Legal Compliance Risk Summary

RMIT Register of Compliance Obligations that may affect the whole of RMIT The information contained in the table below has been compiled to assist university staff in areas that may affect the whole of RMIT, by:   Providing brief information relating to the main areas of compliance risk that RMIT staff are likely to encounter. Providing links to external federal and state websites to enable view of applicable legislation.   Providing links to internal web pages to assist with location of RMIT statutes, policies and procedures. Providing an indication of where additional guidance, training or resources may be available if required. This category includes:      Health, Safety and Welfare Trade Practices and Fair Trading Privacy and Human Rights Equity & Diversity, Ethics and Anti-Discrimination Statutory and other Compliance     Marketing, Promotion and Media Contract Development and Management Risk Management, Business Continuity and Emergency Management Information Technology and Electronic Transactions    Commercial activities Food & Alcohol Safety and Hospitality Misc – including events management, change management and customer service 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:   Governance and Administration Staff and Workplace Relations Function or Activity involved Occupational Health, Safety & Welfare Return to Work Programs Accident Compensation  Academics, Teaching & Learning, Students and Research Category Possible Portfolio, School or Group People & Culture All Portfolios, Schools and Groups Relevant Acts or Regulations Occupational Health & Safety Act 2004 (S) Occupational Health & Safety Regulations 2007 (S) Accident Compensation Act 1985 (S) Dangerous Goods Act 1985 (S) Quarantine Act 1908 (F) Food Act 1984 (S) Liquor Control Reform Act 1998 (S) Radiation Act 2005 (S) Road Safety Act 1986 (S) Working with Children Act 2005 (S) Wrongs Act 1958 (S) Potential areas of risk Related University Policies or Statutes Available training or additional resources Open Program: Taking care of your back Warden training Weight Watchers at work First aid CPR refresher OHS risk assessment training Workplace inspections RMIT Website: Health, Safety and Welfare Heavy Lifting Electrical Equipment Dangerous Goods Machinery, equipment, plant Radiation Chemicals/ Substances Needlestick injuries Bullying Pollution/ emissions Critical incident management policy Emergency control policy Hazard and incident reporting investigation and recording procedure Managing threatening or inappropriate behaviour procedure Emergency procedure information for sessional staff Ergonomic furniture and assessment of workstations policy and procedures Prevention of overuse injuries policy First aid procedure Laboratory waste disposal strategy procedure Use of imported biologicals policy Issue resolution process Proposed change in the workplace - flowchart Personal safety: Acquired immune deficiency syndrome AIDS and related conditions policy Alcohol policy Drug management policy and procedure First aid procedure No smoking policy Safety and security on campus Safety footwear impact protection policy and procedure Thermal distress policy External Resources: www.worksafe.vic.gov.au RMIT University Document: 049be733-cd10-4932-9486-c5a9900c7fa2.doc Author: Kathy Bramwell Save Date: 29/10/2009 Page 1 of 5 Category Function or Activity involved Possible Portfolio, School or Group Relevant Acts or Regulations Potential areas of risk Related University Policies or Statutes Available training or additional resources Safe working environment: Buildings air handling and water systems policy Chemical substances policy Contractor health and safety policy and procedures Cyanide and poisoning treatment procedure Electrical safety guidelines Electrical testing of portable electrical equipment Eye protection policy Health safety and security policy Procedure for the disposal of chemical waste Radiation policy and procedures Synthetic mineral fibre policy Worker’s compensation and rehabilitation: Rehabilitation return to work policy Rehabilitation return to work procedure WorkCover eligibility and entitlements policy and procedure Trade Practices and Fair Trading Legal Services University Marketing International Services Educational Media Group Global Business Development All Portfolios, Schools and Groups Trade Practices Act 1974(F) Fair Trading Act 1999 (S) Competition Policy Reform Act 1995 (F) Competition Policy Reform (Victoria) Act 1995 (S) Advertising and marketing of courses Misleading or deceptive conduct re courses, teaching, employment prospects Price fixing and market sharing Online Training: Trade practices compliance RMIT Website: Other Resources: Legal Services Senior Manager, Compliance – Internal Audit & Risk Management Group Privacy policy and principles Confidentiality and privacy of staff information policy Personal files – access policy and procedure Guidelines for managing students’ personal information in agenda papers and minutes Privacy complaints procedure RMIT counselling service policy for the management of personal information Release of information from academic student files Responding to enquiries from an external agency about an RMIT student - guidelines Online Training: Privacy at RMIT Face to face training: Via Privacy Officer upon request RMIT Website: Privacy, Respect and Human Rights People & Culture Chancellery University Secretariat Information Privacy Act 2000 (S) Charter of Human Rights & Responsibilities Act 2006 (S) Health Records Act 2001 (S) Freedom of Information Act 1982 (S) Ombudsman Act 1974 (S) Public Records Act 1973 (S) Whistleblowers Protection Act 2001 (S) Surveillance Devices Act 1999 (S) Inappropriate collection, use or disclosure of personal information (staff or students) Inappropriate access to information Collecting and distributing students’ work Credit card information External Websites: www.privacy.vic.gov.au Other Resources: Privacy Officer, University Secretariat Senior Manager, Compliance – Internal Audit & Risk Management Group Equity and Diversity, Ethics Staff selection Treatment of staff, People & Culture All Portfolios, School Disability Discrimination Act 1992 (F) Staff selection processes Treatment of staff, students Anti-racism and religious tolerance policy Children in the workplace and in the classroom policy Document: 049be733-cd10-4932-9486-c5a9900c7fa2.doc Author: Kathy Bramwell Save Date: 29/10/2009 Page 2 of 5 RMIT University Category Function or Activity involved students or visitors Curriculum management practices Ethical Conduct Gifts Possible Portfolio, School or Group and Groups All Staff Relevant Acts or Regulations Equal Employment Opportunity (Commonwealth Authorities) Act 1987 (F) Equal Opportunity for Women in the Workplace Act 1999 (F) Racial Discrimination Act 1975 (F) Equal Opportunity Act 1995 (S) Charter of Human Rights and Responsibilities Act 2006 (S) Education & Training Reform Act 2006 (S) All statutes Australian Standard AS3806:2006 Potential areas of risk Related University Policies or Statutes Available training or additional resources and AntiDiscrimination or visitors Curriculum management processes Displaying, accessing, email offensive material Student assessment Equal employment opportunity policy Gender inclusive language procedure Sexual harassment policy Bullying and occupational violence policy Code of ethics Conflict of interest policy and procedure General responsibilities of staff Outside activities policy and procedure Personal relations between staff and students policy and procedure Conflict of interest policy and procedure Recording of statutory/official employee roles (corporate functions) Compliance policy Corporate compliance strategy Open Program: The ESOS Act Other Resources: Internal audit website Compliance website Senior Manager, Compliance Open Program: Media training for academics RMIT Brand story Compliance All areas All areas Internal Audit & Risk Management Legal, potential for breaches Marketing, Promotion and Media Marketing Student information Response to enquiries Customer Service Media Communications International & Development Portfolio Global Business Development International Services University Marketing Academic Portfolio Educational Media Group Policy & Planning Chancellery People & Culture Property Services Legal Services International Services Academic Registrar TAFE All Portfolios, Schools and Groups Trade Practices Act 1974(F) Fair Trading Act 1999 (S) ESOS 2000 (F) National Code (F) Incorrect provision of information Misleading Information Breaches of ESOS Act and AQTF 2007 and relevant codes Trade Practices Breaches Branding and style guide policy and procedures Course publicity procedures Advertising procedure CRICOS registration International marketing procedure National code marketing checklist Media policy and guidelines for working with the media Contract Development and Management ESOS Act 2000 (F) Telecommunications Act 1997 (F) Trade Practices Act 1974(F) Fair Trading Act 1999 (S) Heritage Act 1995 (S) Liquor Control Reform Act 1998 (S) Occupational Health & Safety Act 2004 (S) Project Development & Construction Management Act 1994 (S) Property Law Act 1958 (S) Retail Leases Act 2003 (S) Australian/NZ standard AS4360:2004 International Standard ISO Business Interruption Financial Loss Fraud control plan for RMIT and its controlled entities Guidelines for assessing business risks Open Program: Managing Projects Risk Management, Internal Audit & Risk Management All Portfolios, Open Program: Risk Management Document: 049be733-cd10-4932-9486-c5a9900c7fa2.doc Author: Kathy Bramwell Save Date: 29/10/2009 Page 3 of 5 RMIT University Category Function or Activity involved Possible Portfolio, School or Group Schools and Groups Relevant Acts or Regulations 38000 (to be introduced 2009) Potential areas of risk Related University Policies or Statutes Available training or additional resources Business Continuity and Emergency Management Information Technology, Telephony and Electronic Transactions Internet Network/ Intranet Spam Fraud Risk management framework Risk register template Internal audit charter Electronic communications policy Electronic messaging system resource allocation policy Rules of use of RMIT IT systems Global email protocols Password guidelines, procedure and standard Network standards and operational regulations IT information security policy IT service delivery policy IT sourcing and procurement policy Network security – remote dial-in access Non-standard product purchase procedure Product order and install procedure Computer equipment supply at RMIT Mobile phone policy and procedure Telephone charges (ITS service catalogue) Blackberry approval and acquisition procedure Voicemail guidelines Guidelines for profiling news, events and other activities on the RMIT home page Mandatory protocols for use of YouTube and other internet hosting services Web accessibility framework Web style guide Open Program: Campus LX, blogs, wikis, web 2.0 technologies & copyright Webs, wikis, blogs and avatars – what the…? Podcasting for reaching 10 top tips for Blackboard Audio visual media – film, TV, music, YouTube, internet TV, internet radio & copyright Information Technology Services Spam Act 2003 (F) Copyright Act 1968 (F) Telecommunications Act 1997 (F) Trade Marks Act 1995 (F) Trade Practices Act 1974 (F) Fair Trading Act 1999 (S) Information Privacy Act 2000 (S) Surveillance Devices Act 1999 (S) Inappropriate use of corporate technology Website Open Program: Introduction to web accessibility Learning Hub knowhow Writing for the web Commercial activities Trade Practices Act 1974 (F) Competitive Neutrality Policy Maintenance of competitive neutrality Unfair or anti-competitive trade practices Competitive neutrality policy – RMIT compliance Memorandum of understanding guidelines Costing model for research and commercial projects Fees for third party program delivery, consulting and research and innovation projects procedure Open Program: Managing Projects Food & Alcohol Safety and Hospitality Unallocated categories Public Performances Events Management Customer Service Change management Fundraising Food Act 1984 (S) Liquor Control Reform Act 1998 (S) Wrongs Act 1958 (S) External caterers Events manual: A guide to conducting events at RMIT university Statute 12.1 Administration of trust and other property AVCC Australian Universities Philanthropy code of ethics Car parking policy Open Program: Event and protocol management at RMIT Audio Visual Training Learning Hub knowhow Writing emails and business letters Managing Projects Writing for publication Writing for the web Business report writing Sharpen your editing and proofreading skills Document: 049be733-cd10-4932-9486-c5a9900c7fa2.doc Author: Kathy Bramwell Save Date: 29/10/2009 Page 4 of 5 RMIT University RMIT University Document: 049be733-cd10-4932-9486-c5a9900c7fa2.doc Author: Kathy Bramwell Save Date: 29/10/2009 Page 5 of 5