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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: a9557dbf-39f4-4c4c-a501-523892a43bbb.xls, State Acts
Print Date: 6/30/2011
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: a9557dbf-39f4-4c4c-a501-523892a43bbb.xls, State Acts
to prevent discrimination against such students; agreements; Registration High number Print Date: 6/30/2011
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: a9557dbf-39f4-4c4c-a501-523892a43bbb.xls, State Acts
Print Date: 6/30/2011
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: a9557dbf-39f4-4c4c-a501-523892a43bbb.xls, State Acts
Print Date: 6/30/2011
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
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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: a9557dbf-39f4-4c4c-a501-523892a43bbb.xls, State Acts
Print Date: 6/30/2011
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