REQUEST FOR LEGAL APPROVAL (RLA) FORM

(AGREEMENTS FOR GOODS, SERVICES, LEASE OR PROPERTY TRANSFER)

Please complete this form and submit it to the Legal Office with the final version of the Agreement or other legal document to enable the Contracts Officer to process it for signature by the delegated officer.

Title/Short Description ______

Contractual Parties UNE and ______

Total Agreement Amount[1] ______

I certify that as the Project Officer with operational responsibility for the project or matter (Project) to which the Agreement relates:
The Agreement / I confirm I have read the Agreement (particularly its ‘commercial’ terms and conditions) and recommend that UNE enter into the agreement.
Budget / I confirm that the Project is budgeted for, including amounts UNE is liable to pay under the Agreement.
Procurement / The total value of this Agreement (including variations) is ☐/ is not☐for goods or independent contractor services valued above $10,000.[2]
If above $10,000, please attachcopies of either the quotes or approved Procurement Exemption Form.
If above $250,000, please attach evidence of involvement of UNE’s Strategic Procurement Directorate (and, if applicable, please attach evidence of any Committee (e.g. VC Tender Committee or Finance & Infrastructure Committee) level approval.[3]
GIPA (Government Information (Public Access) Act 2009 (NSW) (GIPA Act). / The total value of this Agreement (including variations)is ☐/ is not☐above $150,000 (GST Inclusive)
If above $150,000 (GST Inclusive) including variations, please complete the attached GIPA Act Compliance - Contract Information Form.

______/ __ / __

Name of UNE Project OfficerSignature and date

I confirm that I approve the attached Agreement to be sent to Legal to arrange execution by UNE:

______/ __ / __

Name of HOS, Director or equivalentSignature and date

If the Project value exceeds $10,000, then endorsement is required by Executive with portfolio responsibility:

______/ __ / Name Signature and date

Government Information (Public Access) Act 2009 (NSW)

COMPLIANCE – CONTRACT INFORMATION

PART AWhich Class does this contract belong to? (S27 GIPA Act)

Class / Description / Information Required
Class 1 (S29 GIPA Act) / A contract is a Class 1 contract if it has (or is likely to have) a value of $150,000(GST Incl) or moreincluding variations / Yes / No
If Yes, please provide information against Class 1in Part Bbelow AND check if this contract falls into Class 2 as well
Class 2 (S30 GIPA Act) / A contract is a Class 2 contract if it meets the meets the criteria for being a Class 1 Contract and, in addition, any of the following applies:
(a) there has not been a tender process, the proposed contract has not been made publicly available and the terms and conditions of the contract have been negotiated directly with the contractor,OR
(b) the proposed contract (whether or not made publicly available) has been the subject of a tendering process and the terms and conditions of the contract have been substantially negotiated with the successful tenderer,OR
(c) the obligations of one or more parties under the contract to maintain or operate infrastructure or assets could continue for 10 years or more,OR
(d) the contract involves a privately financed project as defined by guidelines published by the Treasury (as in force from time to time),OR
(e) the contract involves a transfer of a significant asset of the agency concerned to another party to the contract in exchange for the transfer of an asset to the agency. / Yes / No
If Yes, please provide information against Class 1 AND Class 2in Part Bbelow
Class 3 (S31 GIPA Act) / A contract is a Class 3 contract if it meets the criteria for being a Class 2 Contract and, in addition, it has (or is likely to have) a value of $5 million (GST Incl) or more / Yes / No
If Yes, please provide information against Class 1, Class 2 AND Class 3 in Part B below

Part B.Please provide the required information, on the following basis:

For Class 1 Contracts – provide responses in Class 1 section only

For Class 2 Contracts – provide responses in Class 1 AND Class 2 sections only

For Class 3 Contracts – provide responses in Class 1, Class 2 AND Class 3 sections

Class / Required Information under GIPA Act S 29-31 / Response
Class 1 / Will there be any related bodies corporate* that will be involved (e.g. sub-contracted by the contractor) in carrying out the contractual obligations?If so, please provide the following information for each entity:
(a)name
(b)address
(c)its relationship to the Contractor
* A body is a “related body corporate” of another body if is it either (i) a holding (parent) company; or (ii) a subsidiary; or (iii) a subsidiary of a holding (parent) company, of the other body.
What are the provisions for contract renegotiation?
What are the provisions for variation of contract amount?
What was the method of tendering (e.g. opentender, select tender, closed tender)?
What were the main criteria against which thetenders were assessed?
Are there any provisions for payment to the contractor for operational or maintenance services?
Class 2 / Details of future asset transfers to the state at zero on nominal value.
Details of future asset transfers to the contractor
Components and quantum of the public sector comparator
Information used in contractor base case financial model
Was a cost-benefit analysis done and, if so, what were the results?
Provide particulars of how risk will be apportioned, if relevant
Provide particulars of any significant guarantees or undertakings between the parties
Provide particulars of any other key elements of the contract
Class 3 / Copies of class 3 contracts must be published, subject to the redaction of any information that can be withheld inaccordance with s32 of the GIPA Act*.
Are there any reasons why a FULL copy of the contract should not be made publically available on the UNE web?
If not, please provide:
(a) the reasons why the contract or those provisions should not be included in the register?, AND
(b) a statement as to whether it is intended that the contract or those provisions will be included in the register at a later date and, if so, when it is likely that they will be included?, AND
(c) if some but not all of the provisions of the contract have been included in the register, a general description of the types of provisions that have not been included.
*UNE can withhold the following confidential information relating to a contract:Details of any unsuccessful tender; any matter that could reasonably be expected to affect public safety or security; or any information where there is an overriding public interest against disclosure. / Please contact the Legal Office to assist you with these requirements for Class 3 contracts

Contact the Legal Office on ext 3096 with any queries about this form

[1]This is the total value of the Agreement (including any variation(s)previously signed,and any variationintended to be signed in connection with this RLA) including GST.

[2]If the Agreement is for goods or independent contractor services, and is valued above A$10,000, you must ensure that the appropriate number of quotes have been acquired or Procurement Exemption approved (in accordance with UNE’s Procurement Policy and Procedures).

[3]Refer UNE’s Procurement Policy and Procedures (and/or seek advice from UNE’s Strategic Procurement Directorate) regarding applicability of Committee-level approval.