"Notice to Terminate Lease for Non Payment"
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: 5abaf752-f0f4-4b9f-a70a-5c0caa35ccd5.xls, State Acts Print Date: 5/5/2011 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: 5abaf752-f0f4-4b9f-a70a-5c0caa35ccd5.xls, State Acts to prevent discrimination against such students; agreements; Registration High number Print Date: 5/5/2011 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: 5abaf752-f0f4-4b9f-a70a-5c0caa35ccd5.xls, State Acts Print Date: 5/5/2011 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. Document: 5abaf752-f0f4-4b9f-a70a-5c0caa35ccd5.xls, State Acts Print Date: 5/5/2011 Page 4 of 8 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 Document: 5abaf752-f0f4-4b9f-a70a-5c0caa35ccd5.xls, State Acts Print Date: 5/5/2011 Page 5 of 8 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) Document: 5abaf752-f0f4-4b9f-a70a-5c0caa35ccd5.xls, State Acts Print Date: 5/5/2011 Page 6 of 8 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. Document: 5abaf752-f0f4-4b9f-a70a-5c0caa35ccd5.xls, State Acts Print Date: 5/5/2011 Page 7 of 8 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: 5abaf752-f0f4-4b9f-a70a-5c0caa35ccd5.xls, State Acts Print Date: 5/5/2011 Page 8 of 8