1. 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 Commission
Equal Opportunity Commission
Letters of Demand, Summons etc.
Courts and Tribunals.
HRBC
General Counsel Legislation and Litigation
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
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
Compliance and Legislation
Advice regarding legal or policy obligations or drafting of legal or policy documents
Freedom of Information (FOI) requests
Relevant Compliance or Policy Contact Officer
Information Disclosure Compliance Officer
Assistance can be obtained from relevant 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 (Enforcement Agency or Regulator)
Non routine regulator enquiries – Office of Gene Technology, CCC External Investigation by Regulator
n/a
In all circumstances
Staff Misconduct
Internal Action or Investigation
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
Academic Registrar
Assistance can be obtained from relevant Compliance Officer, Policy Contact Officer, Academic Registrar or ISU and legal or Guild proceedings unlikely - and is Localised or Level 1 incident as per the Incident Alert Matrix
Incident Management
Level 2 and 3 Incidents per Incident Alert Matrix, generally arising from matters such as misconduct, negligence or wilful acts.
Critical Incident Manager
Incident is a Localised or Level 1 incident as per the Incident Alert Matrix and legal or union proceedings are unlikely.
All Level 2 and 3 critical incidents as per the Incident Alert Matrix or where an incident is escalating and external parties such as regulators, media or lawyers are involved.

2. Compliance engagement process
Service Category
Examples
Key Initial Contact
When to contact Compliance Services
Policies and procedures
Difficulty in accessing a published policy or 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
CITS
Policy Contact
Compliance Consultant
Policy & Web Administrator
If CITS is unable to assist please contact Policy & Web Administrator
For further clarification, please contact Compliance Consultant
Note: Policy developers must forward draft policies and procedures to a Compliance Consultant
Delegations
Determining if you have the authority to sign a contract, employ someone etc
Developing new, or reviewing and drafting existing delegations
Register of Delegations
Director, Legal and Compliance Services
If there appears to be a gap in the Register of Delegations or you are not clear which one applies.
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
Relevant Compliance Officer or Policy Contact
Relevant Compliance Officer, Policy Contact or University’s Complaints Portal
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.
Freedom on Information Requests
Staff Misconduct
Student Misconduct
Incident Management
As above in Legal Risk Assessment