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Invitation for Expressions of Interest

(Invitation)

Invitation title: / External Intervention Panel – Expressions of Interest
Reference number: / F-16-100
Date of issue: / 26 February 2016
1

Table of contents

Introduction

Structure of the invitation

1.Part A – The invitation

Part A.1 – About this invitation

Part A.2 – Overview of requirements

Part B – Conditions of participation

Part B.1 – The Board’s specific requirements

Part B.2 – Victorian Government specific requirements

1.1Invitation

1.1.1Invitation

1.1.2Accuracy of invitation

1.1.3Additions and amendments

1.1.4Availability of additional materials

1.1.5Representation

1.1.6Licence to use Intellectual Property Rights

1.2Communication

1.2.1Communication protocol

1.2.2Requests for clarification

1.2.3Unauthorised communication

1.2.4Anti competitive conduct

1.2.5Consortia and trustees

1.2.6Complaints about this Invitation

1.3Submission of an invitee’s response

1.3.1Lodgement

1.3.2Late invitee’s response

1.3.3Providing an invitee’s response

1.3.4Obligation to notify errors

1.3.5Use of an invitee’s response

1.3.6Withdrawal of an invitee’s response

1.3.7Status of invitee’s response

1.3.8Disclosure of EOI contents and EOI information

1.4Capacity to comply with the overview of requirements

1.5Evaluation

1.5.1Evaluation process

1.6Next stage of the EOI process

1.6.1Options available to the Board

1.7No legally binding contract

1.8Invitee warranties

1.9Board’s rights

1.10Governing Law

1.11Interpretation

1.11.1Definitions

2.Part C – Invitee’s response

Introduction

The Victorian Legal Services Board (Board) is responsible for:

(a) ensuring the effective regulation of the legal profession and the maintenance of professional standards;

(b) addressing the concerns of clients of law practices and legal practitioners through the regulatory system and providing for the protection of consumers of legal services;

(c) ensuring the adequate management of trust accounts; and

(d) contributing to the effective administration of the Legal Profession Uniform Framework through cooperation with other involved entities.

The Board is seeking responses to the invitation for the supply of services as outlined in Part A.2.

The Board seeks to gain a more detailed understanding of the supplier market for persons suitably qualified to be appointed as supervisors of trust money, managers and/or receivers of regulated property within the meaning of the Legal Profession Uniform Law (Victoria). Hence, this EOI process may be the first stage of a multi stage procurement process. For further information relating to the next stage of the EOI process refer to clause 1.6.1 of Part B.2.

Structure of the invitation

This Invitation comprises the following sections:

  • Introduction – contains an overview of the structure of the documents.
  • Part A – The Invitation

– Part A.1 – About this Invitation provides establishment details about the procurement opportunity; and

– Part A.2 – Overview of requirements describes the services in respect of which the Board invites EOIs from interested parties.

  • Part B – Conditions of participation sets out the rules applying to the EOI process for the supply of services. The rules are separated into organisational and whole of Victorian Government specific rules.
  • Part C – Invitee’s response details the information to be provided by invitees. Part C may include templates to be completed.

1. Part A – The invitation

Part A.1 – About this invitation

  1. Establishment details

Organisation name: / Victorian Legal Services Board
EOI title: / External Intervention Panel – Expressions of Interest
EOI reference number / F-16-100
  1. Registration

Registration location / Invitees must register their interest by submitting a completed EOI (including a response to Part C) by email to .
  1. Organisation contact

Project manager
Name: / Howard Bowles
Position title: / Manager
Business unit / Regulatory Intervention
Contact details: / 03 9679 8001
Second contact person
Name: / Gordon Cooper
Position title: / Assistant Manager
Business unit / Regulatory Intervention
Contact details: / 03 9679 8001
  1. Closing time

Closing time
Australian Eastern daylight saving time / 5.00pm, Sunday 3 April 2016
  1. Lodgement details

Electronic lodgement
Email address /
Access restrictions (if any) / N/A
Other requirements / Documents are to be provided in PDF or Word format no larger than 10Mb
  1. Indicative timetable

Please note: this timetable provides invitees with an indication of the timing of the EOI process. The timetable is indicative only and may be changed by the organisation in accordance with clause 1.5.1 of Part B.2.

Activity / Date
Invitation issued / 26 February 2016
Invitation briefing (if applicable) / N/A
End of period for questions or requests for information / 5.00pm on Wednesday 30 March 2016
Closing time for invitee’s response / 5.00pm on Sunday 3 April 2016
Intended completion date of short listing process / 5.00pm on Monday 18 April 2016
Negotiations with invitee(s) (if applicable) / N/A
Intended date of next stage – issue of invitations to submit a tender / Tuesday 26 April 2016
  1. Additional materials

Description / Location
Legal Profession Uniform Law Application Act 2014 (Victoria) – see in particular Schedule 1, Chapter 6 / http://www.legislation.vic.gov.au
  1. Evaluation criteria

An invitee’s response will be evaluated against:

(a)The evaluation criteria identified in the table below; and

(b)the overall proposition presented in the invitee’s response.

Mandatory requirements / Complies
Some or all of the nominated candidates put forward by the invitee meet the statutory requirement/s for appointment to the EI Panel; and / Yes/No
Some or all of the nominated candidates put forward by the invitee have experience in legal practice, law practice management and/or managing law practice trust accounts, and a demonstrated capacity to fulfil the functions outlined at Part A.2 of this EOI / Yes/No

Note: responses that do not meet the mandatory requirements will not be invited to submit a tender

Other evaluation criteria
(a)The invitee has the financial capacity to meet disbursement expenses that may be required to be met, pending reimbursement from the law practice or the Public Purpose Fund.
(b)The invitee has appropriate public liability insurance, professional indemnity insurance and, where appropriate, workers’ compensation insurance, for the purpose of providing the services sought by the Board.
(c) The suitability of the candidate or candidates nominated by the invitee. (In giving consideration to a candidate’s suitability, the Board may have regard to the types of matters outlined in Rule 13 of the Legal Profession Uniform General Rules 2015).
(d) The invitee offers market competitive rates representing value for money.
(e) The invitee demonstrates that the candidates have sufficient resourcing to provide the services outlined in Part A.2.

Part A.2 – Overview of requirements

The Board is calling for expressions of interest in a tender for appointment to the Board’s External Intervention Panel (the EI Panel). At the completion of the tender process, successful applicants will be placed on the EI Panel and may be called upon to provide the services outlined below. Invitees are advised that placement on the EI Panel is not a contract to provide services. Rather, the EI Panel is a list of suitably qualified persons who are eligible to be appointed as the need arises to exercise statutory functions.

Invitees who meet the evaluation criteria will be invited to submit a tender and will be provided with the complete tender criteria and an outline of the tender process.

Background

The Board is an independent statutory authority responsible for regulating the legal profession in Victoria in accordance with the Legal Profession Uniform Law Application Act 2014 (which gives effect in Victoria to the Legal Profession Uniform Law [the Uniform Law]).

One of the Board’s principal objectives is to ensure that lawyers practising in Victoria maintain high ethical and professional standards, and to protect the interests of clients and the public. The Board is empowered by Chapter 6 of the Uniform Law to appoint suitably qualified people to intervene in law practices, where such intervention is considered necessary to protect clients, the general public and/or associates and employees of a law practice.

Purpose of External Interventions

Circumstances that may give rise to an external intervention include:

  1. where a law practice ceases to have a principal as a result of death or misadventure, or the loss by the principal of his or her licence to engage in legal practice; or
  2. where the Board forms the reasonable belief that there are irregularities with a law practice’s handling of trust money or trust property; or
  3. where the Board forms the reasonable belief that the management of the practice is detrimental to the clients or associates and employees of the practice; or
  4. where an incorporated legal practice has been wound up, deregistered or dissolved and there is a need to deal with regulated property, such as client files and trust money.

The Uniform Law provides for the following types of external intervention:

  1. Supervisors of trust money

A supervisor of trust money has the powers and functions of the law practice in relation to the practice’s trust money and trust accounts only.

A supervisor is typically appointed where the Board believes on reasonable grounds that there are inadequacies in the way a law practice has handled and accounted for trust money. A supervisor’s duties may include: reconstructing trust records; operating and authorising trust account transactions; implementing suitable and compliant procedures for handling trust money; and, if necessary, giving evidence in civil and/or criminal proceedings arising from the intervention.

Candidates for appointment as a supervisor must be either:

(a) An Australian legal practitioner who holds an Australian practising certificate as a principal authorising the receipt of trust money; or

(b) A person holding accounting qualifications with experience in law practice trust accounts.

Candidates must have in-depth knowledge of the statutory and regulatory provisions relating to all aspects of trust accounting and experience in overseeing law practice trust accounts. Accounting qualifications and/or experience in reconstruction of trust account records will be highly regarded.

  1. Managers

A manager of a law practice may carry on the law practice and do all things that the law practice can do, including but not limited to: transacting business on behalf of clients; accepting new clients; dealing with trust money; and winding up the affairs of a practice.

There are a broad range of circumstances in which it may be necessary to appoint a manager to a law practice, and managers may be appointed to practices that specialise in all areas of the law. Accordingly, a Board appointee must be capable of supervising general legal practice (including the supervision of legal practitioner employees and other staff), and should be capable of analysing business systems and implementing measures necessary to ensure that the practice meets its obligations to its clients, employees and other stakeholders.

In executing his or her functions, a manager may be required to:

  • liaise with the owner/s of the practice and its clients, creditors and other interested parties;
  • operate trust and office accounts;
  • initiate litigation relating to the winding up of a practice’s affairs (particularly where there are apparent trust account deficiencies);
  • engage and direct forensic accountants, auditors and other specialists;
  • arrange for the sale of assets; and
  • take measures to secure from interference trust property.

A manager may also be required to give evidence in civil and/or criminal proceedings and to work with investigators appointed by the Board and/or law enforcement agencies. Accordingly, the role often calls for a solid working knowledge of insolvency law and civil litigation.

In most circumstances, an appointee must be an Australian legal practitioner who holds an Australian practising certificate authorising the receipt of trust money.

  1. Receivers

The role of a receiver of a law practice is to be the receiver of regulated property of the law practice and to wind up and terminate the affairs of the law practice.

A receiver may be appointed by the Supreme Court of Victoria upon an application by the Board, and is expected to use his or her statutory powers to trace and recover regulated property, and to take all necessary steps to wind up and terminate the affairs of the subject law practice expeditiously. Although a prior external intervention is not a condition precedent for a receivership, a receiver may be appointed where a supervisor or manager had previously been appointed and the Court determines that it is appropriate in the circumstances to convert the arrangement into a receivership.

Candidates for appointment as a receiver must be either:

(a) an Australian legal practitioner who holds an Australian practising certificate as a principal authorising the receipt of trust money; or

(b) a person holding accounting qualifications with experience in law practice trust accounts.

Invitees should note that external interveners are appointed in their personal capacity and that appointees are required by the Uniform Law to hold the qualifications outlined above. Firms that wish to express interest must nominate suitably qualified individuals, but may nominate more than one person to be on the EI Panel.

Invitees are also advised that the Board welcomes EOIs from sole practitioners as well as from partners, principals or senior employees of other types of practice (including accounting practices), and anticipates that the EI Panel will comprise practitioners from a wide range of practices and with different practice backgrounds.

Part B – Conditions of participation

Part B.1 – The Board’s specific requirements

  1. Complaints procedure

The Board places a high level of importance on the way it conducts procurement and how it interacts with the market. This complaint management process is intended to give invitees a mechanism to raise concerns about how the Board manages this EOI.

All questions or concerns about this EOI process are to be directed at first instance to the project manager or the second contact person.

In the event that an invitee is dissatisfied with the handling of their concern, a complaint about this EOI process may be made in writing to the Board’s EOI Review Officer (ERO) by email to . The ERO will acknowledge receipt of your complaint within five (5) business days and outline:

(a) The contact person for dealing with the complaint;

(b) The process to be undertaken in reviewing the complaint; and

(c) The approximate timeline to address the complaint.

The ERO may require additional information from the complainant to facilitate proper consideration of the subject of the complaint. Any additional information sought by the ERO is to be provided to the contact person within five (5) business days. An extension of time for the provision of additional information may be granted by the ERO at the ERO’s discretion absolutely.

Within twenty (20) business days, the ERO will address the complaint in writing, inform the complainant of his or her findings, and notify the complainant of what – if any – further action may be taken by the ERO.

The ERO and any contact person involved in reviewing a complaint about the EOI process will be a person with appropriate knowledge of the assessment criteria, procurement policies and relevant processes, but will have no direct involvement in handling or assessing the responses from invitees.

A complainant who is dissatisfied with the ERO’s determination of the complaint may choose to pursue the matter with the Victorian Government Purchasing Board.

  1. Location of Tender Box

The Board will not be using a tender box for responses to this EOI. Invitees are to provide their response by email as outlined at paragraph 5 of Part A.1 above.

Part B.2 – Victorian Government specific requirements

1.1 Invitation

1.1.1 Invitation

This invitation is not an offer. It is a formal request for invitees to submit an invitee’s response for the supply of services in response to the Board’s requirements in Part A.2. Nothing in this Invitation is to be construed as creating any binding contract for the supply of services (express or implied) between the Board and any invitee.

1.1.2 Accuracy of invitation

The organisation does not warrant the accuracy of the content of this Invitation and will not be liable for any omission from the Invitation documents.

1.1.3 Additions and amendments

The Board reserves the right to change any information or to issue an addenda to this Invitation.

1.1.4 Availability of additional materials

Additional materials (if any) may be accessed in the manner set out in Item 7 of Part A.1. Invitees should familiarise themselves with the additional materials.

1.1.5 Representation

No representation made by or on behalf of the Board in relation to this Invitation (or its subject matter) will be binding on the Board unless the representation is expressly incorporated into any contract(s) ultimately entered into between the Board and an invitee.

1.1.6 Licence to use Intellectual Property Rights

(a) Persons obtaining or receiving this Invitation and any other documents issued in relation to this Invitation may use the documents only for the purpose of preparing an invitee’s response.

(b) Such Intellectual Property Rights as may exist in this Invitation and any other documents provided to the invitees by or on behalf of the Board in connection with the EOI process are owned by (and will remain the property of) the Board except to the extent expressly provided otherwise.

1.2 Communication

1.2.1 Communication protocol

All communications relating to this Invitation and the EOI process must be directed to the project manager or the second contact person.

1.2.2 Requests for clarification

(a) Any questions or requests for clarification or further information regarding this Invitation or the EOI process must be submitted to the Board contacts in writing no later than Wednesday 30 March 2016.

(b) The Board is not obliged to respond to any question or request for clarification or further information.

(c) The Board may make available to other prospective invitees details of such a request together with any response, in which event those details shall form part of this Invitation.

1.2.3 Unauthorised communication

(a) Communications (including promotional or lobbying activities) with staff of the Board or consultants assisting the Board with the EOI process are not permitted during the EOI process except as provided in clause 1.2.2 above, or otherwise with the prior written consent of the Board contacts.

(b) Nothing in this clause 1.2.3 is intended to prevent communications with staff of, or consultants to, the Board to the extent that such communications do not relate to this Invitation or the EOI process.

(c) Invitees must not engage in any activities or obtain or provide improper assistance that may be perceived as, or that may have the effect of, influencing the outcome of the EOI process in any way. Such activities or assistance may, in the absolute discretion of the Board, lead to disqualification of an invitee.

1.2.4 Anti competitive conduct

Invitees and their representatives must not engage in any collusion, anti competitive or similar conduct with any other invitee or person in relation to the preparation, content or lodgement of their invitee’s response. In addition to any other remedies available to it under law, the organisation may, in its absolute discretion, disqualify an invitee that it believes has engaged in such collusive or anti competitive conduct.