Procurement Plan Template

PROCUREMENT PLAN
For procurement of goods/services (excluding construction works)
through open tender or for procurements of $100,000 or more
[Instructions and guidence] [Content to be inserted by the Procurement Officer]
[Ensure all highlighting has been completed or removed prior to approval]
[This procurement plan must be approved prior to approaching the market]
[Nature of Goods/Services] for [Nature of the Project] at
[Name of School] (the School)
[Procurement Title e.g. Design services for the design of a four classroom block at Bugtown School]
[Reference number if available]
Contents
1.
Purpose and objectives....................................................................................................... 3
2.
Background ......................................................................................................................... 3
3.
Our requirements ................................................................................................................ 3
4.
Procurement value and budget ........................................................................................... 6
5.
The Contract ....................................................................................................................... 7
6.
Market research and engagement ...................................................................................... 7
7.
Stakeholder Engagement ................................................................................................... 7
8.
Procurement strategy.......................................................................................................... 8
9.
Roles, responsibilities and control points............................................................................ 8
10.
Timeline ............................................................................................................................ 10
11.
Evaluation plan ................................................................................................................. 11
12.
Price evaluation ................................................................................................................ 15
13.
Due diligence .................................................................................................................... 15
14.
Conflict of Interest process ............................................................................................... 15
15.
Award and debrief ............................................................................................................. 16
16.
Risk register ...................................................................................................................... 16
17.
Procurement plan approval ............................................................................................... 17
 ..............................................................................................................................................................................
 ....................................................................................
1. Purpose and objectives
1.1
The purpose of this document is to detail the plan for the procurement of [Procurement title]
for [the Board of Trustees (BoT) of [name of School] [OR] [the Ministry business unit] (The
Buyer). The procurement will be conducted through a [specify the approach to market
method] [e.g. single/two stage open tender, closed Request for Proposal (RFP) to [number]
potential suppliers].
1.2
The objective of this procurement is to source the supply of [describe the
outcome/goods/services sought] [e.g. design services for the design of a four classroom block
at Bugtown School].
1.3
[This procurement relates to property construction/maintenance of schools and therefore the
privacy impact is minimal.][EIS procurement only: If for goods/services other than those
relating to property construction/maintenance of schools, contact a Procurement Leader for
further advice]
2. Background
2.1
[Describe the project (of which this procurement is a part) in enough detail to give context to
the procurement and to in turn enable a clear understanding of the overall requirements. This
may include:
 history to the project to date: what has lead to the project being undertaken
 the overall outcome sought and key considerations
 a description of the project
 an outline of the overall procurement strategy for the project including how this
procurement fits into the overall procurement strategy for the project and how other
elements of the project have been or will be procured.
3. Our requirements
[Our requirements sections should be drafted so that it can be copied and pasted directly into the
ROI/RFP/RFQ document]
Pre-conditions[Optional section]
[Pre-conditions are mandatory Requirements. They must be polar (yes/no), relevant,
demonstrable, not open to interpretation and not reversible once the tender closes. Any
Respondent/Proposal that does not meet all pre-conditions must be excluded from further
evaluation. Pre-conditions must be limited to:
 legal or financial capacity
 commercial or operational capacity or capacity to deliver
 appropriate technical skills or expertise or relevant experience
Examples of pre-conditions include:
 minimum qualification and/or membership of professional body
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 minimum level of relevant recent experience
 minimum availability Requirements (e.g. must be able to commence on the intended start
date)
 minimum capacity Requirements.
Pre-conditions must NOT include requiring Respondents to have specific experience with
the Ministry, a particular school, or schools in general.]
3.1
To be considered for this opportunity Respondents/Proposals must satisfy all of the following
pre-conditions:
 [pre-condition].
3.2
Respondents that are not able to meet all pre-conditions will be excluded from evaluation
(subject to Procurement Sponsor approval).
Required solution
3.3
[Describe the Requirements to be supplied which may include:
 Nature of the goods/services sought (e.g. project management, design services or
quantity surveying services)
 key deliverables
 an indicative overall project budget
 what is to be constructed
 outcomes sought
 the scope of the engagement
 site considerations
 time frames.]
3.4
[To be included if the engagement is to include the Requirement for Information and
Communication Technology (ICT) network design/products/installation][This engagement
includes the Requirement for the following Information and Communication Technology (ICT)
network design/products/installations:
 structured cabling (cabling and connectivity constructed according to standardised
rules to facilitate integration of voice, data, video, and other signals) product
supply and installation services] [and/or]
 wireless integration services product supply and installation services
ICT Network products and installations must comply with the Ministry’s ICT Cabling
Infrastructure Policy and Standards for Schools and the Respondent is (or must sub-contract
ICT installation to) one of the Ministry’s Approved ICT Installation Contractors (All Ministry
approved ICT Installation Contractors have been police vetted). Any change to ICT network
design must be approved by the Ministry prior to installation.]
3.5
The supplier will be required to comply with the requirements and recommendations of the
Health and Safety in Employment Act: 1992 and any subsequent amendments. Any accident,
incident or near miss must be notified to the project manager immediately.
3.6
[To be included if the engagement is likely to involve unsupervised access to students at the
School during normal school hours for that school][All supplier personnel (including those of all
sub-consultants) accessing the School during normal school hours [time am – time pm][normal
school hours for that School]will be required to be police vetted (a review by the BoT of a
person’s criminal conviction information held by the New Zealand Police Licensing and Vetting
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Service Centre). An adverse police vetting may result in the vetted person being refused access
to the School.]
3.7
The supplier will be required to maintain the following insurance:
 Public Liability insurance of no less than $5,000,000 per occurrence [CCCS (over
$50,000)]
 Professional Indemnity insurance of no less than five times the fee with a maximum
of $2,000,000 [CCCS (over $50,000)] which must be maintained for a minimum of
six years after completion of the services.
3.8
[To be included if the engagement involves design services][Design must comply with the
Ministry of Education’s Development Compliance Framework (DCF), the Property Strategy
2011-2021 and Property Management Policies for safe, flexible and inspiring learning
environments as set out at State Schools Design Standards, including:
 access for students with special education needs
 acoustics
 Building Warrant of Fitness (BWOF)
 environmental best practice guidelines for schools
 fire safety and design
 heating and ventilation
 health and safety in schools code of practice
 weather-tightness requirements
 durability
 energy efficiency
 Modern Learning Environments (MLE) design
 design quality requirements.]
Capability
3.9
[The capability (skills and expertise) required by the Respondent in terms of specific skills and
expertise (refer to specification where available) as evidenced by:
 membership of professional body/association
 relevant certification/accreditation or similar
 the nature and amount of recent experience relevant to the current procurement
e.g. no less than three years recent experience undertaking projects of a similar
size/nature to the Requirements][experience with a particular school or with
schools in general cannot be specified. As an alternative, consider stating
“Preference may be given to Respondents with experience delivering works of a
similar nature/size in institutional or comparable settings”]
 track record.
3.10 [Optional] The Requirement for Named Personnel (e.g. Lead Architect) and their capability
(skills and expertise) Requirements as evidenced by:
 minimum qualifications and/or membership of professional body/association
 relevant certification/accreditation or similar
 the nature and amount of experience recent relevant experience
 track record.]
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Capacity
3.11 [The resource requirements (e.g. suitable personnel) and the availability of those resources in
relation to the timeframe requirements (including for Named Personnel).]
3.12 [Optional][Contingency Requirements for ensuring that sufficient resources will be available
throughout the engagement to ensure full delivery by the anticipated completion date.]
4. Procurement value and budget
[The Procurement Value (used to determine the minimum approach to market method
threshold) is the total value of all expenditure which may result from the procurement
including the value of:
 the initial term/scope of the Contract(s) intended to result from the procurement
 all optional renewals/extensions and options for the purchase of additional goods, services
or works
 all contracts/engagements that may result from either the procurement or from the initial
Contract
 all premiums, fees or commissions to a supplier or broker
 all revenue/remuneration that a supplier may receive.]
4.1
The Procurement Value (maximum total estimated value) of this procurement is:
Description
Value ($NZ excluding GST)
Initial Contract quantity/term/scope
[$amount]
All potential extensions/renewals/variations
[$amount]
All potential additional expenditure
[$amount]
All follow-on Contracts/engagements that may result
from the procurement or from the initial Contract
[$amount]
Total Procurement Value
(Maximum Total Estimated Value)
[$amount]
4.2
[explanation for the composition of the Procurement Value][e.g. the potential for further
engagements/Contracts. Note that all actual/potential optional extensions, renewals
variations, additional expenditure and further resultant Contracts or engagements must be
outlined in our Requirements in both the Procurement Plan and ROI/RFP/RFQ to ensure that
potential suppliers are aware of what is in scope and what may optionally become within
scope of the procurement]
4.3
The budget for this procurement is $[amount]. The budget has been approved in writing by the
person with appropriate Delegated Financial Authority (DFA) (Procurement Sponsor). Prior
written approval of the Procurement Sponsor will be obtained should for any additional
budget.
4.4
Funding will be allocated from [detail source(s) of funding including cost centre codes where
appropriate].
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5. The Contract
5.1
The supplier will be engaged through a [specify the Contract template] contract.
5.2
[Detail any non-standard terms and conditions].
5.3
It is anticipated that the Contract will commence on [Date]. [The Contract will expire upon
completion (once all deliverables have been delivered), anticipated to be [Date] or as agreed
with the supplier. [OR] The table below outlines the expected term of the Contract. Any
extension to the initial term of the Contract will be made in accordance with the Conditions of
Contract following approval by the appropriate manager with DFA.]
Description
Months/Years
Initial Contract term
[Number] [Months/years]
Optional extensions
[Number] extensions of up to [Number] [Months/years]
Maximum potential Contract term
[Number] [Months/years]
6. Market research and engagement
6.1
[Outline the market research and engagement undertaken including:
 recent history of similar projects/engagements
 discussions with other comparable Buyers [e.g. other schools]
 discussions with potential suppliers
 discussions with other relevant parties [e.g. industry bodies/associations]]
6.2
[Outline the key findings of the market research findings used to inform the development of
the procurement strategy including:
 size and nature and current state of the supply market
 how the market operates
 availability of potential suppliers
 likely number of Respondents
 any other considerations that may influence development of the procurement strategy.]
7. Stakeholder Engagement
7.1
[List the key stakeholders consulted during the development of the Procurement Plan [e.g. the
BoT, school staff, the Ministry, local council, neighbours and outline key findings resulting from
stakeholder engagement used to inform the development of the Requirements and
procurement strategy.]
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8. Procurement strategy
8.1
[Detail the procurement strategy and the rationale for determining the strategy (including
findings from market research, engagement with potential suppliers and stakeholder
engagement). The Procurement strategy should include:
 approach to market method (e.g. open tender advertised on GETS or closed tender to
[number] potential suppliers, one stage RFP or two stage open ROI followed by closed RFP
to short listed Respondents)
 if closed; the names of potential suppliers to be invited to participate and the rationale for
their selection
 the use of pre-conditions
 site visits/briefings/interviews
 contract structure/term.
9. Roles, responsibilities and control points
9.1
Roles and responsibilities for this procurement are:
Name
Role
Responsibility
[Name]
Procurement Officer
Management and administration
of the procurement process
[Name]
Procurement Owner
Represent the internal client
business area
[Name]
Procurement Sponsor
Overall responsibility for the
procurement
Delegated Financial Authority
[Name]
(may be same as
Procurement Sponsor)
Contract signatory
 Undertake Price analysis and
scoring
 Provide financial advice
 Undertake active probity
auditing
[Name]
[e.g. Probity Officer]
 Provide Independent Probity
Advice
 Provide specialist advice
[Name]
[e.g. Specialist Advisors
regarding [detail]
[Note: the Procurement Sponsor must not be directly involved in the procurement; must not be the
Procurement Officer, Procurement Owner or an evaluator]
[Name]
[e.g. Financial Analyst]
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9.2
Control points for this procurement are:
[For BoT led: delete Procurement Leader column] [OR] [For EIS led: delete Ministry Property
Advisor column]
Procurement
Procurement
Ministry
EIS
Procurement
EIS
Owner
Property
Procurement
Sponsor
Procurement
Advisor
Leader
Officer
Director
[BoT led]
[EIS led]
Conflict of Interest
Management Plan
D
E
Procurement Plan
D
E
ROI / RFP
D
A
E
Evaluation
Workbook (Open
Tender)
D
A
E
Exclusion of a
Respondent from
full evaluation
D
E
E
Award of contract
($25k or more) to a
BoT member1
D
E
E
Recommendation
Report
D
E
C
Proposed Contract
D
E
C
E
A
E
A
A
E
E
A
E
A
S
Contract Signatory
D: Draft
E: Endorse (Support)
A
C: Copy to
A: Approve
1
S: Sign
Request for approval is to be made using a Conflict of Interest and Confidentiality Agreement form which is to be
emailed to [email protected] following endorsement by the Project Sponsor.
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10.
Timeline
10.1 The tender will be openly advertised on GETS for [number] [RFP: no less than 18, ROI; no less
than 13] full business days (9am-5pm).
10.2 The timeline for this procurement is: [add/delete/amend lines as required]
Task
Responsible
Due Date
Approve Procurement Plan
Procurement Sponsor
[Date]
Approve [ROI/RFP] and Evaluation Workbook
Procurement Owner
[Date]
[Publish [RFP/ROI] on GETS [OR (for closed tender)]
release RFP to potential Respondents]
Procurement Officer
Deadline for Questions
Procurement Officer
[Date]
Deadline to respond to Questions
Procurement Officer
[Date]
[ROI/RFP] Deadline for Registration/Proposal
Procurement Officer
[Time/date]
Individual Evaluations
Evaluation Team
[Date]
[Two stage process] Evaluation Team meeting to
short-list Respondents
Procurement Officer
[Two stage process]Release RFP to short listed
Respondents
Procurement Officer
[Two stage process]Deadline for Questions
Procurement Officer
[Date]
[Two stage process]Deadline to respond to Questions
Procurement Officer
[Date]
[Two stage process]Deadline for Proposals
Procurement Officer
[Time/date]
[Two stage process]Individual Evaluations
Evaluation Team
[Date]
Final Evaluation Team meeting
Evaluation Team
Recommendation Report approved
Procurement Sponsor
Contract awarded and all Respondents advised of the
outcome
Procurement Officer
Contract signed
Procurement Sponsor
[Date]
Contract Award Notice published on GETS
Procurement Officer
[Date]
Contract start date
Procurement Officer
[Date]
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[Date]
[Date]
[Date]
[Date]
[Date]
Debriefs completed
11.
Procurement Officer
[Date]
Evaluation plan
Evaluation Approach
11.1 This procurement will be evaluated and scored against the criteria listed below using a
weighted attribute evaluation method.
Evaluation Criteria and Weightings
11.2 The following criteria and weightings will be used for the evaluation of this procurement:
[Evaluation criteria must not be amended. Approval of EIS Procurement is required to amend criteria
weightings (exceptional circumstances only).]
Criteria
Weighting (%)
Proposed Solution
(Comprehensiveness, deliverability and robustness, understanding of the
requirements)
 goods/services/deliverables
 Method and approach
 Systems and processes
30%
 Relationship management
 Health and safety
 Risk management
 [if relevant][coordination/management of sub-consultants]
Capability
(Skills and expertise of the Respondent/Named Personnel/subconsultants)
 Qualifications/professional
memberships/certifications/accreditations
15%
 Experience
 Track record
 [optional if relevant][experience working with sub-consultants]
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Capacity
(Resource requirements of the Respondent/Named Personnel/subconsultants)
15%
 Sufficiency of resources
 Availability of resources
 Sufficiency of back-up resources (contingency)
Price
40%
100%
11.3 The following rating scale will be used to score criteria:
Rating
Definition
Score
EXCELLENT
a. Exceeds the criterion to provide substantial additional benefit
b. 9-10
and/or reduction of risk
GOOD
c. Exceeds the criterion to provide some additional benefit
and/or reduction of risk
d. 6-8
ACCEPTABLE
e. Meets the criterion
f.
MINOR
DEFICIENCY
g. Does not meet the criterion due to minor deficiency or risk
MAJOR
DEFICIENCY
i.
Does not meet the criterion due to major deficiency or risk
UNACCEPTABLE k. Does not comply, insufficient information provided or
unacceptable deficiency or risk
5
h. 3-4
j.
1-2
l.
0
11.4 A Response/Respondent may be excluded from further evaluation and/or selection if it scores
four or less (a rating of less than acceptable as described above) for any one or more of the
evaluation criteria.
Evaluation Team
11.5 The Evaluation Team (ET) is:
Role
Name
Evaluator/Chair
[Name]
Evaluator
[Name]
Evaluator
[Name]
Evaluator
[Name]
Evaluation process
11.6 The process for evaluating this procurement is:
Step
Activity
Comment
Page 12 of 17
[Unlock GETS e-tender box][OR (for closed
tenders conducted outside GETS)][Register
responses and open] and conduct initial
review of [Proposals/Registrations] for:
1
 compliance with the tender process
terms and conditions
 initial due diligence
 pre-conditions [optional]
 Conducted by the Procurement Officer and
ET Chair
 Acceptance of any late
[Proposal/Registration] requires written
approval of the Procurement Sponsor
 Exclusion of any [Proposal/Registration]
requires written [for EIS led][endorsement
of an EIS Procurement Leader and] approval
of the Procurement Sponsor
2
ET briefing (including identifying Respondents
and updating Conflict of Interest declarations)
Procurement Officer and ET
ET members
[X]
[Two stage process]Independent evaluation
and scoring of Registrations (capability and
capacity)
[Two stage process]ET Meeting to:
Facilitated by the Procurement Officer
a. review consolidated individual scores
b. agree provisional ET scores
c.
[X]
identify any requirement for
clarifications/reference
checks/interviews and if required:
i.
adjourn the meeting
ii.
obtain
clarifications/undertake
reference checks/interviews
iii.
reconvene the meeting
iv.
review outcome of
clarifications/reference checks
d. finalise ET scores by consensus
e. rank Registrations by ET final score
and select a short list of Respondents
for the stage two closed RFP
[Two stage process]Following the conducting
of a closed RFP with short listed Respondents,
Unlock GETS e-tender box and conduct initial
review of Proposals for:
[X]
 compliance with the tender process
terms and conditions
 initial due diligence
[X]
Independent evaluation and scoring of
Proposals’ non-Price criteria
 Conducted by the Procurement Officer and
Evaluation Team Chair
 Acceptance of any late Proposal requires
written approval of the Procurement
Sponsor
 Exclusion of any Proposal requires written
[for EIS led[endorsement of an EIS
Procurement Leader and] approval of the
Procurement Sponsor
ET members
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Separate analysis of Proposal Price
Conducted by:
 Procurement Officer
 [Project Manager]
[X]
 [Case Manager]
 [Lead Designer]
 [Quantity Surveyor]
 Facilitated by the Procurement Officer
ET meeting to:
a. review consolidated individual non-
Price scores
b. agree provisional ET scores by
consensus
c.
[X]
identify any requirement for
clarifications/reference
checks/interviews and if required:
v.
adjourn the meeting
vi.
obtain clarifications/conduct
reference checks/interviews
vii.
reconvene the meeting
viii.
adjust provisional ET scores by
consensus
d. finalise ET non-Price scores by
consensus
e. rank Proposals by final ET non-Price
score and determine a final short list
of “acceptable” Proposals
f.
present analysis of Proposal Prices
g. [Calculate Price scores and final total
weighted scores of short listed
Proposals]
h. select the preferred Respondent and
note any requirement for additional
due diligence/negotiation.
Draft and obtain endorsement and approval
for the Recommendation Report
 Drafted by Procurement Officer
 Recommended by Team Chair
 Endorsed by Evaluation Team members
 Endorsed by Procurement Owner
[X]
 [EIS led][Endorsed by a Procurement Leader]
 [BoT led][Copy to Ministry Property Advisor
(no less than two business days before
approval)]
 Approved by Sponsor Procurement
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12.
Price evaluation
12.1 Analysis of Proposal Price is to be conducted separately from non-Price evaluation and the ET
will not be provided with Proposal Pricing information until ET non-Price scores have been
finalised and a final short list of “acceptable” Proposals has been determined.
12.2 [Detail how Price will be analysed to obtain a single valid comparable Price for each Proposal.
Include how Pricing components will be validated to provide assurance that they are
reasonable]
12.3 Once a short list of acceptable Proposals has been determined (following evaluation, scoring
and ranking of non-Price criteria) the following formula will to be applied to the Price of each
of the short list of acceptable Proposals:
Proposal A score = (Lowest Proposal Price / Proposal A Price) x 10
13.
Due diligence
[What due diligence is to be undertaken, when it will/may be conducted and to which responses will
vary depending on the circumstances of each Procurement. This section should detail reference to
what due diligence will/may be conducted and when.]
13.1 [The conducting of due diligence will be determined by the ET and may involve investigations
to determine whether entering into a Contract with a Respondent may expose the Buyer to
risk. Due diligence includes investigation relating to:
 validity of the response
 a Respondent’s financial viability
 a Respondent’s ownership/structure
 a Respondent’s business practices
 Director status statements
 disputes with the Ministry]
13.2 [Due diligence may include:
 reference checks
 Respondents interviews and/or presentations
 other checks against the Respondent e.g. credit check, Companies Office
 inspection of Respondent’s audited accounts
 Police vetting of Respondent’s personnel.]
13.3 Exclusion from evaluation and/or selection of any Respondent for due diligence requires the
written [for EIS procurement][ endorsement of an EIS Procurement Leader and] approval of
the Project Sponsor.
14.
Conflict of Interest process
14.1 All persons involved in this Procurement must submit a completed Conflict of Interest and
Confidentiality Agreement upon commencement of their involvement. All involved persons
are required to immediately report any Conflict of Interest that arises at any time during the
procurement process (including once participating Respondents have been identified).
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14.2 For each Conflict of Interest identified, a Conflict Management Plan must be approved by the
Project Sponsor (or the Project Sponsor’s manager for any Conflict of Interest relating to the
Project Sponsor).
14.3 [BoT property procurement][For Contracts with a value of $25,000 or more, written approval
of an EIS Procurement Manager (on behalf of the Secretary for Education) is required prior to a
BoT entering into any Contract with a BoT member or a Respondent organisation owned or
controlled by a BoT member.]
15.
Award and debrief
15.1 Once a Contract has been awarded, a Contract Award Notice will be published on GETS.
15.2 All Respondents will be advised in writing of the outcome and will be offered a debrief
16.
Risk register
Risk Description
Risk Rating
Treatment
[e.g. No responses]
[From risk
rating tool]
[treatment]
[e.g. No responses within budget]
[From risk
rating tool]
[treatment]
[e.g. Challenge by an unsuccessful
Respondent]
[From risk
rating tool]
[treatment]
THREAT
Risk rating tool
Minor
Medium
Major
Substantial
Moderate
High
Extreme
Extreme
Likely
Low
High
High
Extreme
Possible
Low
Moderate
High
High
Unlikely
Very Low
Low
Moderate
High
Rare
Very Low
Low
Moderate
Moderate
LIKELIHOOD
Almost certain
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17.
Procurement plan approval
Recommended by
Procurement Officer
[Procurement Officer signature or see attached email]
[Name] [Date]
Endorsed by
Procurement Owner
[Procurement Owner signature or see attached email]
[Name] [Date]
[EIS led only (delete
row for BoT led)]
Endorsed by
EIS Procurement
Leader
Approved by
Procurement Sponsor
[EIS Procurement Leader signature]
[Name] [Date]
[Procurement Sponsor signature or see attached email]
[Name] [Date]
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