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.

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