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Legal Compliance Risk Summary - Download as DOC

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					                                         RMIT Register of Compliance Obligations – Governance, Administration and Services Category
The information contained in the table below has been compiled to assist university staff and functions in the areas of governance and administration of 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:

            Governance                                                                   Record keeping and archiving                                                   Facilities and Asset Management
            Corporate Administration                                                     Library and other services                                                     Retail Leases
            Financial Management                                                         Security                                                                       Environment

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                                                                              Academics, Teaching & Learning, Students and Research
           Staff and Workplace Relations


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
Governance               Academic Board        Chancellor            Royal Melbourne Institute of                                   Honorary recognition – Professors and honorary           Open Program:
                         University Council    Vice-Chancellor &     Technology Act 1992 (S)                                        degrees                                                  RMIT Governance
                         Elections             President             Corporations Act 2001 (F)                                      Visitors and delegations: protocol manual and visitors
                                               Ombuds                Administration Law Act 1978 (S)                                checklist
                         Meetings
                                               Resources Portfolio   Business Name Act 1962 (S)                                     Academic Board and Committees statutes and
                         University Seal
                                                                                                                                    regulations
                         Committees            Chancellery           Charter of Human Rights &
                                                                     Responsibilities Act 2006 (S)                                  Council, Chancellor and Deputy Chancellor Statutes
                         Portfolio Boards      University
                                               Secretariat           Occupational Health & Safety Act 2004                          Elections statute, regulation and guidelines
                         Subsidiary Entities
                                                                     (S)                                                            Legislative provision statutes
                         Honorary
                                                                                                                                    Guidelines for managing students’ personal
                         recognition
                                                                                                                                    information in agenda papers and minutes
                                                                                                                                    Guidelines for submitting papers to University
                                                                                                                                    committees
                                                                                                                                    Meetings and notice of meetings statute and regulation
                                                                                                                                    Policy on policies
                                                                                                                                    Policy development review procedure
                                                                                                                                    Portfolios and portfolio boards statute and regulation
                                                                                                                                    Statutory committees
                                                                                                                                    The seal of the university Statute 1.4
                                                                                                                                    Principal and senior officers statutes and regulations


Corporate                Organisational        Ombuds                Royal Melbourne Institute of                                   University holidays statute
Administration           Structure             Resources Portfolio   Technology Act 1992 (S)                                        Authorised staff members (Powers of Attorney)
                         Calendar:             Chancellery           Corporations Act 2001 (F)                                      Delegations policy and overview
                         University Holidays                         Ombudsman Act 1976 (F)
                                               University                                                                           Financial delegation of authority
                         Roles of Principal    Secretariat           Ombudsman Act 1973 (S)
                                                                                                                                                                                                        Document: 70addf44-a87a-46f2-ae39-612692e02dea.doc
                                                                                                                                                                                                                                      Author: Kathy Bramwell
                                                                                                                                                                                                                                       Save Date: 12/04/2011
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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
                  and Senior Officers   Legal Services          Administration Law Act 1978 (S)                                   Project management brief
                  Administration        Internal Audit & Risk   Business Name Act 1962 (S)                                        Organisation review guidelines
                  Complaints            Management              Freedom of Information Act 1982 (S)                               Vice-Chancellor’s office protocols
                  management                                    Legal Profession Act 2004 (S)                                     University and program surveys procedure
                  Legal Services                                Road Safety Act 1986 (S)
                  Policy & Strategic                            Surveillance Devices Act 1999 (S)
                  Planning
                                                                Whistleblowers Protection Act 2001 (S)
                  Annual Report
                                                                Trade Practices Act 1974(F)
                  Freedom of
                                                                Fair Trading Act 1999 (S)
                  Information
                                                                Charter of Human Rights and
                                                                Responsibilities Act 2006 (S)
                                                                Education & Training Reform Act
                                                                2006(S)
                                                                Environment Protection Act 1970 (S)
                                                                Financial Management Act 1994 (S)
Commercial                                                      Trade Practices Act 1974 (F)             Maintenance of           Competitive neutrality policy – RMIT compliance
activities and                                                  Competitive Neutrality Policy            competitive neutrality   Memorandum of understanding guidelines
fundraising                                                     AVCC Australian Universities             Unfair or anti-          Costin model for research and commercial projects
                                                                Philanthropy code of ethics              competitive activity
                                                                                                                                  Fees for third party program delivery, consulting and
                                                                                                                                  research and innovation projects procedure
                                                                                                                                  Statute 12.1 Administration of Trust and other property
                                                                                                                                  AVCC Australian Universities Philanthropy code of
                                                                                                                                  ethics
Financial         Budgets               Vice-Chancellor and     Corporations Act 2001 (F)                Budgeting                Finance forms                                             Open Program:
Management        Funds Management      President               Royal Melbourne Institute of             Financial Reporting      Internal order type and sub-class                         Establishing and managing budgets at RMIT
and               Financial             Resources Portfolio     Technology Act 1992 (S)                  Corporations             Cash float claim and reimbursement
procurement       obligations &         Chancellery             Education & Training Reform Act 2006     Responsibilities         Internal order creation
                  reporting             University              (S)                                      Fraud                    Non-trade non-student cheque banking guidelines
                  Corporation           Secretariat             Administration Law Act 1978 (S)          Financial Loss           Research internal order and invoicing procedures
                  obligations           Financial Services      Higher Education Support Act 2003 (F)    Tax calculations         Capital expenditure approval procedure
                  Insurance             Property Services       Financial Management Act 1994 (S)        Use of consultants       Engagement of contractors and consultants
                  Prevention of Fraud                           A New Tax System (Goods & Services       and contractors          introduction procedure
                  Taxation & GST                                Tax) Act 1999 (F)                        Financial record-        Corporate card policies and procedures
                  Payroll                                       Fringe Benefits Tax Assessment Act       keeping
                                                                                                                                  Impact of enrolment on student revenue and relating
                  Land/Property                                 1986 (F)                                 Financial reporting      invoicing
                  Transactions                                  Income Tax Assessment Act 1997 (F)       Tax recording and        Financial delegation of authority
                  Accounts Payable                              Superannuation Guarantee                 payment
                                                                                                                                  Statute 12.1 Administration of trust and other property
                  Accounts                                      (Administration)Act 1992 (F)             Staff expenses
                                                                                                                                  General or WorkCover insurance processes
                  Receivable                                    Penalty Interest Rates Act 1983 (S)
                                                                                                                                  Travel insurance
                  Procurement                                   Duties Act 2000 (S)
                                                                                                                                  Student accident insurance
                  Funds management                              Payroll Tax Act 2007 (S)
                                                                                                                                  Insurance claim procedure
                  Staff expenses                                Unclaimed Monies Act 1962 (S)
                                                                                                                                  Staff expenses and travel procedures
                                                                Retail Leases Act 2003 (S)
                                                                                                                                  Quotations and tender policy
                                                                                                                                  Procurement and fixed assets policy and procedures
                                                                                                                                  Application of probity plan and guidelines
                                                                                                                                  Students fees, charges and refund procedures
                                                                                                                                  Various taxation procedures, guidelines and fact
                                                                                                                                  sheets – GST, Fringe benefits tax, corporate cards,
                                                                                                                                  donations and bequests, payroll tax

                                                                                                                                                                                                       Document: 70addf44-a87a-46f2-ae39-612692e02dea.doc
                                                                                                                                                                                                                                     Author: Kathy Bramwell
                                                                                                                                                                                                                                      Save Date: 12/04/2011
RMIT University                                                                                                                                                                                                                                  Page 2 of 4
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
                                                                                                                                Grants, donations, gifts, sponsorships and
                                                                                                                                scholarships
                                                                                                                                Taxation and records of expenditure guidelines
                                                                                                                                Employment of works through agencies – payroll tax
                                                                                                                                policy
                                                                                                                                International issues – GST fact sheets
                                                                                                                                Non-deductible expenses and input tax credits – GST
                                                                                                                                fact sheet
Record-Keeping                        Chancellery             Health Records Act 2001(S)              Evidence of activities    Freedom of information applications – information for    Open Program:
and Archiving                         University              Information Privacy Act 2000 (S)        Unauthorised              staff                                                    Writing emails and business letters
                                      Secretariat             Public Records Act 1973 (S)             destruction or deletion   Records and document management policy
                                      People & Culture                                                of records                Control of documents procedure and guidelines
                                                              Freedom of Information Act 1982 (S)
                                      Property Services                                               Unauthorised removal      Corporate templates
                                                                                                      of records
                                      ITS                                                                                       Records destruction procedures and guidelines
                                                                                                      Inappropriate record-
                                      All Portfolios,                                                                           Guidelines for transfer of records to archives
                                                                                                      keeping – subject to
                                      Schools and Groups                                                                        Writing style guide
                                                                                                      FOI
                                                                                                                                Creation and maintenance of academic student files
                                                                                                                                Transferring records to an APROSS (approved public
                                                                                                                                record office storage supplier)
                                                                                                                                Accessing the RMIT archives collection
                                                                                                                                Academic student files policy
                                                                                                                                Death of a student procedure
Library and                                                                                                                     Library code of conduct
other services                                                                                                                  Library use by community individuals and alumni policy
                                                                                                                                Mail administration and services
                                                                                                                                Car parking policy
Complaints        Complaints          Portfolio Student       ESOS Act 2000 (F)                       Dissatisfied staff,       Freedom of information applications – information for
Management,       Management          Complaints Officers     Higher Education Support Act 2003 (F)   students or customers     staff
Grievance,        Student Appeals     Ombuds                  Ombudsman Act 1976 (F)                  Reputation                Ombuds policy and Review through RMIT Ombuds
Appeals and                           All Portfolio, School   Ombudsman Act 1973 (S)                  Loss of business          Staff grievance policy and procedure
                                      or Group Managers                                                                         Staff complaints procedure
Feedback                                                      Equal Employment Opportunity
Processes                                                     (Commonwealth Authorities) Act 1987                               Whistleblower procedure
                                                              (F)                                                               Student complaints policy and procedure
                                                              Equal Opportunity for Women in the                                Investigating high risk complaints – guidelines
                                                              Workplace Act 1999(F)
                                                                                                                                Student complaints committee conduct guidelines
                                                              Racial Discrimination Act 1975 (F)
                                                              Charter of Human Rights &
                                                              Responsibilities Act 2006 (S)
                                                              Equal Opportunity Act 1995(S)
                                                              Freedom of Information Act 1982 (S)
                                                              Whistleblower Protection Act 2001 (S)
Security          Surveillance        RMIT Security           Surveillance Devices Act 1999 (S)       Unauthorised              Safety and security on campus
                  Security Card /     All RMIT Buildings                                              surveillance              Closed circuit television policy
                  Keys Provision      and assets                                                      Property theft/damage     Keys and security passes
                                      All staff                                                       Unauthorised ingress      Theft prevention
Facilities and    Property/ Land      Property Services       Trade Practices Act 1974 (F)            Legionella                Objects on loan policy and procedure
Asset             Management and                              Australian Heritage Commission Act      Use of unlicensed         Signage guidelines
                  Maintenance                                 1975 (F)                                tradespersons or
Management                                                                                                                      Space allocation guidelines
                  Property/ Land                              National Greenhouse & Energy            builders

                                                                                                                                                                                                     Document: 70addf44-a87a-46f2-ae39-612692e02dea.doc
                                                                                                                                                                                                                                   Author: Kathy Bramwell
                                                                                                                                                                                                                                    Save Date: 12/04/2011
RMIT University                                                                                                                                                                                                                                Page 3 of 4
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
                  Major Projects,                           Reporting Act 2007 (F)                     Heritage protection
                  Refurbishment and                         Telecommunications Act 1997 (F) L
                  Building
                                                            Catchment & Land Protection Act 1994
                  Project                                   (S)
                  Management
                                                            Duties Act 2000 (S)
                  Property/ Land
                                                            Heritage Act 1995 (S)
                  Transactions
                                                            Planning & Environment Act 1987 (S)
                  Heritage protection
                                                            Project Development & Construction
                  Essential Services
                                                            Management Act 1994 (S)
                  Cooling Tower
                                                            Property Law Act 1958 (S)
                  maintenance
                                                            Essential Services Act (S)
                  RMIT Vehicles
                                                            Building Act 1993 (S)
                  Plant and
                  Equipment                                 Environment Protection Act 1970 (S)
                                                            Surveillance Devices Act 1999 (S)




Retail Leases     Retail Leases         Property Services   Retail Leases Act 2003 (S)                 Property Leasing
                  Liquor Licensing      Legal Services      Liquor Control Reform Act 1998 (S)         Liquor Control


Environment                             Property Services   Environment Protection Act (S)                                   Environment policy
                                                            National Greenhouse & Energy                                     Talloires Declaration
                                                            Reporting Act 2007 (F)                                           The Universities of Australia Ecological Development
                                                            Catchment & Land Protection Act 1994                             Charter
                                                            (S)
                                                            The Universities of Australia Ecological
                                                            Development Charter




                                                                                                                                                                                               Document: 70addf44-a87a-46f2-ae39-612692e02dea.doc
                                                                                                                                                                                                                             Author: Kathy Bramwell
                                                                                                                                                                                                                              Save Date: 12/04/2011
RMIT University                                                                                                                                                                                                                          Page 4 of 4