Non Compliance Agreement

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					State Acts relevant to RMIT
                                                                                                                                                                                                                                                                                     Compliance
                                                                                                                                                                                                                                                   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)
                                                                                                                                                                                                                                                                                       Rating




State Legislation
                                                                                                                                                                                                                                                                    Insured for
                                                                                                                                                                                                                                                   High number
                                                                                                                                                                                                                                                                  compensation
                        Make provision for effective occupational rehabilitation and return to work for injured     Payment of compensation to injured worker; Risk                                                                                  of people
                                                                                                                                                                                                                                                                    payments.
                        workers; to provide adequate and just compensation for injured workers;                     assessments not undertaken to identify and remove                                                                               potentially
* Accident                                                                                                                                                                   OHS hazard identification; return                                                     Potential for
                        establishment of WorkCover Authority. Part IV Payment of Compensation                       hazards (may result in fines); employment of                                                                                      involved,
Compensation Act                                                                                                                                                             to work processes; WorkCover        OHS; People & Culture                               increased          Moderate
                        (entitlements, calculations, claims management etc); Part VI Occupational                   employee with previous injury history; poor injury                                                                              procedures
1985 (S)                                                                                                                                                                     insurance premium calculations;                                                     premium & high
                        rehabilitation, return to work plans and risk management; Part VIII General, offences,      history increases WorkCover Premium calculations;                                                                               in place to
                                                                                                                                                                                                                                                                level of regulator
                        fraud,                                                                                      perception of RMIT as 'unsafe place of work'                                                                                       prevent
                                                                                                                                                                                                                                                                   scrutiny etc.
                                                                                                                                                                                                                                                     (possible)
                                                                                                                                                                                                                                                                   (moderate)




                        The Act relates to reviews that may be undertaken by various Tribunals of decisions         Risks are similar to all other Acts, particularly the
* Administration Law    made within RMIT under other legislation. Could involve breaches of duty of care, of        duty of care under other Acts - greatest risks perhaps                                       Chancellery; University
                                                                                                                                                                                                                                                                                            Low
Act 1978 (S)            breaches of duty etc. Relates to how the administration of other Acts or                    under OHS legislation. Risks involve administrative                                          Secretariat; Ombuds
                        responsibilities are undertaken within RMIT.                                                processes and financial risks?




                        Part 3 Building Permits: s.16 building permit required; s.17 application for building
                        permit must be made through a Municipal Building Surveyor or registered private
                        building surveyor; s.21 Occupancy permit required before use (where applicable);
                        s.25B Restrictions on owner-builder - if more than $12,000 project needs a certificate      Not obtaining a building permit, If building work over
                        of consent (from Building Practitioners Board) or must use a registered builder; s.29A      $12,000 and not using a registered builder; Not using                                                                          Low number
                        Demolition - Need a permit - may need Council consent under Planning &                      a registered building surveyor; Occupation of building infrastructure capital works or                                            of staff   Low financial
                                                                                                                                                                                                                 Property Services                                                          Low
                        Environment Act 1987 if more than half of the original building or facade involved.         prior to obtaining an occupancy permit; non-           planning;                                                                 involved  penalties (minor)
                        Part 4 Inspection of building work: s.33 Person in charge of work must notify relevant      compliance with directions resulting from a                                                                                     (unlikely)
                        building surveyor after completion of each mandatory stage; s.37 Must comply with           mandatory stage inspection.
                        directions as to work after inspections; Part 5 - Occupancy permits: s.39 If the building
                        permit requires an occupancy permit, the building must not be occupied until permit
                        has been issued; s.40 occupancy must be in accordance with the permit.

                        Part 5A Registration of cooling tower systems: s.75 cooling towers systems must be
                        registerd and renewed on an annual basis; s.75DCB If have multiple systems,
                                                                                                                    Public health and safety - contracting of disease from
                        registration renewal dates can be synchronised; s.75DF Commission must be notified                                                                                                                                                       Major health
                                                                                                                    cooling tower operations; poor maintenance
                        of changes in system or change in ownership; offence to provide false information.                                                                                                                                                     consequences,
                                                                                                                    processes; poor reporting and record-keeping
                        Part 5B Risk Mnagement plans for cooling tower systems: s.75EA RM plan must exist                                                                                                                                          Low number reputational and
                                                                                                                    processes; Not keeping records for 7 years; Not
* Building Act 1993 (S) at all times that the system is in operation; s.75EB RM plan must be reviewed at least                                                             Cooling tower planning, operation,                                         of staff   affects all of
                                                                                                                    undertaking a risk management plan and                                                    Property Services                                                             High
                        annually or more often in certain circumstances (e.g. if legionella detected twice in 12                                                           maintenance and reporting.                                                involved    RMIT staff,
                                                                                                                    implementing required actions, not reviewing risk
                        months); Service records must be kept for a minimum of 7 years. RM plan and                                                                                                                                                 (unlikely)  students and
                                                                                                                    management plan annually; not undertaking external
                        records must be kept at the building in which the system is located; RM plan must be                                                                                                                                                        visitors
                                                                                                                    audit of risk management plan; using internal auditor
                        audited by approved auditor annually and a prescribed certificate provided; An auditor                                                                                                                                                  (Outstanding)
                                                                                                                    for audit process.
                        cannot be an interested person or an employee of the interested party to avoid
                        conflicts of interest.
                        Part 7 Protection of adjoining property: s.84 Owner, where necessary, must serve on
                        the owner of the adjoining property and the relevant building survey a notice of the
                                                                                                                    Non servicing of protection order; Ignoring                                                                                    Low number
                        proposed works; s,88 work not to be carried out until protection requirements met;
                                                                                                                    objections; non-payment of relevant costs and            infrastructure capital works or                                          of staff   Low financial
                        s.89 exceptions exist for emergency protection works; s.97 Owner must pay to the                                                                                                         Property Services                                                          Low
                                                                                                                    expenses or compensation; non-allowance of               planning;                                                               involved  penalties (minor)
                        adjoining owner all costs and expenses necessarily incurred in assessing protection
                                                                                                                    relevant costs etc in budget stage.                                                                                             (unlikely)
                        work etc. s.98 Compensation may be paid to adjoining owner for inconvenience, loss
                        or damage suffered;
                                                                                                                Using non-registered plumbers or gas fitters;                                                                                                      Low financial
                                                                                                                                                                                                                                                   Low number
                        Part 12A Plumbing works: If compliance certificate is required, work only to be carried apprentice plumbers not taking out provisional                                                                                                    penalties, high
                                                                                                                                                                                                                                                      of staff
                        out by licensed or registered plumber or gasfitter. S221P provisional registrations     registration; not obtaining compliance certificate for       TAFE training of plumbers           TAFE; SIEBS;                                         safety                High
                                                                                                                                                                                                                                                     involved
                        available if training to be qualified;                                                  works (warranty or insurance implications if problem                                                                                              consequences
                                                                                                                                                                                                                                                    (unlikely)
                                                                                                                occurs);                                                                                                                                             (major)




                                                                                                                                                                                                                                                                         Document: f3705c5f-353b-49a5-90ec-ca7f94bef036.xls, State Acts
                                                                                                                                                                                                                                                                                                                  Print Date: 5/4/2011
                                                                                                                                                                                                                                                                                                                           Page 1 of 8
State Acts relevant to RMIT
                        s.5 Business name needs to be registered; s.12 changes of particulars relating to a           Failure to register a business name (may not be able
                        business name need to be reported (e.g. business address); s.13 duty to furnish               to use that name or incur penalties for use); Not
                        information upon request; s.15 documents requiring signature under this act should            trading under a registered name will result in                                                                                               Low number
Business Names Act      be signed by a director or secretary authorised to sign such documentation; Fees to           penalties; not displaying a business name may incur Strategic planning; corporate              Chancellery, University                          of staff   Low financial
                                                                                                                                                                                                                                                                                                             Low
1962 (S)                be in a timely fashion (within 21 if new registration or deemed not to have been              penalties. Unauthorised persons signing              administration                            Secretariat                                     involved  penalties (minor)
                        received); s.17 original documents need to be retained for 7 years; s.20 Business             documentation. Penalties: Infringement notices;                                                                                               (unlikely)
                        name needs to be included in all documents and clearly displayed on the outside of            Misleading information max $6805; Non-retention of
                        relevant business trading buildings;                                                          records max $3400.




                        Part 3 Duties of land owners: land and water protection; not cause damage to other
                                                                                                                                                                                                                                                                   Low number
* Catchment & Land      land; prevent growth of weeds; Part 4 – Catchment Planning: requirement for land
                                                                                                                      Non-compliance to notices served. Penalties apply.                                                                                              of staff   Low financial
Protection Act 1994     owners to comply with land use condition (penalties); Part 5 – owner may be served                                                                     Property or land maintenance          Property services                                                                       Low
                                                                                                                      $27,221                                                                                                                                        involved  penalties (minor)
(S)                     with a Land Management Notice if non-compliant. Part 8 – Noxious Weeds & Pest
                                                                                                                                                                                                                                                                    (unlikely)
                        Animals - duties if served with notice.




                        Obligations to take human rights (20 contained within the Charter) into consideration
                        when making decisions, developing policies and providing services. Now unlawful for                                                                                                                                                          All RMIT
                        an agency (includes staff within that agency) to act in a way that is incompatible with a     No penalties under the Act, but litigation under other                                                                                         involved,
Charter of Human
                        human right; or in making a decision to fail to give proper consideration to a relevant       statutes may also accommodate claims for rights                                                                          Specific training   high level of   No financial
Rights &                                                                                                                                                                                                             Legal Services; All
                        human right. This legislation is high level legislation, above all other state legislation,   infringements. Complaints can be made against          All processes within RMIT.                                        courses need to be      public    penalties, affects      Moderate
Responsibilities Act                                                                                                                                                                                                 Departments
                        so all other state legislation must also be interpreted and acted upon in a manner            RMIT that would require investigation. Non-                                                                              developed for this. awareness all RMIT (minor)
2006 (S)
                        compatible with this Charter. Rights include the right to equality before the law, right      compliance may result in image risks.                                                                                                           of rights
                        to freedom of expression and movement, right to privacy, right to freedom of religion                                                                                                                                                       (possible)
                        and property rights, plus others.

                        Part 1 Offences: Division 1-Offences against the person: homicide, treason, sexual            Possession of child pornography; theft, fraud,
                        offences, kidnapping, bigamy, abortion by unqualified person, child pornography               obtaining financial advantage by deception, false
                        (production or possession). Division 1A - Piracy. Division 2 - Theft & similar or             accounting, falsification of documents. Computer
                                                                                                                                                                                                                                                                    Any area or    Potentially high
                        associated offences: Theft, robbery, burglary, fraud & blackmail. S.84 Liability of           offences. Destruction of evidence. False statements
                                                                                                                                                                                                                                                                        staff         penalties,
                        senior officers for certain offences by a company; S.85 false statements by Company           by company directors. Liability of senior company
Crimes Act 1958 (S)                                                                                                                                                        All staff and processes                   All departments                                  member       dependent upon
                        Directors; S.82 obtaining financial advantage by deception; S.83 false accounting;            officers if body corporate commits offences of s.81
                                                                                                                                                                                                                                                                     potentially      section -
                        S.83A falsification of documents. Division 3 - Criminal damage to property: general,          Obtaining property by deception; s.82 obtaining
                                                                                                                                                                                                                                                                      involved      imprisonment
                        rioters, forcible entry, computer offences. Division 4 - contamination of goods.              financial advantage by deception; s.83 false
                        Division 5 - destruction of evidence. Division 6 - perjury. Division 7 - Unlawful oaths.      accounting - if committed with consent or connivance
                        Division 8 - explosives. Division 9 - driving offences.                                       etc; or in default of adequate management.
                                                                                                                      Not keeping relevant information at licensed
                        Part 2 Inspectors and Enforcement; Div 3 Powers relating to entry of vehicles and                                                                                                                                                                          High financial
                                                                                                                      premises as required; non-reporting of accidents;        Research or teaching using            People & Culture                              Low number
                        other places; Part III Licenses; Part IV Information on dangerous goods at licensed                                                                                                                                                                        penalties, high
* Dangerous Goods                                                                                                     non-compliance with codes of practice or regulations.    dangerous goods; transport of         (OHS); Property                                  of staff
                        premises; Part V Accidents and Security: reportable accidents; Part VI Provisions                                                                                                                                                                              safety                High
Act 1985 (S)                                                                                                          Penalties: Injunctions, notices, prosecutions, license   dangerous goods; storage of           Services; Research                              involved
                        relating to explosives and liquefied gases; Part VII Proceedings and enforcement;                                                                                                                                                                          consequences
                                                                                                                      suspensions, financial: Max $283,550 RMIT                dangerous goods                       schools                                        (unlikely)
                        Part VIII Regulations, Codes of Practice, Undertakings and advice on compliance.                                                                                                                                                                              (major)
                                                                                                                      $$56,710 individual.
                      Part II poisons and controlled substances: poisons code, list, requirements for
Drugs, Poisons &
                      labelling; Div 2 - authorised persons, chinese medicine; Div 4 - licensing; Div 8 -
Controlled Substances
                      manufacture & sale; Div 10 - drugs of dependence (sched 8, 9, 4 poisons; record
Act 1981 (S)
                      keeping); Part IV Deleterious (meths) substances, volatile substances.

                        Part 2 - Transactions concerning dutiable property; Need to notify Commissioner re
                                                                                                                      Failure to notify the commissioner of a change in
                        transactions; Part 5: exemptions - (transfers between superannuation funds,                                                                            Property sales or acquisitions;                                                     Low number
                                                                                                                      circumstances (penalties and any unpaid duty at
                        payments to beneficiaries) Part 6 - Tax Avoidance Schemes; Chapter 3 Certain                                                                           land sales or acquisitions; motor     Financial Services,                              of staff   Low financial
Duties Act 2000 (S)                                                                                                   25% of the amount of duty in question); Submitting                                                                                                                                     Low
                        transactions treated as Transfers: Unit Trust schemes; Shares; Hire of goods;                                                                          vehicles sales or acquisitions.       Property Services                               involved  penalties (minor)
                                                                                                                      misleading information (penalty of double the amount
                        Chapter 8 - Insurance duty; Chapter 9 Motor Vehicle duty, including duty on change of                                                                  Financial investments                                                                (unlikely)
                                                                                                                      of duty payable).
                        use;

                        Vocational Education & Training Act repealed and re-enforced under this Act.
                        Compliance to performance agreements with the Victorian Skills Commission
                        regarding the delivery of education in TAFE; makes funding payments to TAFE in
                        respect of performance agreements; Funding record-keeping requirements; 3.1.9
                        Delegation can be made to RMIT Board and further sub-delegations can be made;
                        3.1.13 Functions of TAFE Boards; 3.1.23 Board must appoint a CEO of the TAFE
                        Institute;
                                                                                                                      Funding provision to TAFE; non-compliance to
                                                                                                                      performance agreement requirements; poor financial
                                                                                                                      record-keeping with regard to funding; non-
                                                                                                                      compliance with delegations or sub-delegations
                                                                                                                      under the Act; Non appointment of CEO to TAFE            Provision of education in TAFE;
                                                                                                                      Institution; Processes not in place to allow students    Curriculum; Compilation and
                                                                                                                      to decline membership of a student organisation or       compliance to performance                                                                                  Document: f3705c5f-353b-49a5-90ec-ca7f94bef036.xls, State Acts
                                                                                                                      to prevent discrimination against such students;         agreements; Registration                                                            High number                                                     Print Date: 5/4/2011
                                                                                                                      Student fees or charges spent inappropriately; No        administration of TAFE & HE           Financial Services,                              of staff      Moderate                                                Page 2 of 8
Education & Training                                                                                                  financial statements about fees and charges in           Provider status, course               Chancellery, University                         involved, financial impact -
                                                                                                                                                                                                                                                                                                             High
Reform Act 2006 (S)                                                                                                   Annual Report; Non-compliance to registration            accreditation, provision of courses   Secretariat, Academic                         complexity of affects a lot of
                                                                                                                      requirements for providers; Not applying to renew        to overseas students;                 Portfolio                                      provisions    RMIT (major)
State Acts relevant to RMIT                                                                                         Funding provision to TAFE; non-compliance to
                        Part 3.2 Higher Education: 3.2.3 Must include provision to enable students to decline       performance agreement requirements; poor financial
                        automatic membership of a student organisation; 3.2.4 Must not exclude or                   record-keeping with regard to funding; non-
                        discriminate against a student declining to join a student organisation; 3.2.5              compliance with delegations or sub-delegations
                        Limitations of how student fees can be spent; 3.2.7 Offence to coerce another person        under the Act; Non appointment of CEO to TAFE              Provision of education in TAFE;
                        to become a member of a student organisation (penalty $1134.20); 3.2.8 Annual               Institution; Processes not in place to allow students      Curriculum; Compilation and
                        report must include a statement about compulsory fees, subscriptions and charges;           to decline membership of a student organisation or         compliance to performance
                                                                                                                    to prevent discrimination against such students;           agreements; Registration                                        High number
                        Chapter 4: Victorian Registration & Qualifications Authority (VRQA): 4.3.14 VET             Student fees or charges spent inappropriately; No          administration of TAFE & HE           Financial Services,          of staff      Moderate
Education & Training    providers and courses to be registered on National Register; 4.3.17 Substantial             financial statements about fees and charges in             Provider status, course               Chancellery, University     involved, financial impact -
                                                                                                                                                                                                                                                                                       High
Reform Act 2006 (S)     changes in control, operation or management need to be reported; 4.3.18                     Annual Report; Non-compliance to registration              accreditation, provision of courses   Secretariat, Academic     complexity of affects a lot of
                        Registration for term of 5 years and must be renewed before expiration; Division 5 -        requirements for providers; Not applying to renew          to overseas students;                 Portfolio                  provisions    RMIT (major)
                        Higher Education: 4.3.30 Approval of Universities (5 years); 4.3.33 Authorisation to        registration prior to expiry date (within 5 years); Loss   Development of Apprentice                                        (possible)
                        conduct HE courses; Division 5: Accreditation and Qualifications; Part 4.5 Overseas         of approval to provide courses for overseas students;      training plans; Administration of
                        Students : 4.5.1 approval to provide courses for overseas students; Part 4.6 State          Loss of registration status as provider; Breach of duty    practical placement for work
                        Register of accredited courses and qualifications;                                          of care with regard to workplace learning; No              experience or training;
                                                                                                                    agreement with regard to workplace learning
                        Part 4.7 Offences: Unlawfully using the term 'registered provider' or providing             (practical placement); Apprentice's training plan not
                        unregistered courses (penalty: person $6805.20 - company $34026); Falsely claim             signed correctly; Apprentice's training plan not
                        providing accredited courses (same penalties). Part 5.4 Workplace Learning -                registered.
                        Division 2 - Practical placement 5.4.14 post secondary students of TAFE may be
                        placed for practical placement for work experience or training, must have an
                        agreement; 5.4.16 remunerations; 5.4.18 duty of care to students. Part 5.5
                        Apprentices: 5.5.2 training schemes; 5.5.13 Apprentice's training plan to be signed by
                        the employer; apprentice and training provider - copy of the training plan to be lodged
                        with the Commission within 3 months after the date of commencement of the
                        contract.
                                                                                                                                                                                                                                               Low number
                        Division 1: Registration of electrical contractors; Division 2: Apprentices deemed to be
Electrical Safety Act                                                                                                 Offences may incur proceedings, provision of false       Electrical apprentices; Use of        Property services;           of staff Low and unlikely
                        licensed (licensing of electrical workers); Division 3: Electrical installation work; Part 4:                                                                                                                                                                  Low
1998 (S)                                                                                                              information 200 penalty units ($11,342)                  electrical contractors                TAFE                        involved  penalties (minor)
                        Electrical equipment;
                                                                                                                                                                                                                                                (unlikely)
                        s. 1G Principal of shared responsibility, provision of goods or services whilst reducing
                        impact on environment; s.1I Principles of wastes hierarchy: avoidance; re-use; re-
                        cycling; recovery of energy; treatment, containment and disposal. RMIT must comply
                        with any directions regarding neighbourhood environment improvements, waste
                        reduction or works licence requirement provided by the Authority. s.38 discharges into
                        water must comply with state environment protection or waste management policy;                                                                                                                                        Low number
                        d.39 must not pollute waters; s.40 discharges into the air must comply with state                                                                                                                                          of staff
                                                                                                                         Penalties 60 penalty units $6805.20) for various
                        environmental protection or waste management policies; s.41 must not pollute the air pollution offences; 40 penalty points ($4536.80) for                                                                              involved for
                                                                                                                                                                                   Use of RMIT owned vehicles;
                        or make it noxious or offensive to humans; s.42 must not construct a vehicle that                                                                                                             Property services;        emissions.
* Environment                                                                                                             major littering offences; 60 points ($6805) for          emissions of discharges from
                        would emit any non-compliant matter; s.43A must not own a vehicle with non-                                                                                                                   Student services/          All staff & Low financial
Protection Act 1970                                                                                                      aggravated littering (or 1 month imprisonment);         buildings; marketing; leaflet drops                                                               Moderate
                        Part VII Control of solid wastes and the pollution of land; Part Viii Litter or material that                                                                                                   organisations;            students penalties. (minor)
(S)                                                                                                                   Emissions, non-compliance with Authority directions; by student organisations; noise
                        may become litter (including on private land); s.45 littering from a car or public                                                                                                           marketing/ advertising      potentially
                                                                                                                      discharge into water, air or onto land; littering, putting    from entertainment venues;
                        transport; s.45M advertising material not to be put into letterboxes stating "no junk                                                                                                                                   involved re
                                                                                                                                          leaflets onto cars
                        mail" (penalty 10 units $1134,20); s.45N must not leave leaflets on cars without                                                                                                                                           littering
                        consent; s.45O posters must not be displayed on fixed structure without consent of                                                                                                                                       (possible)
                        owner; s.45P advertising material must include name of distributor; s.45T offence to
                        set fire to litter bins; Vehicles/trailers must be covered'; s.46 noise emissions must be
                        within acceptable conditions under state policy; (includes unacceptable noise);
                        s.48AB noise from entertainment venues; Division 1A Sustainability Covenants; Part
                        IXC Regulations of waste emitting products;

                                                                                                                    Offences: Discriminatory advertising (20 points            Staff selection and recruitment;
                      Prohibited direct or indirect discrimination; Part 3, Div 1 Discrimination in employment;                                                                                                                                               Affects all of
                                                                                                                    $$2268); non-compliance or false information to            student enrolment processes; day-     People and Culture;
                      Div 2 Discrimination in employment-related areas; Div 3 Discrimination in education;                                                                                                                                                     RMIT. Low
                                                                                                                    investigation; Acting in a discriminatory manner;          to-day interaction within RMIT;       Academic; Property
                      Div 4 Discrimination in the provision of goods and services and disposal of land; Div 5                                                                                                                                    All RMIT       financial
Equal Opportunity Act                                                                                               imposes a condition that someone may who may not           promotional opportunities; Selling    Services; Chancellery;
                      Discrimination in accommodation; Part 5 Prohibition of Sexual Harassment; Part 6                                                                                                                                           involved.    penalties but        Moderate
1995 (S)                                                                                                            able to comply with may be discriminated against           of property or land; welfare of       International Services;
                      Other discrimination and vicarious liability; Div 1 Victimisation; Div 2 Authorising or                                                                                                                                   (possible)    proceedings
                                                                                                                    (indirect discrimination); sexual harassment;              whistleblower; provision of           All schools, portfolios
                      Assisting Discrimination; Div 3 Discriminatory requests for information; Div 4 Vicarious                                                                                                                                                  possible.
                                                                                                                    authorising or assisting discrimination by another         accommodation assistance to           or departments.
                      Liability; Part 7 complaints and resolutions; Part 8 Investigations;                                                                                                                                                                     (moderate)
                                                                                                                    person; Proceedings may be brought.                        under age 18 overseas students;


                      Final provisions introduced on 1.1.2010. Part 2.2 Documents: s.48(d) can produce
                      downloaded copies of electronic documents. S.51 - original rule abolished - The
                      Principles and rules of the common law that relate to the means of proving the
                                                                                                                    Requirement for electronic document processes to
                      contents of documents are abolished. (relates to adducing evidence). s.156 Public
                                                                                                                    be sufficiently robust to allow for use of electronic
Evidence Act 2008 (S) Documents - (2) If an officer entrusted with the custody of a public document, it is                                                                     Electronic records management         Chancellery
                                                                                                                    documents - this needs to be clarified and checked
                      sufficient compliance with the requirement for the officer to produce a copy of, or
                                                                                                                    relating to RMIT processes.
                      extract from, the public document if it purports to be signed and certified by the officer
                      as a true copy or extract. Division 1 - Client legal privilege re evidence to be
                      produced. s.118 Legal privilege: reinforced in this section.




                                                                                                                                                                                                                                                                    Document: f3705c5f-353b-49a5-90ec-ca7f94bef036.xls, State Acts
                                                                                                                                                                                                                                                                                                             Print Date: 5/4/2011
                                                                                                                                                                                                                                                                                                                      Page 3 of 8
State Acts relevant to RMIT
                                                                                                                                                                                                              People and Culture,
                                                                                                                                                                                                              Academic, Academic
                                                                                                                  Misleading advertising, Unfair terms of trade (in
                                                                                                                                                                             Staff recruitment and selection, Registrar, Policy &
                                                                                                                  favour of RMIT)- penalties - reputational risk.                                                                         Moderate
                        Part 2 – Unfair Practices: Unconscionable conduct; Misleading or deceptive conduct;                                                                  student registration, marketing, Planning, University
                                                                                                                  Penalties: adverse publicity orders; undertakings;                                                                      number of     High financial
* Fair Trading Act      False representation, bait advertising; referral selling, pyramid selling, harassment                                                                contract development, fees and   Secretariat, Property
                                                                                                                  injunctions; code of practice breach: $2268;                                                                               staff        penalties.             High
1999 (S)                and coercion; unsolicited goods; Part 2A implied warranties or conditions; Part 2B                                                                   pricing of services, RMIT        Services, Financial
                                                                                                                  misleading information: $68,000 individual $$136k;                                                                       involved        (major)
                        unfair terms in consumer contracts; Part 4 Division 2 – Contract Sales Agreements                                                                    commercial subsidiaries; payment Services, Legal
                                                                                                                  Non-compliance with court order: $27220 individual;                                                                     (possible)
                                                                                                                                                                             of visiting academics;           Services, TAFE,
                                                                                                                  $68k RMIT; costs/damages.
                                                                                                                                                                                                              International Services,
                                                                                                                                                                                                              Student services

                    Purpose: to improve financial administration of the public sector. To make better
                    provision for the accountability of the public sector. To provide for annual reporting to
                    the parliament by public sector. Part 7 – Accountability & Reporting: Must appoint
* Financial                                                                                                       Not appointing staff to do certain duties; non-                                                                         Moderate
                    staff to do certain financial roles; must keep records in prescribed manner; must                                                                        Accounts payable, accounts
Management Act 1994                                                                                               provision of financial information when required; not                                           Financial Services,     number of
                    provide financial information when required; s.44b must maintain a register of assets                                                                    receivable, financial                                                      Low penalties
(S)                                                                                                               completing annual financial report within specified                                             Chancellery - Not          staff                           Moderate
                    and develop risk management strategy; s.45 Annual financial statements and report                                                                        administration, financial reporting,                                          (minor)
Under revew -                                                                                                     time or prescribed format. Penalties: Compensation                                              controlled entities      involved
                    to be prepared and submit report to Auditor-General within 8 weeks of the end of the                                                                     preparation of annual report
Finance Bill Update                                                                                               for loss or damage from negligent actions                                                                               (possible)
                    financial year.s.48 and 49 provide details of required content of reports; s.53 Minister
                    may require financial reports to be included in Annual reports as well as or instead of
                    stand-alone financial reports.

                                                                                                                                                                                                                                                     Large number of
                                                                                                                                                                                                                                                      staff & students
                        Part II Offences relating to food: unsafe food handling, knowingly selling unsafe food;                                                                                                                          Low number      potentially
                                                                                                                Public or staff health; Reputational risk. Penalties:        Anything relating to the
                        misleading conduct relating to food; Part III Cleanliness of food premises; Part IIIA                                                                                                    Canteens, sausage          of staff   affected, high
Food Act 1984 (S)                                                                                               Handling or sale of unsafe food, misleading                  preparation of food; canteens;                                                                      High
                        cleanliness of food handlers; Part IIIB Food safety programs; Part VI Registration of                                                                                                    sizzles                   involved         health
                                                                                                                conduct/information: $40k individual; $200k RMIT             hospitality courses (if any);
                        food premises;                                                                                                                                                                                                    (unlikely)   consequence,
                                                                                                                                                                                                                                                       high financial
                                                                                                                                                                                                                                                     penalties (major)

                                                                                                                  Non-provision of available documentation; Deliberate
                                                                                                                  delaying tactics in provision of information; provision                                        Legal
                        Part II Publication of certain documents and information; s.11 Statement of certain                                                                                                                              Low number
* Freedom Of                                                                                                      of misleading information; poor record-keeping           FOI request processing; Records       services;Chancellery;
                        documents in possession of agencies to be published; Part III Access to documents;                                                                                                                                  of staff    Low penalties
Information Act 1982                                                                                              resulting in non-availability of documents or difficulty management by all staff and           all other departments                                           Low
                        Part IV Exempt Documents; Part V Amendment of personal records; Part VI Review                                                                                                                                     involved        (minor)
(S)                                                                                                               in conducting searches; withholding information from departments                               may be subject to FOI
                        of decisions; Non-                                                                                                                                                                                                (unlikely)
                                                                                                                  FOI officers; inappropriate comments written on                                                requests
                                                                                                                  documentation subject to FOI processes;
                        Part IV - Management & control of infectious diseases: test authorisations;
Health Act 1958 (S)     counselling; tests and test results; confidentiality - HIV tests: information to be                                                                  Provision of health services        Students Portfolio
                        provided, privacy. Disease notification
Public Health &
Wellbeing Bill 2009
                        Review of Health Act 1958 (S)
(review of Health Act
2009)
                                                                                                                  Student not being able to partake in clinical training
                                                                                                                  as part of course of study if not registered; obligation
                        S.8 Can register as a student health practitioner to enable a student to undertake or                                                                                                                            Low number
Health Professions                                                                                                on RMIT to ensure students aware of requirements.                                                                                  Moderate to high
                        complete any period of clinical training as part of a course of study. Applies to nurses,                                                          Provision of health services                                     of staff
Registration Act 2005                                                                                             Penalties: False registration $6805; Misleading use                                            School of nursing                   financial impact        Moderate
                        midwifes, optometrists, podiatrists, Chinese medicine practitioners, pharmacists,                                                                  training to students                                            involved
(S)                                                                                                               of titles in Uni $6805; Fraud $13610 or 1 yr prison;                                                                                  (moderate)
                        acupuncturists.                                                                                                                                                                                                   (unlikely)
                                                                                                                  Inciting unprofessional conduct $27221 individual
                                                                                                                  $136k RMIT.

                                                                                                                  Failure to keep records for 7 years; failure to
                                                                                                                  implement a regime for the responsible collection,
                                                                                                                                                                             Employee records, medical                                                   Usually low
                        Majority of Act: Protection of health information of staff and students - privacy of      storage, holding and disclosure of health related                                                                       Moderate
                                                                                                                                                                             records; return-to-work/                                                  penalties. VCAT
                        information; keep health related records for minimum of 7 years (even after death);       information, inappropriate disclosure of health related                                                                 number of
* Health Records Act                                                                                                                                                         rehabilitation programs; first aid  People & Culture,                     can impose high
                        Establishment of a regime for the responsible collection, storage, holding and            information; collection, use or disclosure of sensitive                                                                    staff                           Moderate
2001 (S)                                                                                                                                                                     records; medical records obtained Chancellery                              compensation
                        disclosure of health related information. Compliance with the HPPs. Need to               health information without obtaining consent. Not                                                                        involved
                                                                                                                                                                             from students; disability or mental                                            payout
                        implement process for access to own personal health information.                          providing similar protection to staff records as well as                                                                (possible)
                                                                                                                                                                             health records in particular                                                (moderate)
                                                                                                                  student records. Penalties: VCAT can impose up to
                                                                                                                  $100k compensation.




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State Acts relevant to RMIT
                        Part 3 Division 5 – Registration; s.50 Application for a certificate of registration; s.52
                        Must provide notification of sale of registered place/object within 28 days of contract;
                        New owner must notify of change of ownership within 28 days of settlement; Must
                        notify of any change in ownership details within 28 days of occurrence; s.54 removal
                                                                                                                      Works conducted without permit (penalties up to
                        from register; Part 3 Division 6 – Interim Protection Order: s.55 If dangerous
                                                                                                                      $500,000); Non-notification of ownership changes                                                                                              Low
                        condition, orders for demolition under the Building Act/Regulations take priority;
                                                                                                                      within prescribed time; Non display of interim                                                                           Large penalties   numbers of
* Heritage Act 1995     Interim orders may be served; s.59 Interim Order must be publicly displayed on the                                                                     Property maintenance; asset                                                                    High financial
                                                                                                                      protection orders or permit applications for                                                   Property Services         apply - up to        staff                                   High
(S)                     place continuously while the order is in place. Part 4 Division 1 – Permits &                                                                          capital works                                                                                 penalties (major)
                                                                                                                      prescribed time and in prescribed manner; Loss of                                                                        $544,416           involved
                        Covenants: s.64 Prohibited activities include: removal, damage, alteration or
                                                                                                                      opportunity - not applying for available conservation                                                                                       (unlikely)
                        excavation of all or part;s.67 application for permits to conduct works; s.68 permit
                                                                                                                      grants.
                        application to be public displayed; s.86 owner may enter into Covenant (needs
                        approval) with National Trust for maintenance etc; Part 7 – Heritage Fund -
                        assistance grants may be available for conservation works; Part 8 – Enforcement &
                        Legal Proceedings
                                                                                                                                                                                                                                                                  Extremely
                        S.39 Unauthorised buying of tissue prohibited (penalty: 100 penalty units [$11342]                                                                                                                                                       low number
Human Tissue Act                                                                                                      Unauthorised purchase of human tissue or                                                                                                                    Low penalties
                        and/or 6 months prison); S.39A recovery of cost of tissue banks (permissibly to buy                                                                    Research utilising human tissue       Research Schools                               of staff                                Low
1982 (S)                                                                                                              advertising of purchase.                                                                                                                                       (minor)
                        from legitimate tissue bank).                                                                                                                                                                                                              involved
                                                                                                                                                                                                                                                                     (rare)
                                                                                                                      Non-compliance with IPPs; inadvertent disclosure of
                                                                                                                      personal information; Information could include a        All processes within RMIT; student
                        Majority of Act: Protection of recorded personal information relating to staff, students                                                                                                                                                               Affects all staff,
                                                                                                                      range of personal information for staff or students;     services; student enrolment;
                        or public; Need to establish a regime for the responsible collection, use, disclosure                                                                                                                                                                   students and
                                                                                                                      disclosure or sale of databases containing personal      administration of information         Chancellery, University                     High number
                        and protection of recorded personal information; need to provide process for access                                                                                                                                                                   public. Potential
* Information Privacy                                                                                                 information; non-use of privacy collection statements    databases (e.g. student               Secretariat (Privacy                           of staff
                        to individual's own personal information and correction of incorrect personal                                                                                                                                                                        for high penalties         Very High
Act 2000 (S)                                                                                                          (i.e. not notifying individuals at point of collection   information or staff information);    Officer), all                                 involved
                        information; Compliance with the IPPs. Need to implement process where individual                                                                                                                                                                    if through VCAT.
                                                                                                                      what RMIT is going to do with the information and        lecturers with student information;   departments                                    (likely)
                        is informed of potential use and disclosure of information at the point of collection (i.e.                                                                                                                                                          High reputational
                                                                                                                      who is might be disclosed to); Confirmation of           qualifications and graduation
                        use of privacy statements)                                                                                                                                                                                                                               risk. (major)
                                                                                                                      information is the same as disclosure. Penalties:        processes;
                                                                                                                      VCAT can order up to $100k compensation
                                                                                                                                                                                                                                                                   Very low
                                                                                                                      Not serving infringement notices (loss of income);                                                                                                           Low financial
                                                                                                                                                                                                                                                                  number of
Infringements Act       Part 2: Servicing and withdrawal of infringement notices, penalty reminder notices.           service inaccurate infringement notices (appeals -                                             Property services,                                          penalties, affects
                                                                                                                                                                               Authorised officers                                                                   staff                                  Low
2006 (S)                Part 4: loading infringement penalties and enforcement orders.                                loss of income); fraudulent infringement notices.                                              security                                                       few people
                                                                                                                                                                                                                                                                   involved
                                                                                                                      Penalty for false information $1134                                                                                                                             (minor)
                                                                                                                                                                                                                                                                  (Unlikely)
                                                                                                                                                                                                                                                                   Very low
                                                                                                                                                                                                                                                                  number of
Legal Profession Act    Requirements for engaging in legal practice; Maintaining currency of practising               Legal practitioners not eligible to renew or continue                                          Legal Services; School                                       Low penalties
                                                                                                                                                                               Legal Services; Law lecturers                                                         staff                                  Low
2004 (S)                certificates                                                                                  registration                                                                                   of Law                                                          (minor)
                                                                                                                                                                                                                                                                   involved
                                                                                                                                                                                                                                                                  (Unlikely)
                                                                                                            Need to establish whether RMIT are licensees or
                                                                                                            permittees of any licensed premises or just
                                                                                                            landlords. If just landlords risks are limited to                                                                                                      Very little
                      Part 2 - Categories of Licences & Permits Part 7 - Obligations of Licensees, Owners &                                                                                                                                                                      No penalties on
Liquor Control Reform                                                                                       notification of ownership changes. Other risks to do Contract management of retail                                                                       staff
                      Mortgagees: Must notify of ownership changes; Part 8 - General Offences &                                                                                                                      Property Services                                            mortgagees.               Low
Act 1998 (S)                                                                                                with the availability of alcohol in premises (risk to premises owned by RMIT                                                                         involvement
                      Enforcement                                                                                                                                                                                                                                                    (minor)
                                                                                                            staff; risk of damage to property) are not compliance                                                                                                   (rare)
                                                                                                            risks. Penalties relate to licensees, permittees and
                                                                                                            patrons.

                      S.21 - Duties of Employers to Employees: Obligation upon employers to provide a
                      work environment that is safe and without risks to health; maintenance of plant &
                      equipment; handling or storage of substances; provide adequate facilities for the
                      welfare of employees; provision of information and conducting of consultation.           Exposure to heavy financial penalties - up to $1m.
                                                                                                               Non-provision of safe working environment; non-
                      Provision of a safe environment also for all contractors; students, visitors, or any other
                      person in the work place. Establishment of process to assist in the provision of a safe  monitoring of welfare of staff; non-establishment of
                      workplace. Monitor the health of employees; maintain adequate records and relevant       adequate processes to ensure compliance; non-                                                                                                                        Affects all of
                      documentation. S,28 duties of designers of buildings or structures to include safety     consultation with staff; non-provision of processes                                                   People & Culture                                            RMIT, Very high
                      aspects. Duty to ninform employees etc of their duty of care under the Act. Part 4 -     and facilities to comply with requirements for HSRs,                                                  (OHS), Property                                All staff         financial
* Occupational Health                                                                                                                                                  All RMIT processes and
                      duty to consult: Part 5: Duties relating to incidents, notifiable incidents s.39 duty to safety committees, training etc. Non-display of HSR                                                   Services, Chancellery,                        involved       penalties, very       Very High
& Safety Act 2004 (S)                                                                                                                                                  departments.
                      preserve incident sites; Part 6 Licensing or permit requirements, for premises, plant or listings; ignoring safety issues; ignoring PIN notices;                                               University Secretary,                          (likely)        high safety
                      persons (i.e. qualifications or permits);                                                non-notification of notifiable incidents; non-                                                        Board, All departments                                       consequences
                                                                                                               cooperation with inspectors. Coercion of workgroups                                                                                                                 (outstanding)
                        Part 7 Employee representations - HSRs, Designated Work Groups. Provision of           or HSRs. Max Penalties: Employees $204k;
                        training to HSRs and to other staff; must keep a list of HSRs and display at           Managers not providing safe workplace $204k; RMIT
                        workplaces; Establishment of Health & Safety Committees; Requirements relating to not providing safe workplace $1m+
                        the resolution of health & safety issues; s.74 directions to cease work (PIN notices);
                        WorkCover Inspections; Prohibition on discrimination on employees; Part 8 - Entry by
                        union representatives; Part 9 Inspectors and enforcement




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State Acts relevant to RMIT


                                                                                                                    Processes or record-keeping inefficient resulting in
                   Participation in complaint investigations. Ombudsman can investigate complaints
                                                                                                                    complaints; non-compliance to Whistleblowers or                                                                 Very low
                   about processes and how RMIT conducts its business. Ombudsman can also initiate                                                                         All RMIT processes. Departments
                                                                                                                    Human Rights legislation resulting in complaints; non-                                                         number of
Ombudsman Act 1973 investigations into matters he/she considers to be in the public interest. Ombudsman                                                                    that would be involved in                                            Low penalties
                                                                                                                    compliance with recommendations or directions                                          Ombuds.                    staff                              Low
(S)                also responsible for complaints relating to the Whistleblowers Protection Act 2001                                                                      Ombudsman complaint                                                     (minor)
                                                                                                                    received from the Ombudsman may result in                                                                       involved
                   and the Charter of Human Rights and Responsibilities Act 2007. Complaints may                                                                           investigations.
                                                                                                                    injunctions or penalties; failure to provide adequate                                                          (Unlikely)
                   also be investigated relating to poor complaints management processes.
                                                                                                                    information or non-cooperation with investigations.



                                                                                                                    Failure to keep employment and payment records                                                                Low number
Payroll Tax Act 2007     Part 2: Imposition of payroll tax; Part 3 Wages and fringe benefits; Superannuation;       necessary to determine employee payroll tax liability                                                            of staff   Low penalties
                                                                                                                                                                          Payroll                            People & Culture                                            Low
(S)                      termination payments; allowances, contractor provisions,                                   for five years; failure to calculate payroll tax from                                                           involved       (minor)
                                                                                                                    wages                                                                                                          (unlikely)



                                                                                                                                                                                                                                  Low number
Penalty Interest Rates                                                                                              Failure to pay debts within 30 days may incur penalty                                                            of staff   Low penalties
                       Interest on unpaid debts, actions for debts; solicitors' costs; judgements.                                                                        Accounts payable                   Financial Services                                          Low
Act 1983 (S)                                                                                                        interest for late payments                                                                                      involved       (minor)
                                                                                                                                                                                                                                   (unlikely)




                                                                                                                    Non-compliance to permit process, non-compliance                                                              Low number
* Planning &
                     Part 4 - Planning Permit applications and obligations during the permit process; Part          to prescribed advertising requirements, objections to                                                            of staff   Low penalties
Environment Act 1987                                                                                                                                                      Property building or reconstruction Property Services                                          Low
                     4A Application for Certificates of Compliance;                                                 planned building projects. Penalties: Enforcement or                                                            involved       (minor)
(S)
                                                                                                                    restoration orders                                                                                             (unlikely)



                         Part 2: Division 1 Protection of Animals; Cruelty, aggravated cruelty; breeding of
                         animals with heritable defects. Part 2A Enforcement: Power to seize animals, power
                                                                                                                    Unnecessary pain to animals used for scientific
                         to search; liability for costs. Part 3 Scientific Procedures: Licence requirements
                                                                                                                    purposes; unlicensed work or breeding; Allowing
                         (penalty >$13,000 or 12 mnths imprisonment individual - >$68K RMIT); Must                                                                                                                                                Moderate
                                                                                                                    licenses to expire without renewal; Not having
                         nominate responsible person; Restriction on premises used; Licensing requirements                                                                                                                        Low number      financial
                                                                                                                    necessary processes in place to both control works
Prevention of Cruelty    for breeding of specified animals (penalties >$2K individual >$13K RMIT); Licensing                                                                 Research; Licensing applications;                       of staff penalties. High
                                                                                                                    and monitor; Non-euthanasia when necessary; Not                                            Research Schools                                          High
to Animals 1986 (S)      requirements for scientific premises; Licenses last for 3 years and expire on 30 june in                                                            Quality monitoring                                     involved  ethical impact re
                                                                                                                    acquiring required registration of scientific premises
                         last year; Must comply with conditions for scientific premises; Licensing requirements                                                                                                                    (unlikely)  animal cruelty.
                                                                                                                    and therefore unable to undertake research;
                         for field work; Division 5: Specified Animals breeding licenses: Division 6 General                                                                                                                                       (major)
                                                                                                                    Breaching the code of practice and therefore
                         licensing provisions; S.33 VCAT Reviews; s.36 Offences: Knowingly or negligently
                                                                                                                    resulting in licensing cancellations.
                         causing pain or conducting surgery without anaesthetic, or not euthanasing when
                         necessary (individual >$13K or 12 mnths prison RMIT >$38K).

Code of Practice for                                                                                                                                                                                                              Low number
                                                                                                                                                                                                                                                 High ethical
the care and use of                                                                                                                                                                                                                  of staff
                                                                                                                                                                                                                                                   impact            Moderate
animals for scientific                                                                                                                                                                                                              involved
                                                                                                                                                                                                                                                 (moderate)
purposes (S)                                                                                                                                                                                                                       (unlikely)




* Project Development    Part 2 Project may be nominated to be subject to this Act; Part 3 Provisions relating to   Nature of the assets to be acquired and whether they                                                          Low number
& Construction           nominated projects: contracts, agreements or arrangements; Division 2 obtaining            are specialised assets or common items); Market       Building construction or           Property Services;      of staff   Low penalties
                                                                                                                                                                                                                                                                         Low
Management Act 1994      land; Division 3 disposing of land; Part 4 Standards and directions for public             conditions and implications for the acquisition cost; refurbishment projects             Chancellery            involved       (minor)
(S)                      construction: Part 6 General: improper use of information (penalty $5671);                 Suitability of contractors or suppliers.                                                                       (unlikely)




                      Part 1 Registration of land and conveyancing, deposit of documents, payment of feed;                                                                                                                        Low number
Property Law Act 1958 Part II General Law of Conveyancing; Division 2 Contracts, conveyances and other     Must not require purchaser to pay cost of vendor's                                                                       of staff    Low penalties
                                                                                                                                                                             Purchase acquisition or sale    Property Services                                           Low
(S)                   instruments; Instruments to be in writing; production and safe custody of documents; sale; Incorrect documentation or not in writing                                                                         involved.       (minor)
                      Division 3 Mortgages and rent charges; Division 5 Leases and Tenancies;                                                                                                                                      (unlikely)




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State Acts relevant to RMIT
                        S.8a Transfer of records to the Public Records Office (after 25 years); s.10AA Certain
                                                                                                                                                                                                                                                                        All RMIT
                        records may be withheld from the public; s.13 Duties of person in charge of records in       Non-compliance with Public Records guidelines;
                                                                                                                                                                            Records management, archiving,                                                                 staff
* Public Records Act    a public office; s.17 must not sell public/prescribed record without consent of Minister     sale, removal or destruction of public records without                                          People & Culture,                                               Low penalties
                                                                                                                                                                            all records within RMIT including                                                          potentially                       Moderate
1973 (S)                (penalty $576); Prescribed records become property of State in event of death of             following guidelines or without consent of Minister                                             Archives                                                           (minor)
                                                                                                                                                                            emails                                                                                      involved
                        owner or after 50 years if owner not an individual; s.19 offence to remove public            (offence $567)
                                                                                                                                                                                                                                                                         (likely)
                        record without authority; Must comply with guidelines

                                                                                                                                                                                                                                                                                       Financial
                                                                                                                                                                                                                                                                        All RMIT
                                                                                                                     Intentional engagement in conduct likely to incite or                                                                                                            penalties &
Racial & Religious      Part 2: Division 1: Unlawful Vilification; Division 2: Other Unlawful Conduct                                                                                                                                                                      staff
                                                                                                                     inciting vilification or victimisation - penalties: RMIT                                        People & Culture, All                                             potential
Tolerance Act 2001      (Victimisation, assisting with); S.17 complaints and conciliation; Part 4: Serious                                                                      All staff and processes                                                                potentially                           High
                                                                                                                     300 penalty units ($34,036) Individual 50 penalty                                               departments                                                     imprisonment
(S)                     Vilification Offences (Inciting, intentionally engaging in conduct likely to incite)                                                                                                                                                            involved
                                                                                                                     units ($6805) and/or 6 months prison.                                                                                                                              apply.
                                                                                                                                                                                                                                                                         (likely)
                                                                                                                                                                                                                                                                                      (moderate)
                       Part 2: The Radiation Protection Principle (persons & the environment should be               Public, staff or student health; Environmental;                                                                                                  Low number    Major health
                       protected from unnecessary exposure to radiation through the processes of                     prohibition of practices. Penalties: Indictable                                                 Property Services,                                  of staff  consequences,
Radiation Act 2005 (S) justification, limitation and optimisation); Part 4: Licensed Activities; S.12 Conduct of                                                                Research involving radiation                                                                                                 High
                                                                                                                     offences; max 1800 penalty units individual                                                     Research Schools                                   involved    high financial
                       radiation processes prohibited unless licensed; S.13 Use of a radiation source                ($20,416) - RMIT 9000 pu ($$1m+)                                                                                                                  (unlikely) penalties (major)
                       prohibited unless licensed; S.15 Compliance with license conditions; S.18 Offence to
                       Does not apply to less than one year. Part 4 Entering into or renewing a retail
                       premises lease: Landlord must provide copy of lease to the prospective tenant when
                       entering into negotiations (penalty $5671); Retail lease must be in writing and signed
                       (penalty $1134.20); 17 at least 7 days prior to lease finalisation, landlord must provide
                       a disclosure statement; If disclosure statement inaccurate tenant may give notice;
                       17(6) tenant has 28 days cooling off period in which to terminate lease if required;
                       s.18 details of termination and objections; s.21 Minimum lease 5 years; s.22 tenant to
                                                                                                                                                                                                                                               Potential litigation
                       be given copy of lease within 28 days or other agreed period; 2.23 seeking of key             Non-compliance with procedures for entering into a
                                                                                                                                                                                Determination and negotiation of                               for costs if current                   Financial
                       money or money for good-will is prohibited (penalty $5671); s.24 Security deposits            lease; refurbishment or other interferences with a                                                                                               Low number
                                                                                                                                                                                retail leases; renewal of leases;                              refurbishment                          penalties.
Retail Leases Act      must be held by landlord in interest bearing accounts and records made available to           tenancy without appropriate notice; Non-notification                                                                                                of staff
                                                                                                                                                                                property management; property        Property Services         program affects                       Potential for       Moderate
2003 (S)               the tenant (however, the interest forms part of the security deposit); Small Business         to Small Business Commissioner; Non-compliance                                                                                                     involved
                                                                                                                                                                                capital works projects that affect                             retail tenants                         litigation.
                       Commissioner to be informed within 14 days after final signature of new or renewed            with lease renewal processes. Penalties: max 50                                                                                                   (unlikely)
                                                                                                                                                                                RMIT tenants.                                                  without providing                     (moderate)
                       lease;                                                                                        penalty units ($5671)
                                                                                                                                                                                                                                               notice
                       Division 2 - Renewal of lease. Part 5 - Rent and Outgoings. Division 3 - Rent reviews.
                       Division 4 Outgoings. s.51 cannot claims costs associated with development of
                       lease; s,52 landlord's liability for repairs; Part 6 - Refurbishment, relocation and other
                       interferences with tenancy - must give notice and compensation to tenant; Part 7
                       Assignment or termination; s.63 landlord may refuse to sub-lease; Part 8 Additional
                       requirements for shopping centres; Part 9 Unconscionable Conduct; Part 10 Dispute
                       resolution; s.93 indemnities;
                                                                                                                                                                                Fleet services, all drivers of RMIT
                                                                                                                 Drivers of RMIT vehicles do not hold relevant
                        Requirement for motor vehicle owner to license all RMIT owned vehicles, to comply                                                                       vehicles, staff recruitment                                                           Low number
                                                                                                                 licenses; non-registration of RMIT vehicles.
* Road Safety Act       with all registration and road safety rules; to provide information about drivers when                                                                  processes (notification to new       People & Culture,                                   of staff Low financial risk
                                                                                                                 Penalties: 20 penalty units ($2268) or 2 months                                                                                                                                             Low
1986 (S)                required. Duty of all drivers of RMIT vehicles to hold relevant licenses, to comply with                                                                staff of requirements); inclusion in Property Management                                involved  to RMIT. (minor)
                                                                                                                 prison. Much higher personal penalties apply to
                        alcohol and drug use laws; to comply with road safety rules.                                                                                            code of conduct or other                                                               (unlikely)
                                                                                                                 individual drivers.
                                                                                                                                                                                procedures
                                                                                                                Incorrect use of seal; non-adherence to objects of
                                                                                                                the University; non-adherence to 7(2) composition of
                                                                                                                the Board; Payment of remuneration to excluded
* Royal Melbourne                                                                                               board members under 8(3); non-declaration by                                                                                                          Low number Low financial risk
                        5 Common seal only used by resolution of Council or statute; 6 Objects of the
Institute Of                                                                                                    Councillor of interest or conflict of interests;                                                     Chancellery, University                             of staff    to RMIT.
                        University; 7(2) composition of the Board; 16 Declaration of Interests; 19 Delegations;                                                                                                                                                                                              Low
Technology Act 1992                                                                                             Inappropriate board conduct; Inappropriate use of                                                    Secretary                                          involved   Governance
                        Part 5 Statutes and Regulations; Part 6 - Property and Financial; 44 Elections
(S)                                                                                                             Delegations; non-compliance with Board generated                                                                                                       (unlikely) risks. (minor)
                                                                                                                statutes or regulations; non-compliance to Auditor-
                                                                                                                General audits; Conduct of elections not conducted
                                                                                                                in prescribed or statutory manner;

                        Part 1 Provisions to all Victoria: Div 1 Public order; Div 2 General (offences: tending to
                        personal injury or property damage; horse-drawn vehicles, public vehicles or animals;
                        trespass - destroying, damaging or injuring property; bill posting and defacing
                        property; light of fires in the open air; false fire alarms; drunkenness; obscene,
                        threatening, insulting, abusive behaviour etc; conduct of refreshment houses;
                        disturbing religious worship; entry of police into houses; assaults; stolen property;
                        passing valueless cheques.) Div 3 stealing vehicles. Div 4 Advertising of live sexually-
 Summary Offences       explicit entertainment. Div 4A Observation or visual capturing of genital or anal region
   Act 1966 (S)         (Photos, distribution). Div 5 tattooing of juveniles. Div 7 homing pigeons. Div 8 Other
                        offences (begging; loitering with intent; being disguised with unlawful intent;
                        possessing housebreaking implements; escaping from custody; consorting.

                        Part II - provisions applicable to special localities: prohibition of certain matches in
                        specified localities in certain months. Trespass on land used for primary production.
                        Part III - Supplementary: obstructing staff; assusting or resisting policew; harass
                        witnesses; false reports to police; body corporate offences; accomplice.




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State Acts relevant to RMIT
                      Part 2 Regulation of installation, use and maintenance of surveillance devices - must
                                                                                                                  Install or use a surveillance device in contravention
                      not install or use a listening device in a private area (where you are not) without
                                                                                                                  of this Act; Publish or communicate any private                                                                  Low number
                      notification to or consent of all parties or with a warrant (penalties - individual 2 yrs                                                           Security of premises, Recording of                                         High financial
                                                                                                                  conversations or activities monitored by a                                                                       of staff likely
*Surveillance Devices prison and/or $27,220.80 - company $136,104) ; Part 2A Workplace Privacy:                                                                           meetings, recording of Council (if Security; Property                       penalties or
                                                                                                                  surveillance device; Install a surveillance device in                                                                to be                                  High
Act 1999 (S)          prohibition of surveillance devices in certain areas (washroom, toilet, change room or                                                              private meetings), property        Maintenance; ITS                        imprisonment
                                                                                                                  any of the prohibited workplace areas. Penalties:                                                                  involved
                      lactation room) or communicate any such recordings (same penalties apply); Part 3                                                                   maintenance                                                                   (major)
                                                                                                                  Individual 240 penalty units ($27,221) and/or 2 yrs                                                                (unlikely)
                      Restriction on communication and publication of private conversations and activities -
                                                                                                                  prison; RMIT 1200 penalty units ($136,104)
                      made either directly or indirectly by a surveillance device - same penalties apply.
                                                                                                         Non-declaration or recording of unclaimed monies;
                     s.11 Business must maintain register of any unclaimed monies in prescribed form and                                                                                                                           Low number
                                                                                                         no advertising in Government Gazette; no returns                                                                                              Financial
Unclaimed Monies Act update annually; and advertise in Government Gazette; s.12 must pay annually into                                                                    Financial services; refunds to     Financial services;      of staff
                                                                                                         provided to Registrar and no monies transferred to                                                                                            penalties          Moderate
1962 (S)             the Consolidated Fund (via the Registrar) any amount of unclaimed monies in the                                                                      students;                          Student Services        involved
                                                                                                         Consolidated Fund. Penalties: max 120 penalty                                                                                                (moderate)
                     previous year and lodge a return; Penalties involved                                                                                                                                                           (unlikely)
                                                                                                         units ($13,610)
                                                                                                                  Making false disclosures (penalty 240 penalty units                                                              Low number
                                                                                                                                                                          All RMIT staff may make false                                                 Financial
* Whistleblowers         #Part 2 – Disclosure of Improper Conduct #Part 3 – Protection of Whistleblowers          ($27,221) and/or 2 yrs prison); Reveal confidential                                                              of staff likely
                                                                                                                                                                          disclosures or take detrimental    People & Culture,                        penalties or
Protection Act 2001      #Part 4 – Determination of Public Interest Disclosure    #Part 5 – Investigation         information (penalty 6p pu ($6805) and/or 6 months                                                                   to be                              Moderate
                                                                                                                                                                          action. Ombuds involved in         Ombuds                                  imprisonment.
(S)                      #Part 10 - General                                                                       prison); Detrimental action against whistleblower                                                                  involved
                                                                                                                                                                          investigations.                                                              (moderate)
                                                                                                                  (penalty 240 pu ($27,221) and/or 2 yrs prison).                                                                    (unlikely)
                                                                                                                  Not obtaining working with children checks for all but
                      Part 2 Working with Children Check; police checks;s.19 assessments last for 5 years         those exempted; applications must be in the                                                                                            Major
                                                                                                                                                                                                                                    Moderate
                      and must be reapplied for within 6 months before and 3 months after the expiry date;        prescribed form; Maximum penalties (individual 2 yrs                                       People & Culture,                       consequence,
                                                                                                                                                                                                                                    number of
Working with Children s.20 circumstance changes must be notified within 7 days of change; Part 3                  imprisonment or >$27K RMIT >$126K); engaging           Any school that educates under      TAFE, International                     high financial
                                                                                                                                                                                                                                       staff                                  High
Act 2005 (S)          Exemptions from check; Part 4 Offences: working or engaging someone without                 someone without assessment notice; engaging            18's                                Services, Student                        penalties or
                                                                                                                                                                                                                                     involved
                      assessment notice; using volunteer assessment for paid work; false or misleading            someone with volunteer assessment for paid work;                                           Services                                imprisonment
                                                                                                                                                                                                                                    (possible)
                      information; disclosure or misuse of information; Part 5 notification requirements          providing false or misleading information; disclosure                                                                                 (major)
                                                                                                                  or misuse of information.

ACTS REPEALED AND NO LONGER IN FORCE

* Tertiary Education     No longer in force - repealed on 1 July 2007 by section 6.1.1(i) of the Education
Act 1993 (S)             Reform Act 2006.
* Vocational Education
                         No longer in force - repealed on 1 July 2007 by section 6.1.1(m) of the Education
& Training Act 1990
                         Reform Act 2006.
(S)




                                                                                                                                                                                                                                                           Document: f3705c5f-353b-49a5-90ec-ca7f94bef036.xls, State Acts
                                                                                                                                                                                                                                                                                                    Print Date: 5/4/2011
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