                        Parts 7, 8 & 9 registration details and amendments or cancellation; Parts 10 & 11        nationwide rights of that trade mark; Failure to                                            Graduate Research                              number of
                                                                                                                                                                          Research registration of trade                                                                   High financial
* Trade Marks Act       assignation of trade marks and recording of interests of persons other than the          receive authorisation to use and remove uploaded                                            Office; Research                                 staff or
                                                                                                                                                                          marks; marketing or planning                                                                       penalties              Low
1995 (F)                registered owner; Parts 12, 13 & 14 protection of trade marks - infringements,           files of content on interactive website; falsifying TMs.                                    Institutes; Research                           instances
                                                                                                                                                                          activities;                                                                                       (moderate)
                        imported goods that may infringe, offences; Part 15, 16 & 17 collective, certification   Penalties: falsifying TMs max $56710 or 2 yrs                                               Partnerships;                                   involved
                        and defensive trade marks; Part 17a Australian obligations under the Madrid Protocol     prison. Criminal code applies.                                                              Research Support; ITS                             (rare)
                        (international trading of marks); Part 20 Register of Trade Marks, Part 21 fees

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Federal Acts relevant to RMIT
                        Relates to partnerships and joint ventures also. Part IV - Restrictive Trades Practices
                        (contracts that restrict dealings or competition, activities that may substantially lessen                                                                                             People and Culture,
                        competition, price fixing, boycotts affecting trade or commerce, activities that affect       Misleading advertising or marketing of services/                                         Academic, Academic
                        the supply or acquisition of goods or services.); Part IVA - Unconscionable Conduct           courses; misleading or deceptive conduct regarding      Staff recruitment and selection, Registrar, Policy &
                        (exercising a disparity of power, contracts that have better conditions for the stronger      courses, teaching or employment prospects, price        student registration, marketing, Planning, University
                                                                                                                                                                                                                                         number of       Very high
* Trade Practices Act   party, not allowing for the relative strengths of the bargaining positions of both parties,   fixing, market sharing, contracts; accepting payment    contract development, fees and   Secretariat, Property
                                                                                                                                                                                                                                            staff        financial           Very High
1974 (F)                contracts, business transactions); Part V - Consumer Protection (unfair practices,            without intending or being able to supply. Bait         pricing of services, RMIT        Services, Financial
                                                                                                                                                                                                                                          involved    penalties (Major)
                        misleading or deceptive conduct, false or misleading representations, misleading              advertising, harassment or coercion, pyramid selling.   commercial subsidiaries; payment Services, Legal
                        conduct in relation to employment, bait advertising, harassment or coercion,                  Penalties: $10m corporate or 3 x the value of the       of visiting academics;           Services, TAFE,
                        accepting payment without intending or being able to supply, warranties in relation to        benefit or 10% of turnover - whichever is the higher.                                    International Services,
                        the supply of services); Part VB - pricing exploitation in relation to a New Tax System                                                                                                Student services; ITS
                        (GST); Part VC - offences
                      Simplified national standard of workplace relations; provision of minimum wages and
                      conditions; primary responsibility for resolution of matters between employer and                                                                                                                                   Moderate
                                                                                                                      Management practices or conditions of employment
                      employee; employers & employees can choose most appropriate form of agreement                                                                                                                                      number of
                                                                                                                      that may infringe the Act; Conditions of employment
                      for their particular circumstance; ensuring compliance with minimum standards,                                                                                                                                          staff
                                                                                                                      for visiting academics; implementation of                                                                                        Affects all of
* Workplace Relations industrial instruments and bargaining processes; enforcement of employee                                                                                Staff selection and recruitment;   People and Culture;       involved,
                                                                                                                      performance management processes. Penalties:                                                                                     RMIT, minor              High
Act 1996 (F)          entitlements; awards consistent with fair pay requirements; provision of flexible                                                                       visiting academics                 Academic                    large
                                                                                                                      Civil remedies/court orders; Financial penalties for                                                                           penalties (major)
                      mechanisms for voluntary resolution of disputes; balancing the right for industrial                                                                                                                                amount of
                                                                                                                      non-compliance with civil: max $6800; Declare
                      actions against public interest; ensuring freedom of association, promotion of youth                                                                                                                               Act content
                                                                                                                      agreement void
                      employment; assisting with employee work/life balance; helping to eliminate and                                                                                                                                     (possible)
                      prevent discrimination.
                       Schedule 1: Workplace Agreements and the no-disadvantage test: Substitute s,326 in
                       Act: Individual transitional employment agreements (ITEA) may be made; Division 5A
                       (Substitute 346D) the no-disadvantage test: Conducted by Workplace Authority to
                                                                                                                      Ensuring correct terminology and processes used in                                                                  Moderate
                       ensure that no working conditions are reduced or lost; collective agreements also
                                                                                                                      transitional period. Doesn't say when it will end - yet                                                            number of
Workplace Relations subject to test; Workplace Authority may designate specific awards. Cannot dismiss
                                                                                                                      to be proclaimed. Agreements don't pass no-                                                                             staff
Amendment              employee because agreement doesn't pass the no-disadvantage test; Scedule 7A -                                                                         Staff selection and recruitment;                                         Affects all of
                                                                                                                      disadvantage test. Dismiss employee because                                                                          involved,
(Transition to Forward Transitional arrangements for existing AWAs: Continue to apply to WR Act; existing                                                                     Wage negotiations; EB              People and Culture                    RMIT, minor              High
                                                                                                                      agreement doesn't pass test. Cannot vary existing                                                                      large
with Fairness) Bill    AWAs cannot be varied; an AWA ceases if it is replaced by an ITEA; Schedule 7B                                                                         negotiations;                                                          penalties (major)
                                                                                                                      AWA. Awards modernisation - no timeframe -                                                                         amount of
2008 (F)               transitional arrangements for existing collective agreements: Part 3 Other
                                                                                                                      gaining knowledge of when awards are amended or                                                                    Act content
                       amendments to the Workplace Relations Act: Part 10A Awards modernisation
                                                                                                                      repealed.                                                                                                           (possible)
                       Schedule 4 - Repeal of provisions for Workplace Relations Fact Sheet. Schedule 5
                       Transitional arrangements for pre-reform Federal agreements etc. Schedule 6
                       Notional agreements preserving state awards ends 31 Dec 2009;

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