Swinburne Legal FAQs
How do I obtain legal advice?
It is preferred that requests be in writing so that complete, accurate information is provided at the outset of the matter. Initial requests should include copies of relevant background documentation, required time frame, and any other relevant information.
Staff are not permitted to engage External Lawyers. Requests for legal advice in respect of University business must be made through Swinburne Legal. For more information please see the "Use of External Lawyers" policy and procedure.
Do Swinburne Legal charge for legal services?
We do not charge for legal services provided in-house. If external legal expenses are incurred we may charge them back to the academic or administrative unit concerned; however we will advise you of this in advance.
How do I Handle Legal Documents?
The webpage "How to Handle Legal Documents" will direct you in regards to the University's procedural requirements for preparation, negotiation and excution of legal documents.
What is a Document Execution Form and when is it required?
Where the University or any of its controlled entities is named as a party to an agreement and required to sign it in order to be contractually bound a Document Execution Form (DEF) must be completed. This is regardless of whether legal or financial approval is required on the DEF. The Guidelines of legal documents and the Execution of Documents Signing Policy assist in DEF Completion.
What is the procedure for the preparation, negotiation and execution of legal documents?
The Guidelines for Legal Documents policy sets out the University’s approach to preparation and execution of legal documents. This policy categorises legal documents and notes the procedure to be undertaken when preparing legal documents for execution.
When should agreements be checked by the legal office?
The Guidelines for Legal Documents policy sets out the categories of legal documents and explains when and why legal agreements need to be reviewed by the legal office. If you receive an agreement for signature on behalf of the university and decide it needs to be reviewed, we ask that you forward a copy to the legal office, with written instructions explaining what has or will be agreed to and your analysis of any advice you require or unresolved issues. A conference may be needed between the legal office and an appropriate member of staff to clarify aspects of an agreement.
Who can sign agreements for the university?
Authority to sign agreements is set out in the Execution of Documents Signing Policy. An authorised signatory should not sign any agreement without a Document Execution Form.
What is the University seal?
Certain documents require the affixing of the “University Seal”, which is a formal stamp held in the University’s safe. Examples of such documents include some government funding agreements and some documents dealing in land. These examples are quite rare, as usually a legal document can simply be signed by the authorised signatory under the Execution of Documents Signing Policy. If the seal is required, you will need to contact Swinburne Legal to arrange the formal process, which can take several days due to the need to obtain the signatures of two Council members.
How are Court documents (including subpoenas) served on the University?
Sometimes Court documents need to be served on (i.e. formally delivered to) the University. Those documents might involve a dispute between other parties in which access to University records is needed under a subpoena. Or someone might be making a legal claim against the University. The easiest way for documents to be served on the University is for them to be delivered to Swinburne Legal at Level 2, Swinburne Place South, 24 Wakefield Street, Hawthorn campus. Swinburne Legal will then make the necessary arrangements to have the matter dealt with. If Court documents are served directly on a Faculty, School or corporate department, that unit should check what to do with Swinburne Legal as soon as possible. There will be a deadline to respond to the Court documents and therefore they require immediate action.
What do I do in a dispute?
Some disputes are handled through the departments which oversee the relevant area: for example HR handles issues concerning the employment and conduct of our staff; Student Services administers matters under the student grievance policy; Swinburne Research oversees issues under the conduct of research policy. So, as a first step, you should check to see if your issue is governed by a designated University policy. You can then check who is responsible for the steps under that policy and what procedure needs to be followed.
If your dispute is not covered by a designated University policy (for example a contractual dispute with an outside party) then Swinburne Legal can help. We will suggest that you consider the following:
- Is there a written arrangement or agreement?
- Be careful of things like emails and notes – remember that if the matter escalates into litigation, your documents (including emails etc.) may have to be disclosed to the other party.
- What are Swinburne’s records like? You should gather and collate them.
- What are the key issues in the dispute? Can you explain the issues clearly to enable you to discuss them with your manager and, if need be, Swinburne Legal?
- When did the dispute begin? Why?
- Have there been discussions to resolve the dispute? Is there any record of those discussions?
- Who has been notified of the dispute within the University? What areas at Swinburne will be affected?
- Are there past or other disputes with the other party?
- Should the University's insurers be notified?
If in doubt, ask Swinburne Legal.
What do I do with a F.O.I. query?
All Freedom of Information (F.O.I.) requests and enquiries are handled in the first instance by the Manager, University Records and FOI:
Shane Arnold
Tel: (03) 9214 5413
Fax: (03) 9819 5454
SPS – Level 2
Where do I get advice on University insurance matters?
All queries relating to Insurance (including requests for copies of certificates of currency) are handled in the first instance by the Senior Corporate Accountant, Finance:
Carol Balm
Tel: (03) 9214 5995
Fax: (03) 9214 8958
SPS – Level 2
Where do I get advice on copyright matters?
Copyright queries regarding academic materials and matters (including external copyright consultancies) are best handled at first instance by the Copyright Manager, Information & Library Services:
Robin Wright
Tel: (03) 9214 4669
Fax: (03) 9214 8958
LB5.04
Swinburne Legal can advise on all other copyright matters.
Can I use external lawyers or external law firms?
No, staff are not permitted to engage external lawyers (except for members of the Executive Group with the approval of the Vice Chancellor). Requests for legal advice in respect of University business must be made through Swinburne Legal. For more information please see the “Use of External Lawyers” policy and procedure.
What is Swinburne’s Australian Business Number (ABN)?
13 628 586 699
Does Swinburne have an Australian Company Number (ACN) or Certificate of Incorporation?
No, Swinburne does not have an ACN or Certificate of Incorporation. However, this does not necessarily mean that Swinburne is not a “company” or “corporation”. Swinburne was created by an Act of the Victorian Parliament (Swinburne University of Technology Act - 2010). By virtue of sections 4(2)(b) & 6(2) of this Act, Swinburne is a “body politic and corporate” and “may do and suffer all acts and things that a body corporate may by law do and suffer”. The University has a “Proclamation Certificate” as evidence of its creation as a “company” or “corporation” and this document may be used in lieu of a “Certificate of Incorporation”.
How does Swinburne deal with its Privacy commitments and where can I locate the University’s Privacy Statement?
Swinburne’s commitment to privacy is based on the Information Privacy Principles as outlined in the Victorian Information Privacy Act (2000). Swinburne collects, stores, handles and discloses personal information in accordance with these privacy principles.
Swinburne also maintains a Privacy Policy and Procedure and a Privacy Statement.
Where do I go if I want to make a Privacy complaint or I receive a complaint from a member of the University?
All Privacy complaints received by the University are handled in accordance with Swinburne’s Privacy Policy and Procedure and are handled in the first instance by Swinburne Legal.
Who do I contact if I have a Privacy query?
Swinburne Legal has created a Privacy checklist to assist staff when handling personal information.
If you require more assistance or have a general privacy query contact Swinburne Legal, or refer to the Privacy Victoria website.
Who can I speak to about Privacy or Competition and Consumer Law Training?
For all enquiries regarding Privacy Law Compliance or Competition and Consumer Law Training contact Miranda Addison, University Risk and Compliance Officer, Governance & Assurance Unit.
