Legal Risk Assessment and contacts Service Category Examples

Legal Risk Assessment and contacts Service Category Examples Key Initial Contact A Legal advice is not required when… B Legal advice is required for… Disputes and Litigation • External Action/Threat • Fair Work Commission • WA Industrial Relations HRBC Dispute/matter is able to be resolved at local level without need for a financial settlement – no legal or union proceedings likely – and is low risk within Curtin’s Risk Appetite All other circumstances not covered by column A – eg where a provision of the EBA, which is a legal instrument is being disputed or challenged externally Commission • Equal Opportunity Commission General Counsel Legislation and Litigation • Letters of Demand, Summons etc. • Courts and Tribunals. Contracts Employment, IT, Research, L&T, Fieldwork, collaborative and entity arrangements, IP, licence rights etc Contract Facilitators Assistance can be obtained from the relevant Contract Facilitator Low risk within Curtin’s Risk Appetite and Contract Risk Toolkit Using agreed legal or strategic procurement templates/clauses and checklists All other circumstances not covered by column A - eg complex indemnity, insurance or other provisions outside of Curtin’s standard templates/clauses and checklists Complianc e and Legislation • Advice regarding legal or • Relevant • Assistance can be obtained from relevant policy obligations or drafting of legal or policy documents • Freedom of Information (FOI) requests Compliance or Policy Contact Officer • Information Disclosure Compliance Officer or Policy Contact Officer, or Information Disclosure Compliance Officer • Low risk within Curtin’s Risk Appetite • Routine and usual regulator enquiries All other circumstances not covered by column A eg where relevant Compliance Officer or Policy Contact Officer needs legal advice to provide assistance Inquiries & other Legal Processes • Notice to produce General Counsel Legislation and Litigation n/a In all circumstances Staff Misconduct Internal Action or Investigation HRBC Assistance can be obtained from relevant Compliance Officer, Policy Contact Officer, ISU or HRBC and no legal or union proceedings likely – and is Localised or Level 1 incident as per the Incident Alert Matrix All other circumstances not covered by column A Student Misconduct Internal Action or Investigation Academic Registrar Assistance can be obtained from relevant Compliance Officer, Policy Contact Officer, All other circumstances not covered by column A (Enforcement Agency or Regulator) • Non routine regulator enquiries – Office of Gene Technology, CCC External Investigation by Regulator

Compliance engagement process Service Category Examples Key Initial Contact When to contact Compliance Services Policies and procedures • Difficulty in accessing a published policy or • CITS • If CITS is unable to assist please contact Policy & Web Delegations procedure • Information or clarification of policy or procedure • Confirming a matter is covered by current policy and procedures • Developing new, or reviewing and drafting existing policies and procedures • Obtaining reports on policy and procedure review • Determining if you have the authority to sign a contract, employ someone etc • Developing new, or reviewing and drafting existing delegations Compliance • Advice regarding a specific compliance, legal or policy obligation • Advice regarding general compliance, legal or policy obligations, or not sure if covered by current compliance management • How to implement, monitor, measure and continually improve compliance outcomes • Potential non-compliance or concerns Administrator • Policy Contact • Compliance Consultant • For further clarification, please contact Compliance Consultant • Compliance Consultant • Policy & Web Administrator • Register of Delegations • Director, Legal and • Note: Policy developers must forward draft policies and procedures to a Compliance Consultant • If there appears to be a gap in the Register of Delegations or you are not clear which one applies. Compliance Services • Relevant Compliance Officer or Policy Contact • Compliance Consultant Assistance can be obtained from relevant Compliance Officer or Policy Contact Officer where the matter is : Low risk within Curtin’s Risk Appetite Routine and usual regulator enquiries Otherwise the Compliance Officer will contact the Compliance Consultant. • Relevant Compliance Officer, Policy Contact or University’s Complaints Portal • Freedom on Information Requests • Staff Misconduct • Student Misconduct • Incident Management As above in Legal Risk Assessment