CD/09/115358

Annexure C Service Level Agreement

Annexure C to Deed of Standing Offer for the Provision of Legal Services

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Table of Contents

Table of Contents

1. Service Level Agreement Definitions ................................................................. 3

1.1 Definitions ................................................................................................. 3

1.2 Other terms used in this SLA ...................................................................... 3

2. Service Provider Performance Assessment ....................................................... 4

2.1 Minimum Service Standards ....................................................................... 4

2.2 Key Performance Indicators ....................................................................... 6

2.3 Performance Assessment ......................................................................... 12

2.4 Client Satisfaction Survey ........................................................................ 12

2.5 Audit Review............................................................................................ 12

2.6 Co-operation by Service Provider ............................................................. 13

3. SLA Procedures ................................................................................................ 13

3.1 Reports by Service Providers ................................................................... 13

3.2 Reports to be provided to Service Providers ............................................. 16

3.3 Variations to the SLA ............................................................................... 17

3.4 SLA dispute resolution ............................................................................. 17

4. Governance ....................................................................................................... 17

4.1 Governance and Performance Management Meetings ............................... 20

5. Agency Contract Managers .............................................................................. 22

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1. Service Level Agreement Definitions

1.1 Definitions

In this Service Level Agreement (SLA), unless the context otherwise requires:

Agency Contract Manager means the person specified as the contract manager
for an Agency in item 5 of this SLA or as otherwise defined under this Agreement.

Annual Assessment is defined in item 2.3 of this SLA.

Client Satisfaction Survey means a survey employed by the Contract Manager to

measure the satisfaction of the Agency Contract Managers and other Personnel of a
Client with the provision of Services by the Service Providers.

Government Lawyers Forum means the Committee which includes the Agency
Contract Managers appointed by the State to set strategic direction for the Panel
arrangements and the provision of Services under the Panel Contracts, including
any Legal Services Contract.

Key Performance Indicators (KPIs) means the performance measures to be used

to review and assess the performance of Service Providers specified in item 2.2 of
this SLA.

Legal Services Contract means in relation to any Panel Contract, a Legal Services
Contract which arises between a Client and a Service Provider under that Panel
Contract.

Panel Contract means an agreement between the Lead Department and a Service
Provider with respect to the provision of the Services under the Panel arrangements,
and includes this Agreement.

Service Level Agreement (SLA) means this Schedule 6.

Service Providers means providers of legal services appointed by the State to one
or more of the General Panel, the Commercial Projects Panel or a Specialist Panel
from time to time, and includes the Service Provider as appointed under this
Agreement.

Services means the legal services to be provided by the Service Providers pursuant
to a Panel Contract and any Legal Services Contract, including the Services
required to be provided by the Service Provider under this Agreement and any Legal
Services Contract under this Agreement.

SLA Variation means a change to this SLA agreed in accordance with item 3.3 of
this SLA.

1.2 Other terms used in this SLA

Terms that are not defined in item 1.1 of this SLA and that are defined in clause 1 of
this Agreement have the same meaning in this SLA.

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2. Service Provider Performance Assessment

2.1 Minimum Service Standards

In providing Services pursuant to a Panel Contract, Service Providers must satisfy

the following minimum service standards.

(a) Legal advice capability

The Service Provider must provide legal advice that is accurate, succinct, practical
and that addresses the questions and issues raised by the Client and reflects the
circumstances and requirements of the Client.

(b) Appropriate Dispute Resolution and Litigation capability

The Service Provider must manage Appropriate Dispute Resolution and/or litigation
diligently and advise on and conduct settlement negotiations with a view to the
circumstances and requirements of the Client, and in accordance with the
instructions of the Client.

(c) Preparing documents

The Service Provider must prepare documents that are succinct, comprehensive
and in plain language and must seek sufficient instructions from the Client to enable
documents to be prepared efficiently and in a timely manner.

(d) Managing costs

The Service Provider must have a mechanism for managing and containing the
Legal Services Fees in relation to any Legal Services Contract. The Service
Provider must notify the Client in writing as soon as practicable after the Service
Provider becomes aware that the legal costs under a Legal Services Contract are
likely to exceed any Estimate given and in any event before the anticipated legal
costs reaches 90% of the Estimate given, and must provide a further Estimate to the
Client in accordance with the Panel Contract. In the provision of the Services, the
Service Provider must manage the allocation of work cost effectively to ensure it is
undertaken by appropriate Personnel. Invoices should be provided in accordance
with the invoicing requirements outlined in the Panel Contract.

(e) Timelines

The Service Provider and the Client must agree in each case the time in which the
Services are required, and the Service Provider must provide them within that time.
As soon as it is anticipated that an agreed time may not be met, the Service
Provider must contact the Client to determine a substitute time for delivery. If the
Client agrees to a substituted time for delivery, the Service Provider must provide
the Services within that time, and if no substituted time is agreed by the Client, the
Service Provider, must where the Client requires, cease provision of the Services.

(f) Conflicts

The Service Provider must have no actual, potential, perceived or apparent Conflict
of Interest with its duties and interests in performing the Services in relation to any
Legal Services Order or under any Legal Services Contract, except for those
matters explicitly brought to the Client’s attention and approved by the Client before
the relevant Legal Services Contract is entered into. The Service Provider must
prevent any such actual, potential, perceived or apparent Conflict of Interest from
arising while the Services are being performed under a Legal Services Contract, and

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must have systems in place to identify such actual, potential, perceived or apparent
Conflicts of Interest and promptly bring them to the Client’s attention.

(g) Understanding needs

The Service Provider must be capable of and committed to understanding the

circumstances and requirements of the Client and committed to providing Services
in a way that is matched to those circumstances and requirements.

(h) Meeting needs

The Service Provider must provide the Services in a manner that identifies and
meets the Client’s needs, and must undertake the work in a way that supports the
Client’s policies and directions.

(i) Reporting and managing matters

The Service Provider must use the Legal Panel Gateway for the management of
Legal Service Contracts made with Clients under this Agreement. This includes, but
is not limited to, the issuing of invoices, provision of advice, disclosures of any
conflict of interest and the provision of estimates, quotes or other fee requirements
and the exchange of documents, or as otherwise agreed between the parties.

All reporting required to be made by the Service Provider under this SLA must be
provided in the Legal Panel Gateway unless otherwise advised by the Contract
Manager.

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2.2 Key Performance Indicators

Service Providers must comply with the following KPIs in each Contract Year during the Term of the Panel Contract. In order to meet each KPI, a
Service Provider must meet all requirements specified as the monitoring mechanism for that KPI.

KPI
KPI Monitoring mechanism
No

1 Client satisfaction with the Services.

The Service Provider must maintain Client satisfaction with the following Client satisfaction within the Services will be measured by Client
aspects of the provision of the Services throughout the Term of the Panel Satisfaction Surveys undertaken in respect of the Contract Year,
Contract: and assessed annually.
ˆ Understanding Client needs
The results of the Client Satisfaction Surveys will be averaged
across all criteria for KPI 1 to determine an overall average rating
ˆ Meeting Client needs
for the Service Provider for the Contract Year. The Service Provider
ˆ Timelines must attain an overall rating average of 60% or better in relation to
KPI 1.
ˆ Preparation of advices and other documents to high level of accuracy
and in plain English

ˆ Capability (Legal Advice capability and Appropriate Dispute Resolution

and Litigation capability)

ˆ Keeping Clients informed about the progress of the matter

ˆ Overall client satisfaction with the quality of the Services.

ˆ Overall client satisfaction of the value for money of the Services

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KPI
KPI Monitoring mechanism
No

2 Client satisfaction with the quality of advice

The Service Provider must maintain Client satisfaction with the quality of Client satisfaction with the quality of legal advice will be measured
advice provided as part of the Services throughout the Term of the Panel by Client Satisfaction Surveys undertaken in respect of the Contract
Contract. Clients must be satisfied that the advice is: Year, and assessed annually.
ˆ accurate
The results of the Client Satisfaction Surveys will be averaged
ˆ succinct across all criteria for KPI 2 to determine an overall average rating
for the Service Provider for the Contract Year. The Service Provider
ˆ practical
must attain a rating average of 60% or better in relation to KPI 2.
ˆ easily understood
ˆ responsive to the question
ˆ offers creative solutions where appropriate
ˆ timely

3 Maintaining professional capability

3.1 The Service Provider must ensure continuity and availability of the skills,
experience and expertise of Key Personnel for provision of the Services,
and retention of corporate knowledge acquired over the Term of the Panel
Contract.
The Service Provider must provide an annual CV refresh of the key
personnel.
All notifications of non-availability of Key Personnel and
Replacement Personnel must be provided in accordance with the
Panel Contract.

All Assurance of Compliance Reports must be provided in

accordance with the Panel Contract and all disclosures in those
reports relating to non-availability of Key Personnel must be
complete and accurate. No non-compliance in relation to non-
availability of Key Personnel disclosed in those reports.

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KPI
KPI Monitoring mechanism
No

3.2 The Service Provider must maintain Client satisfaction with the capability Client satisfaction with maintaining professional capability will be
and availability of the Key Personnel throughout the Term of the Panel measured by Client Satisfaction Surveys undertaken in respect of
Contract. the Contract Year, and assessed annually.

The results of the Client Satisfaction Surveys will be averaged

across relevant criteria to determine an overall average rating for
the Service Provider for the Contract Year. The Service Provider
must attain a rating average of 60% or better for KPI 3.

4 Managing Costs

4.1 The Service Provider must actively manage and control costs in the
provision of the Services, and except where permitted by the Panel
Contract or where an Agency Contract Manager otherwise directs, must
provide complete and accurate Estimates of Legal Services Fees for all
Legal Services Contracts throughout the Term of the Panel Contract.
The Service Provider must notify Clients in writing as soon as
practicable after the Service Provider becomes aware that the
Estimate will be exceeded but in any event no later than the time
the legal costs accrued or incurred reaches 90% of the Estimate.
All Assurance of Compliance Reports must be provided in
accordance with the Panel Contract and all disclosures in those
reports relating to Estimates must be complete and accurate. No
non-compliance in relation to Estimates disclosed in those reports.

No complaints by Agency Contract Manager or other Client

Personnel about the management of cost of Services provided by
the Service Provider are upheld on investigation by the Contract
Manager.

Any complaint concerning the Service Provider’s management of

costs which are resolved by the Agency Contract Manager will be
reported by the Agency Contract Manager, who will survey the level
of satisfaction of Agency Personnel with the process and outcome.
The Service Provider must attain a rating of 60% or better in

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KPI
KPI Monitoring mechanism
No
relation to these surveys.

The Service Provider must maintain Client satisfaction with management of Client satisfaction with managing costs will be measured by Client
costs throughout the Term of the Panel Contract. Satisfaction Surveys undertaken in respect of the Contract Year,
and assessed annually.

The results of the Client Satisfaction Surveys will be averaged

across any relevant criteria to determine an overall average rating
for the Service Provider for the Contract Year. The Service Provider
must attain a rating average of 60% or better for KPI 4.

KPI
KPI Monitoring mechanism
No

5 Complying with specified policies

5.1 The Service Provider must adhere to the Model Litigant Guidelines in the The Service Provider must comply with the Model Litigant Guidelines
provision of the Services under all Legal Service Contracts throughout the where applicable to any of the Services provided under a Panel
Term of the Panel Contract. Contract or a Legal Services Contract under that Panel Contract.

All Assurance of Compliance Reports must be provided in accordance

with the Panel Contract and all disclosures relating to Model Litigant
Guidelines must be complete and accurate. No non-compliance in
relation to Model Litigant Guidelines disclosed in those reports.

No complaints by Agency Contract Manager or others about any failure

to comply with the Model Litigant Guidelines are upheld on
investigation by the Contract Manager.

Any complaints concerning the Service Provider’s compliance with

Model Litigant Guidelines resolved by the Agency Contract Manager
will be reported by the Agency Contract Manager, who will survey the
level of satisfaction of Agency Personnel with the process and

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KPI
KPI Monitoring mechanism
No
outcome. The Service Provider must attain an overall rating of 60% or
better in relation to these surveys.

5.2 The Service Provider must disclose and avoid any Conflict of Interest, or
Probity Events, and disclose any Incidents, throughout the Term of the
Panel Contract.
The Service Provider must comply with the requirements of the
Panel Contract or any Legal Services Contract in relation to
disclosing or avoiding any Conflict of Interest or Probity Events, or
disclosing any Incidents, including any requirement to disclose
those matters to a Client, an Agency Contract Manager or the
Contract Manager.

All Assurance of Compliance Reports must be provided in

accordance with the Panel Contract and all disclosures in those
reports relating to any Conflict of Interest, Incidents or Probity
Events must be complete and accurate. No non-compliance in
relation to any Conflict of Interest, Incidents or Probity Events
disclosed in those reports.

5.3 Service Providers must maintain Client satisfaction with management of
any Conflict of Interest or Probity Events, including disclosure and
avoidance of any Conflict of Interest or Probity Events, and disclosure of
any Incidents, throughout the Term of the Panel Contract.
Client satisfaction with management of any Conflict of Interest or
Probity Events, including disclosure and avoidance of any Conflict
of Interest or Probity Events, and disclosure of any Incidents will be
measured by Client Satisfaction Surveys undertaken in respect of
the Contract Year, and assessed annually.

The results of the Client Satisfaction Surveys will be averaged

across relevant criteria to determine an overall average rating for
the Service Provider for the Contract Year. The Service Provider
must attain an overall rating average of 60% or better for KPI 5.3.

In respect of Conflict of Interest, the Service Provider must attain a

100% rating in respect of any responses by Clients as to whether
the Service Provider provided confirmation that it had no Conflict of

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KPI
KPI Monitoring mechanism
No
Interest, or otherwise made an appropriate disclosure in respect of
any Conflict of Interest, in response to all Requests for Services and
Legal Service Orders.

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2.3 Performance Assessment

(a) Service Providers’ performance will be assessed in respect of each

Contract Year against all KPIs (Annual Assessment). As part of the
Annual Assessment, a performance report will be prepared and provided to
the Service Providers reporting on:

(i) the outcome of Client satisfaction surveys;

(ii) achievement of KPIs;

(iii) compliance with reporting requirements of the Panel Contract and

this SLA;

(iv) the outcome of any audit conducted in relation to the Service

Provider in respect of the relevant Contract Year; and

(v) compliance with policies including Pro Bono Guidelines, Victoria

Bar Equality of Opportunity Model Briefing Policy and other
policies under the Panel Contract.

(b) The Annual Assessment will be undertaken by the Contract Manager and
Agency Contract Managers.

(c) The State may remove or suspend a Service Provider from any of the
General Panel, the Commercial Projects Panel or a Specialist Panel for
failure to achieve any of the Minimum Service Standards or the KPIs, in
accordance with the terms of the relevant Panel Contract.

2.4 Client Satisfaction Survey

Client Satisfaction Surveys will be undertaken throughout the Term and used as part
of the monitoring mechanism for the performance of Service Providers. Client
satisfaction will be an integral part of the Annual Assessment of performance of
Service Providers by the Contract Manager with input from Agency Contract
Managers. Agency Contract Managers will coordinate the completion of any Client
Satisfaction Survey. Results of the Client Satisfaction Surveys in respect of a
Contract Year will be applied to measure each Service Provider’s compliance with
the KPIs.

2.5 Audit Review

(a) Without limitation to any other provision of the Panel Contract, an audit of:

(i) the quality of the legal advice provided by the Service Provider
(including the timeliness of the legal advice, comprehension,
useability, accuracy and consistency) and;

(ii) the Legal Services Fees invoiced by the Service Provider

(including the Rates or Fees applied, expenses and disbursements
claimed, hours spent on the matter and the level of the lawyer
providing the Services)

(iii) or any other aspect of the delivery of the Services

may be undertaken by the State:

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(A) at the request of the Agency Contract Manager; or

(B) at the request of the Executive Contract Manager.

(b) The provisions of clause 18.2 of the Panel Contract apply to any audit
conducted pursuant to this item 2.5 of this SLA.

2.6 Co-operation by Service Provider

(a) The Service Provider must co-operate with any assessment of the
performance of the Service Provider undertaken by the Contract Manager,
including any Annual Assessment, including providing all reports required
under the Panel Contract or including this SLA and any information
reasonably required by the Contract Manager or any Agency Contract
Manager in relation to that performance assessment.

(b) Without limitation to any rights of the Lead Department or any Client under
a Panel Contract or any Legal Services Contract under that Panel Contract,
if the Service Provider fails to meet any of the Minimum Service Standards
or the Key Performance Indicators or is at any time the subject of any
adverse assessment of its performance under item 2 of this SLA, it will
comply with all reasonable requirements of the Contract Manager to take
remedial action to address the failure to comply with such Minimum Service
Standards, Key Performance Indicators or any other requirements of this
Agreement.

3. SLA Procedures
3.1 Reports by Service Providers

(a) The table below sets out reports to be provided by the Service Providers to
the Contract Manager or, where specified, to the Agency Contract
Managers:

(i) during the Term of a Panel Contract;

(ii) where specified, during the term of any Legal Services Contract
under that Panel Contract; or

(iii) at specified intervals after the periods in items 3.1(a)(i) and (b).

(b) Where the table specifies that reports must be provided during the term of
any Legal Services Contract, or by a date following the final Contract Year,
those reports must be provided notwithstanding termination or expiry of the
relevant Panel Contract, in accordance with clause 13 of the Panel
Contract.

(c) Where the Term of a Panel Contract or the term of any Legal Services
Contract under that Panel Contract terminates or expires on a day prior to
the end of a calendar quarter, a reference in item 3 of this SLA to a
calendar quarter includes that part of that calendar quarter up to the date of
termination or expiry.

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Reports to be provided by Service Providers To

Costs and Invoices Contract
3.1.1
Manager
Service Providers are required to provide invoices of costs
for each Legal Service Contract through the Legal Panel
Through the
Gateway on a monthly basis or as otherwise required by the
Legal Panel
Panel Contract or Legal Services Contract.
Gateway

3.1.2 Refresh of the Key Personnel CV, to be provided by Contract

31 August of each year throughout the Term of the Panel Manager
Contract.
Through the
Legal Panel
Gateway

3.1.3 Annual report on the Pro Bono Services provided in Contract

accordance with the Panel Contract in each Contract Year Manager
and any financial year following the Final Contract Year
including: Through the
Legal Panel
ˆ Dates on which the Pro Bono Services were provided
Gateway
ˆ Approved Cause for which each of the Pro Bono
Services were provided
ˆ Name and level of each of the Service Provider’s
Personnel who provided the Pro Bono Services
ˆ The value of the Pro Bono Services provided.
ˆ The number of hours of pro bono legal services (including
the Pro Bono Services) undertaken anywhere in Australia
by any of the Personnel or sub-contractors of the Service
Provider who are lawyers who hold a practising certificate
issued under the Legal Profession Act 2004 (Vic)
(Victorian lawyers), expressed as the average number
of hours of such pro bono legal services undertaken per
Victorian lawyer.
The report is to be updated quarterly (30 September,
31 December, 30 March and 30 June) and completed by
31 December following the end of each such financial year.
3.1.4 Assurance of Compliance Report in the form in Annexure 1 Contract
to be completed and provided within 14 days of the end of Manager
each calendar quarter during the Term of the Panel
Contract. Through the
Legal Panel
Gateway

3.1.5 Head Note Report to be completed and provided within Agency

14 days of the end of each calendar quarter during the Term Contract
of the Panel Contract and the term of any Legal Services Managers
Contract under that Panel Contract.
Through the
Legal Panel
Gateway

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Reports to be provided by Service Providers To

3.1.6 Barrister Briefing report to be completed annually and Contract
provided by 30 September following any Contract Year, Manager
including following the final Contract Year.
Through the
The report must include the number of barristers briefed and Legal Panel
the amount of their fees broken down by: Gateway

ˆ Gender
ˆ Level of barrister (junior or QC/Senior)
ˆ Jurisdiction
ˆ Advice or litigation
ˆ Area of law involved

3.1.7 Equal Opportunity (EO) report to be completed and provided Contract

annually by 30 September following any Contract Year, Manager
including following the final Contract Year.
Through the
The report includes: Legal Panel
Gateway
ˆ A copy of the EO policy and work practices in place
including work/life balance and diversity (broadly
considered and not just gender) in the work place
ˆ The number and level of men and women lawyers who
work full time and part time (defined as working less than
5 days a week or less than 40 hours a week)
ˆ The number and level of men and women lawyers who
work full time and part time who were promoted during
the year
ˆ The total number of male and female lawyers
ˆ Three examples of how the EO policy has been
implemented in the recruitment, promotion and retention
of staff

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3.2 Reports to be provided to Service Providers

Reports to be provided to Service Providers By

3.2.1 Half yearly and annual reports of the total Legal Services Contract
Fees and Counsel’s fees paid in respect of Legal Services Manager
Contracts under the Panel Contract by:
Through the
ˆ Agency Legal Panel
Gateway
ˆ Area of Law
ˆ Panel Type
ˆ Counsel fees
ˆ Disbursements
ˆ Out of pocket expenses
ˆ GST and
ˆ Total legal costs

provided by 31 January and 31 July in each Contract Year

and by 31 July in the year following the final Contract Year
(except that where a Panel Contract is terminated by the
Lead Department under clause 24.1 of the Panel Contract,
the Contract Manager will have no obligation to provide
further reports specified in this item 3.2.1 to the Service
Provider under that Panel Contract).

3.2.2 Reports of Pro Bono Amounts in respect of the Service Contract

Provider as follows: Manager

ˆ half yearly report of Pro Bono Amount calculated in Through the

respect of the six month period from 1 July to Legal Panel
31 December, provided by the following 31 January; and Gateway
ˆ annual report of Pro Bono Amount calculated in respect
of the financial year commencing on 1 July and ending on
30 June, to be provided by the following 31 July.
3.2.3 Annual performance review report which may include: Contract
Manager
ˆ Client satisfaction survey results
Through the
ˆ Assessment against each of the KPIs
Legal Panel
ˆ Audit findings Gateway
ˆ Complaints findings
ˆ Disclosure of any Conflict of Interest, Incidents and
Probity Events
provided within 90 days of the end of each Contract Year
(except that where the Panel Contract is terminated by the
Lead Department under clause 24.1 of the Panel Contract,
the Contract Manager will have no obligation to provide
further reports specified in this item 3.2.3 to the Service
Provider under that Panel Contract).

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3.3 Variations to the SLA

The following procedures apply regarding variations to the SLA:

(a) the Contract Manager, an Agency Contract Manager or any Service

Provider may submit a SLA Variation Request to the Executive Contract
Manager;

(b) all requests must be in writing and contain the following information:

(i) a description of the variation requested and rationale;

(ii) the date from which it is proposed the variation becomes effective;
and

(iii) draft wording of the variation sought.

(c) the Executive Contract Manager will decide whether the request will
necessitate an amendment to the SLA, and if so the Executive Contract
Manager will draft the amendment and provide it to Government Lawyers
Forum for discussion.

(d) The Executive Contract Manager may seek comment from the relevant
Service Providers concerning the proposed amendment in his or her
absolute discretion.

(e) If the Government Lawyers Forum and the relevant Service Providers
agree to the proposed amendment, then the terms of the SLA in the
relevant Panel Contract will be amended with effect from the date.

(f) The State will not be obliged to agree to any variation to the SLA in this
Agreement which is not to be made to all relevant Panel Contracts, but may
in its absolute discretion do so.

(g) Upon agreement as to any amendment to the SLA in this Agreement:

(i) the Executive Contract Manager will note the amendment in the
relevant section of the original of this Agreement and attach the
amendment; and

(ii) the Executive Contract Manager will notify the GLF and the
Agency Contract Managers and the Service Provider for
implementation.

(h) a control file will be kept by the Executive Contract Manager of resolved
and outstanding requests for variations to the SLA under this item 3.3.

3.4 SLA dispute resolution

Any disputes related to the Service Providers’ obligations under the Service Level
Agreement will be resolved according to clause 30 of the Panel Contract.

4. Governance
Responsibility for the management of the SLA is detailed in the table below.

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Entity Responsibilities
Lead Department Responsible for the development, establishment and overall
management of the Panel arrangements. Appoints the Contract
Department of Justice Manager.

Executive Contract Executive Contract Manager is to:

Manager
ˆ be the decision maker on all exemption requests
ˆ determine variations and changes to Service Levels, SLA
Outcomes and KPIs (note any proposed changes to the terms
and conditions of this Agreement or any other Panel Contract
will be referred to the Government Lawyers Forum);
ˆ exercise statutory and regulatory decision making;
ˆ exercise the option for extension or termination of this
Agreement or any other Panel Contact;
ˆ remove or add Service Providers as Service Providers, extend
or vary the services to be made available by a Panel, in
accordance with the terms of the Panel Contracts;

ˆ determine whether the Service Provider has complied with the

requirements of a Panel Contract and any Legal Services
Contract under that Panel Contract in relation to any Conflict of
Interest; and

ˆ determine whether to suspend or terminate a Service

Provider’s membership on the Panel.

Contract Manager Oversight of General Panel, Commercial Projects Panel and

Specialist Panels with responsibility for overall category and
contract management of the Panel arrangements including:

ˆ develop and implement the category management plan

including communication strategy, transition, value for money
and identify continuous improvement opportunities;
ˆ maintain the Legal Panel Gateway;
ˆ monitor client satisfaction with Service Providers;
ˆ monitor overall performance of Service Providers including
audit and quality assurance processes and determination as to
the composition of the Panel;
ˆ review of performance of Service Providers against SLA
Outcomes and KPIs;
ˆ create protocols and procedures for the Panel;
ˆ manage and report on exemption requests by department and
statutory bodies;
ˆ create and maintain a cross-Agency legal advice database;
ˆ benchmark performance and service delivery arrangements
between Service Providers and the State; and
ˆ monitor and report on Service Providers compliance to EO, pro
bono, model litigant and other policies, guidelines and work
practices.

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Entity Responsibilities
ˆ approve any application by an Agency to be added as a Client

Government Lawyers The GLF is responsible for:

Forum (GLF)
ˆ periodic review of the outcomes from the Panel Contracts from
a whole of Government perspective; and
ˆ provision of policy and guidance on the legal requirements of
the State and Agencies.

Agency Contract Each Agency Contract Manager is to:

Manager
ˆ obtain regular reports as to legal services acquired by the
Agency;
ˆ be the main point of contact with the Contract Manager and a
conduit for communications to their agency;
ˆ maintain the Legal Panel Gateway;
ˆ communicate operating arrangements for the Panel to contract
users within their Agency;
ˆ implement and support identified value for money and
continuous improvement initiatives;
ˆ conduct ongoing review of performance of Service Providers
against the SLA;
ˆ assist Agency Personnel in framing requests for the provision
of the Services from Service Providers;
ˆ determine work to be referred to the VGSO;
ˆ identify operational legal issues and developing strategies,
policies and interventions to address these issues;
ˆ advise Agency Personnel of the most appropriate Service
Providers to provide the Services required;
ˆ maintain a legal advice database for the Agency; and
ˆ contribute to the cross-Agency legal advice database;

ˆ coordinate the completion of Client Satisfaction Surveys

across the Agency;

ˆ provide reports and survey results on the resolution of any

complaints resolved by the Agency Contract Manager on the
management of costs; and

ˆ provide reports and survey results on the resolution of any

complaints regarding the Model Litigant Guidelines.

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Entity Responsibilities
Victorian Government The role of the VGS is to
Solicitor
ˆ provide practice management expertise in the day to day
management of the contract and category;
ˆ provide legal advice to the Contract Manager; and
ˆ provide an informed purchaser service for Agencies that
request that service.

Service Provider Compliance with provisions of this Agreement including the SLA

Agencies The role of Agencies requiring services under this Agreement is

to:

ˆ appoint an Agency Contract Manager to manage the Agencies’

rights and obligations under this Agreement and be a conduit
of information back to Agency Personnel;
ˆ provide support to the roles and responsibilities of the Agency
Contract Manager; and
ˆ establish and maintain the necessary records systems to
support the obligations of the State and the Agency under this
Agreement and provide access to any records required by the
Contract Manager.

4.1 Governance and Performance Management Meetings

Meeting Frequency
Government Lawyers Forum Bi-monthly

ˆ Discuss contractual management issues, Service Providers’

performance, Panel effectiveness, improvements to the Panel
administration and develop and review policies and guidelines
affecting the Panel arrangements.
ˆ Review client satisfaction
ˆ Consider changes of services that may impact on the SLA
ˆ Review government’s requirements for legal services
ˆ Review of Service Providers’ corrective action if applicable
ˆ Consider and recommend termination or suspension of Service
Providers from the Panel

The Executive Contract Manager will, if required, determine the

removal of current Service Providers and the appointment of
alternative service providers, in accordance with the terms of the
relevant Panel Contract.

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Meeting Frequency
Contract Manager and Agency Contract Managers’ Annual
assessment of Service Provider performance

ˆ Performance assessment reports based on KPIs

Review of composition of Panel by Contract Manager and Annual

Agency Contract Managers

ˆ Performance reports against KPIs

ˆ Consider, recommend and agree changes to composition of
Panel.

The Executive Contract Manager will, if required, determine

changes to the Panel composition and size.

Contract Manager and Relationship Manager Annual and as required

ˆ Review of performance
ˆ Put in place and report on any corrective action
ˆ Discuss any changes to improve the administration of the
Panel arrangements

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5. Agency Contract Managers

Agency Contract Managers

Agency First Name Last Name Title Address Telephone Email Fax

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Annexure 1: Assurance of Compliance Report

Assurance of Compliance Report

Name of Service Provider

Name of Partner/Officer providing the assurance
Period covered by the assurance From [xxx] to [yyy]

1. Conflict of Interest
Please provide assurance that the Service Provider has complied with the disclosure of any Conflict of Interest as
required by clause 22 of the Panel Contract.

Complied Yes No
Non-Compliance issues [Must specify Conflict of Interest and any client or matter
potentially affected or affected]
Action taken to ensure compliance

2. Disclosure of Incidents or Probity Events

Please provide assurance that the Service Provider has complied with the disclosure of any Incidents or Probity
Events as required by clause 22 of the Panel Contract.

Complied Yes No
Non-Compliance issues [Must specify incident and person who is the subject of
incident]
Action taken to ensure compliance

3. Notification of Non-availability of key personnel

Please provide assurance that the Service Provider has complied with the notification of the non-availability of key
personnel and provided a Notice of replacement as required by clauses 10.2 and 10.4 of the Panel Contract.

Complied Yes No
Non-Compliance issues [Must specify key personnel and circumstances of
non-availability]
Action taken to ensure compliance

4. Model Litigant Guidelines

Please provide assurance that the Service Provider has complied with the Model Litigant guidelines as required
by clause 31 of the Panel Contract.

Complied Yes No
Non-Compliance issues [Must specify client, matter and failure to comply]
Action taken to ensure compliance

5. Monitoring and reporting of costs

Please provide assurance that where the Service Provider has provided an Estimate or is providing Services
where there is a fee cap, that you have informed the Client no later than the time the legal costs accrued or
incurred in respect of the Services reached 90% of that Estimate or fee cap.

Complied Yes No
Non-Compliance issues [Must specify client, matter and failure to comply]

Action taken to ensure compliance

Signed

Name
Title Date

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