Legal Compliance Risk Summary - DOC

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					                                   RMIT Register of Compliance Obligations – Academics, Teaching & Learning, Students and Research
The information contained in the table below has been compiled to assist university staff and functions in the areas of staff and workplace relations at RMIT, by:

           Providing brief information relating to the main areas of compliance risk that RMIT staff are                         Providing links to internal web pages to assist with location of RMIT statutes, policies and
            likely to encounter.                                                                                                   procedures.
           Providing links to external federal and state websites to enable viewing of applicable                                Providing an indication of where additional guidance, training or resources may be
            legislation.                                                                                                           available if required.

This category includes:

           Teaching and learning – general                                              Higher Education                                                                Student assistance, prizes and scholarships
           Student safety, welfare and support                                          Course / Program development and management                                     Copyright and patent protection, intellectual property
           Student fees and charges                                                     Courses leading to professional or trade registration                           Research / biological research and ethics
           Education of overseas students                                               Commercial activities and fundraising                                           Grievance, appeals and feedback processes
           TAFE / Apprentices & trainees                                                Partnerships and alliances

It should be noted that this table does not include all of the statutory or internal compliance obligations relating to all operations or functions within RMIT. Further information can be
obtained in the other categories in this register:

           Obligations affecting the whole of RMIT                                                                               Staff and Workplace Relations
           Governance and Administration

Category                 Function or           Possible               Relevant Acts or Regulations            Potential areas of     Related University Policies or Statutes              Available training or additional
                         Activity involved     Portfolio, School                                              risk                                                                        resources
                                               or Group
Student Safety,          Safety                International          Child Care Act 1972 (F)                 Student exposure/      Student loan fund statute and regulation             Open Program:
Welfare &                Counselling           Services               Working with Children Act 2006 (S)      danger                 OS-HELP (Higher Education Loan Program) policy,      Understanding student mental health
Support                  Funding               Student Services       Higher Education Support Act 2003 (F)                          procedure and payments process
                         Health Services       Counselling Services   ESOS Act 2000 (F) H
                                               Student Learning       AQTF 2007
                                               Support
                                                                      Education & Training Reform Act 2006
                                               Youth & Community      (S)
                                               Partnerships
                                               All Schools
                                               Research Support
                                               Library
Student Fees             All Schools           Academic Registrar     ESOS Act 2000 (F)                                              Approved schedule of fees and charges
and Charges                                    Student Services       The National Code (ESOS)                                       Refund guidelines
                                               International          Education & Training Reform Act 2006                           Billing process for education and administration
                                               Services               (S)                                                            support fee from RMIT to RMIT Vietnam for HE
                                               All Schools            AQTF 2007                                                      courses
                                               Financial Services                                                                    Fee approval process
                                                                                                                                     Material fees
                                                                                                                                     Offshore program costing model
                                                                                                                                     Student financial and compliance training manual
Student files            Student information   All Schools                                                                           Academic student files policy
                         records               Academic Registrar                                                                    Access the RMIT archives procedure
                         management
                                               Student Services                                                                      Death of a student procedure
                                               International                                                                         Records destruction procedure
                                               Services                                                                              Release of information from academic student files
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Category          Function or         Possible             Relevant Acts or Regulations            Potential areas of       Related University Policies or Statutes                    Available training or additional
                  Activity involved   Portfolio, School                                            risk                                                                                resources
                                      or Group
                                      The Hub                                                                               Responding to enquiries from an external agency
                                      Info Corner                                                                           about an RMIT student – guidelines
                                      ITS                                                                                   Transferring RMIT records to an approved public
                                                                                                                            record office storage supplier (APROSS)
                                                                                                                            Transferring files in the RMIT archives
Education of      Provision of        International        ESOS Act 2000 (F)                       International Students   ESOS and student visa compliance                           Open Program:
International     education and       Services             The National Code (ESOS)                load management          Change of visa status of international onshore             Offshore teaching
                  services to         Academic Registrar                                           CRICOS Register          students – transfer to domestic places
Students          overseas students
                                                           Criminal Code Act 1995 (F)                                                                                                  Offshore teaching, course materials
                                      Student Services     Racial Discrimination Act 1975 (F)      PRISMS and               Education abroad guidelines                                  development and copyright
                                      All Schools                                                  reporting                Missing international onshore student procedure            The ESOS Act
                                                           Migration Act 1958 (F)
Overseas                                                                                           Misleading or            National code marketing checklist                          RMIT Offshore partners
teaching                                                                                           deceptive conduct re
                                                                                                                            Education abroad guidelines
                                                                                                   courses, teaching,
                                                                                                   employment               Education abroad – student exchange of letters
                                                                                                   prospects
                                                                                                   Monitoring of student
                                                                                                   visa conditions
                                                                                                   Monitoring and
                                                                                                   reporting on potential
                                                                                                   student outcomes
TAFE /            TAFE                TAFE                 Education & Training Reform Act 2006                             Program annual review for TAFE and higher
Apprentices &     Competency-based    Academic Registrar   (S)                                                              education coursework programs policy
Trainees          course provision    Student Services     AQTF 2007 (S)                                                    Quality assurance of third party / partner delivery of
                  Work-based                               National Code (ESOS)                                             TAFE awards – procedure and checklists
(Specific)
                  learning                                 ESOS Act 2000 (F)                                                Managing requirements for trainees and apprentices
                                                           Building Act 1993 (S)
                                                           Planning & Environment Act 1987 (S)
Higher            All HE Schools      All Schools          Education & Training Reform Act 2006                             Guidelines to examiners of theses, publications or
Education         Student Services    Academic Registrar   (S)                                                              projects
(Specific)        Provision of        Student Services     National Code (ESOS)                                             Classification of examination reports and
                  learning programs                        ESOS Act 2000 (F)                                                recommended examiners
                                      Research schools
                                      and groups                                                                            Theses and projects guidelines




Teaching and      All Schools         All Schools          Education & Training Reform Act 2006                             Student attendance requirements policy and                 Open Program:
Learning –        Student Services    Student Services     (S)                                                              procedure                                                  Inclusive technologies – enhancing student
General           Provision of        International        AQTF 2007 (S)                                                    Recognition of prior learning and credit transfer policy     learning
                  learning programs   Services             National Code (ESOS)                                             and procedures                                             Podcasting for teaching
                                      Academic Registrar   ESOS Act 2000 (F)                                                Admission to advanced standing statute                     10 top tips for Blackboard
Enrolment                                                                                                                   Assessment policies and procedures
                                                           Higher Education Support Act 2003 (F)
Attendance                                                                                                                  Appeals against assessment policy and procedure
Assessment                                                                                                                  Assessment Regulation 5.4.1
Graduation                                                                                                                  Special consideration policy and procedure
                                                                                                                            Examinations operation procedures
                                                                                                                            Service teaching policy and guidelines
                                                                                                                            Timetable policy and procedure
                                                                                                                            Management of practical placement and work
                                                                                                                            experience procedure
                                                                                                                            Work integrated learning at RMIT policy
                                                                                                                            Academic dress statute, regulation and procedure

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Category          Function or             Possible              Relevant Acts or Regulations            Potential areas of        Related University Policies or Statutes                   Available training or additional
                  Activity involved       Portfolio, School                                             risk                                                                                resources
                                          or Group
                                                                                                                                  Enrolment processes
                                                                                                                                  Fees, charges and refunds procedures and guidelines
                                                                                                                                  Graduation and awards processes


Course/           Program or course       Academic Portfolio    Education & Training Reform Act 2006                              Course approval, amendment and discontinuation            Open Program:
Program           development             Learning and          (S)                                                               policy, procedure and templates                           Offshore teaching, course materials
Development       Course registration     Teaching              AQTF 2007 (S)                                                     Offshore teaching models and program architecture           development and copyright
                  Course writing          Development Group     National Code (ESOS)                                              policy
and
Management        Course review,          Academic Policy &     ESOS Act 2000 (F)                                                 Program accreditation, amendment and renewal
                  maintenance and         Planning Group                                                                          policies, procedures and guidelines
                  improvement                                                                                                     Program discontinuation policy and procedures
                                                                                                                                  Program quality policies and procedures
                                                                                                                                  Annual review program – TAFE & HE coursework
                                                                                                                                  Program pricing: costing models, refund guidelines,
                                                                                                                                  materials fee guidelines and application form.
                                                                                                                                  Course and program costing, price setting and
                                                                                                                                  approval
Courses leading   Pharmacists             All schools           Health Professions Registration Act
to professional   Psychologists           Student Services      2005 (S)
or trade          Nurses                                        Legal Profession Act 2004 (S)
registration      Law                                           Building Act 1993 (S)
                  Plumbers                                      Electrical Safety Act 1998 (S)
                  Electricians
                  Builders
Student           All Schools             Awards Committee      Higher Education Support Act 2003 (F)                             Awards statutes and regulations
Assistance,                               All Schools and                                                                         Awarding degrees with honours or pass with
                                          Research Institutes                                                                     distinction policy
Awards, Prizes
                                                                                                                                  RMIT awards – letters to be used after graduates
and                                                                                                                               names – procedure
Scholarships
                                                                                                                                  Withdrawal of award procedure
                                                                                                                                  Higher degrees by research regulations
                                                                                                                                  Commonwealth learning scholarships policy and
                                                                                                                                  procedure
                                                                                                                                  Various awards and scholarships procedures
Student                                                                                                                           Student discipline statute and regulation
discipline                                                                                                                        Revocation of awards and Awards Committee statute
                                                                                                                                  and regulation
Copyright &       Research                All Schools and       Copyright Act 1968 (F)                  Unauthorised use of       Copyright licence information                             Open Program:
Patent            Use of copyright        Research Institutes   Designs Act 2003 (F)                    materials with            Intellectual property policy, procedures, statute and     Copywriting
                  materials               All Staff                                                     Copyright in              regulation.
protection,                                                     Trade Marks Act 1995 (F)
                                                                                                        documents, film,
                                                                                                                                                                                            Research intellectual property
Intellectual      Intellectual Property                         Patents Act 1990 (F)                                              Multimedia and online product legal manual                Campus LX, blogs, wikis, web 2.1
                                                                                                        television, art, music,
                  ownership                                                                                                       Statute – The Intellectual Property Committee               technologies and copyright
Property                                                                                                website content,
                                                                                                        images, computer          Intellectual property and contracts                       ePortfolios and using copyright works
                                                                                                        software, radio, audio-   Intellectual property guide to researchers for research   Artistic works, photos, cartoons, figures,
                                                                                                        visual materials and      and development projects with outside parties               diagrams, paintings, murals and copyright
                                                                                                        text.
                                                                                                                                  Moral rights and moral rights of authors                  Authorship and copyright – who owns what?
                                                                                                        Patent infringement
                                                                                                        during research.          Invention disclosure form                                 Blackboard, lectopia and copyright
                                                                                                                                  Preparation of proposals                                  Offshore teaching, course materials
                                                                                                        Non-protection of IP
                                                                                                                                  Research contracts process                                  development and copyright
                                                                                                        via patent
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Category          Function or             Possible            Relevant Acts or Regulations            Potential areas of       Related University Policies or Statutes                  Available training or additional
                  Activity involved       Portfolio, School                                           risk                                                                              resources
                                          or Group
                                                                                                                               Plagiarism policy and procedures                         Audio visual media – film, TV, music,
                                                                                                                                                                                           YouTube, internet TV, internet radio &
                                                                                                                                                                                           copyright
                                                                                                                                                                                        Literary works, pages from books, journal
                                                                                                                                                                                           and news articles, ebooks, internet pages
                                                                                                                                                                                           & copyright
                                                                                                                                                                                        Moral rights, referencing and attribution
Research and      All research            Research Schools    Quarantine Act 1908 (F)                 Confidentiality          Grant application procedures                             Open Program:
Biological        schools                 and Institutes      Prevention of Cruelty to Animals Act    Human ethics             Research centres policy and guidelines                   Research ready
Research and      Genetic research                            1986 (S)                                Cruelty to animals       Higher degrees by research policy and procedures         Writing for publication
Ethics            Research using                              Code of Practice for the care and use   Narcotics                Authorship and publication of research output            How to manage a research project
                  human tissue                                of animals for scientific purposes
                                                                                                      Visiting Academics       Data storage, retention and confidentiality              Sharpening your editing and proofreading
                  Microbiological                             Human Tissue Act 1982 (S)                                                                                                   skills
                                                                                                                               Protocol for researchers planning to conduct a web-
                  research                                    Infertility Treatment act 1995 (S)                               based survey                                             Research intellectual property
                  Research using                              Gene Technology Act 2001 (S)                                     Research misconduct                                      Early career researcher seminar
                  animals
                                                              Status of Children Act 1974 (DNA                                 Research supervision principles, procedures, code of
                  Animal houses                               testing)                                                         practice and forms
                  Breeding of                                 Drugs, Poisons & Controlled
                  declared animals                            Substances Act 1981 (S)
                  Infertility treatment
                  or research



Health and                                                                                                                     Laboratory waste disposal strategy procedure
Safety                                                                                                                         Use of imported biologicals policy
                                                                                                                               Chemical substances policy
                                                                                                                               Cyanide and poisoning treatment procedure
                                                                                                                               Electrical safety guidelines
                                                                                                                               Eye protection policy
                                                                                                                               First aid procedure
                                                                                                                               Procedure for the disposal of chemical waste
                                                                                                                               Radiation policy and procedures
Commercial                                                    Trade Practices Act 1974 (F)            Maintenance of           Competitive neutrality policy – RMIT compliance          Open Program:
Activities and                                                Competitive Neutrality Policy           competitive neutrality   Memorandum of understanding guidelines                   How to prepare a competitive NHMRC
Fundraising                                                   AVCC Australian Universities            Unfair or anti-          Costing model for research and commercial projects         project grant application
                                                              Philanthropy code of ethics             competitive trading                                                               NHMRC Project Grant Review Panel
                                                                                                                               Fees for third party program delivery, consulting and
                                                                                                      activity                                                                            Meetings: a Panel Member’s perspective
                                                                                                                               research an innovation projects procedure
                                                                                                                               Statute 12.1 Administration of Trust and other           Applying for research funding from the
                                                                                                                               property                                                   philanthropic sector
                                                                                                                               AVCC Australian Universities Philanthropy code of        How to prepare a good ARC rejoinder
                                                                                                                               ethics                                                   Preparing a budget for an ARC application
                                                                                                                                                                                        The ARC linkage grant scheme – an ARC
                                                                                                                                                                                          perspective
                                                                                                                                                                                        Persuasive proposals, submissions and
                                                                                                                                                                                          grant applications
                                                                                                                                                                                        ARC Discovery Projects 2010
Partnerships                                                                                                                   Articulation agreements processes and procedures         Open Program:
and alliances                                                                                                                  Checklist for research involving students and industry   RMIT Offshore Partners
                                                                                                                               partners
                                                                                                                               Checklist for training agreements with industry
                                                                                                                               partners
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Category          Function or         Possible                Relevant Acts or Regulations            Potential areas of      Related University Policies or Statutes                Available training or additional
                  Activity involved   Portfolio, School                                               risk                                                                           resources
                                      or Group
                                                                                                                              Development and implementation of strategic
                                                                                                                              alliances and partnerships
                                                                                                                              International partnerships and strategic alliances
                                                                                                                              Offshore award program policy, procedures, roles and
                                                                                                                              responsibilities
                                                                                                                              Transnational education program and partner
                                                                                                                              management guidelines and templates
Grievance,        Complaints          Portfolio Student       ESOS Act 2000 (F)                       Dissatisfied staff,     Course level student feedback procedure
Appeals and       Management          Complaints Officers     Higher Education Support Act 2003 (F)   students or customers   Establishment and operation of student staff
Feedback          Student Appeals     Ombuds                  Ombudsman Act 1976 (F)                  Reputation              consultative committees procedure
Processes                             All Portfolio, School   Ombudsman Act 1973 (S)                  Loss of business        Student feedback in programs delivered in
                                      or Group Managers                                                                       conjunction with partners procedure
                                                              Equal Employment Opportunity
                                                              (Commonwealth Authorities) Act 1987                             Student feedback policy
                                                              (F)                                                             University and program surveys procedure
                                                              Equal Opportunity for Women in the
                                                              Workplace Act 1999(F)M
                                                              Racial Discrimination Act 1975 (F)
                                                              Charter of Human Rights &
                                                              Responsibilities Act 2006 (S)M
                                                              Equal Opportunity Act 1995(S)
                                                              Freedom of Information Act 1982 (S)
RMIT Union                                                                                                                    Enrolment of officers of the Student Union procedure
                                                                                                                              RMIT Union Constitution – Regulation
                                                                                                                              Statute 10.1 the RMIT Union




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