National Procurement Requirements - University of York · ERDF National Procurement Requirements...

ERDF National Procurement Requirements of 21 Document Number (ERDF-GN-1-004) Version Number 1 Date Published (April 2012)

ERDF National Procurement Requirements (ERDF-GN-1-004)

ERDF National Procurement Requirements Page 2 of 21 Document Number (ERDF-GN-1-004) Version Number 1 Date Published (April 2012)

National Procurement Requirements

1 Background This document provides an overview of the rules governing procurement Public procurement can be complex and difficult A Grant Recipient should seek its own legal advice pertaining to the obligations upon it in terms of tendering and procurement for goods works and services required for the project activities it is bound to carry out Nevertheless we hope this document is useful and provides the Grant Recipient with a better understanding of its obligations and the importance of avoiding financial penalties by way of corrections

2 Introduction Robust and transparent procurement is required to ensure that Grant Recipients

Consider value for money (VFM)

Maximise the efficient use of public money and

Maintain competitiveness and fairness across the EU

The above considerations should be applied on all occasions regardless of whether or not the value of the procurement is above or below the OJEU thresholds and regardless of whether or not the Grant Recipient is a contracting authority subject to public procurement rules

3 The Law The Public Sector Directive 200418EC sets out the EC public procurement requirements and it was implemented into English law by the Public Contracts Regulations 2006 (SI 200605) (the ‟Regulations‟) The law as set out in the Regulations is subject to interpretation through evolving European and national case law The law is applicable to ldquocontracting authoritiesrdquo as defined in Regulation 3 of the Regulations A contracting authority by public law is defined1 as any body meeting the following three conditions

established for the specific purpose of meeting needs in the general interest not having an industrial or commercial character and

having legal personality and

financed for the most part by the State or regional or local authorities or other bodies governed by public law or subject to

1 Article 1 of the Directive and Regulation 3


management supervision by those bodies or having an administrative managerial or supervisory board more than half of whose members are appointed by the State regional or local authorities or other bodies governed by public law

In addition the regulations apply where

the private sector is acting as a delivery agent on behalf of the public sector or

where more than 50 public money is funding (a) a public works contract to which the Regulations apply by virtue of Regulation 8 (ie it is above the relevant value threshold2) and which is for the carrying out of

(i) any of the civil engineering activities specified in Schedule 2 of the Regulations or

(ii) building work for hospitals facilities intended for sports recreation and leisure school and university buildings or buildings for administrative purposes or

(b) a public services contract which is above the relevant value threshold and is for the provision of services in connection with a public works contract as referred to in sub-paragraph (a) above

4 The key requirements As set out in section 2 above there are general considerations which Grant Recipients are expected to apply to all procurements The additional requirements of the Regulations only apply to certain procurements dependent upon the value and type of the relevant procurements Grant recipients should consider the following questions below before determining what procurement route to follow

2 Regulation 8 (see also section 5 of this document)


Failure to follow the correct steps set out above will lead to corrections which means repayment of the grant and further may put the Grant Recipient in the position of having breached the Funding Agreement

Are you a contracting authority as defined in

section 3 above

Follow a robust and transparent process respecting EC Treaty

Principles ndash see sections 14-16

NO

YES

Is the estimated value of the contract above the thresholds set out

in section 5

Follow a robust and transparent process

(the general considerations in section 2 above)

Also see sections 14 and 15

NO

YES

Advertise contract in OJEU and see section

9 to determine the type of procedure to

follow

Is the contract for services supply or

works

NO

YES

No need to procure


5 Thresholds The public procurement procedures set out in the Regulations must be followed before awarding certain contracts when its value is above a certain threshold In particular the contracts should be advertised in the Official Journal of the European Union (OJEU) OJEU is the central database for European public sector tender notices Thresholds are set every 2 years and the current thresholds are set out below These can be found on the OJEC website httpwwwojeccomThreshholdsaspx and grant recipients should check this to ensure that they are working to the correct values

FROM 1 JANUARY 2012 (thresholds are net of VAT)

SUPPLIES SERVICES WORKS

Entities listed in Schedule 1 of the Regulations

pound113057 (euro130000)

pound1130572 (euro130000)

pound43483503 (euro5000000)

Other public sector contracting authorities

pound173934 (euro200000)

pound173934 (euro200000)

pound43483503 (euro5000000)

Indicative Notices pound652253 (euro750000)

pound652253 (euro750000)

pound4348350 (euro5000000)

Small lots pound69574 (euro80000)

pound69574 (euro80000)

pound869670 (euro1000000)

6 How to calculate the value correctly Grant Recipients will need to be able to demonstrate that they have followed the correct procurement route based on the value and nature of the contract The bullet points below set out how this value should be calculated

do not artificially split larger requirements into smaller units to avoid the aggregation rules and thresholds (eg collaborative multi-partner projects must consider public procurement requirements at the level of the project ie not at individual partner level which could be judged as avoidance of the aggregation rules) andor

follow the valuation methods described in paragraphs (11) and (14) of Public Contracts Regulations Section 8 and have not incorrectly valued a contract or framework agreement with the intention to avoid the Regulations

The value includes payment by way of grant and public match funding


7 Classification of types of Contracts There are three types of contracts under Regulations

I Supplies ndash essentially the purchase or hire of goods (including electricity and gas)

II Services ndash which fall into three categories with different levels of regulation applying Part A Priority Services ie those in which EU-wide competition could most realistically be undertaken and to which the Regulations apply in their entirety Part B Residual Services ie those that cannot so easily be subject to EU-wide competition and which there is a more limited application of the Regulations as set out in Regulation 5 bdquoApplication‟ Mixed Services where there is a mix of Part A and Part B it is the element with the greater financial value that determines the classification If the values are equal it is a Part B procurement Schedule 3 of the Regulations lists Part A (Categories 1-16) and Part B services (Categories 17-27)

III Works ndash are items listed in Schedule 2 to the Regulations

8 Advertising Requirements Non compliance with advertising requirements is a common error Generally a requirement must be advertised in a place that potential suppliers of a service goods or works will read with reasonable response times For procurements relating to Part A services the additional requirement is that advertising must be such that it permits competition at EU level In practice this means that a Contract Notice publicising a call for competition must be placed in the OJEU Dependent upon the type of procurement procedure (see section 9 below) prescribed time limits from advert to award shall apply and these can be found in the Regulations For planning purposes projects will need to consider these timescales Other considerations such as failing to meet N + 2 are not an acceptable reason for circumventing the timescales For procurements relating to Part A services following the selection and award process a contracting authority must inform anyone who submitted an offer of its decision to award the contract by notice in writing It must then allow 10 days before it awards the contract to allow time for any bidder who is dissatisfied with the bidding process to take action (see the Public Contracts (Amendment) Regulations 2009) A contract award notice must be published in the OJEU within 48 days of the contract award

9 Four main procedures Open Procedure - This is mainly used for commoditised goods or services This provides the broadest scope for competition as anyone can tender but risks a large number of tenders and can incur high management costs The assessment of both tender and tenderer is carried out in a single-tier process


This process will normally take a minimum of 52 days not including a mandatory 10 day period for appeal once the Alcatel notice is issued Restricted Procedure - The most commonly used This is a two tier process Potential delivery organisations are selected using a pre qualification questionnaire following publication in OJEU inviting expressions of interest A minimum of five short listed organisations are then selected to submit a full tender from which the winning tender is selected The requirement is to allow 37 days for the first stage and 40 days for the second with 10 days for appeal An accelerated restricted procedure was permitted which can restrict the process to 30 days though this is limited to special conditions and was only available until December 2010 Competitive Dialogue - This is a relatively new procedure for complex contracts where the best solution is not pre-known Following the OJEU notice and pre qualification stage dialogue is permitted with potential bidders to develop options before competitive tenders are invited Work can continue to refine the proposal with the preferred bidder to point at which contract is awarded Negotiated Procedure - A purchaser may select one or more potential bidders with whom to negotiate the terms of a contract In certain circumstances described in the Regulations the contract does not have to be placed in the OJEU This procedure was always intended to be used exceptionally and very specific criteria apply Projects adopting this procedure should be referred to the PDT for consideration Framework Agreements - These can be used for repeat but irregular purchases for example stationery supplies legal services building repairs Generally they are of no more than four years‟ duration There are four main types single-supplier multi-supplier single user multi-user Suppliers are selected following an initial OJEU notice in the case of multi-suppliers (no less than three) subsequent mini-competitions are used to select winning contracts The same selection and award criteria used when setting up the framework agreement must be used when procuring services from this agreement Provided the agreement is compliant with these requirements pre-existing framework agreements may be used to select suppliers to the project Contracting Authorities utilising a framework agreement need to ensure that they are eligible to make use of it and that the framework agreement has been properly established

10 Selection and Award Criteria There are two distinct types of evaluation criteria that are governed by different rules and objectives and these must both be demonstrated for a compliant procurement Selection Criteria ndash these must assess the ability of the tenderers to perform a contract according to economic financial capability technical andor professional ability (for example experience qualifications) The selection


criteria sub-criteria and any weighting used must be proportionate to the requirement in question and must be publicised in the OJEU notice or in the Pre-Qualification Questionnaire (PQQ)tender documents (depending on the procedure adopted) The aspects which can be evaluated as selection criteria are Regulations 23 to 26

23 Criteria for the rejection of economic operators

24 Information as to economic and financial standing

25 Information as to technical or professional ability

26 Supplementary information

The Regulations require a minimum number of candidates to be short-listed under the Restricted process and under the Competitive Dialogue process Award Criteria ndash these are set in order to award the contract on the basis of either the most economically advantageous tender (for example balancing factors such as quality price delivery timeframe) or the lowest price The criteria sub-criteria and weightings must be disclosed in the OJEU notice or in the invitation to tender documents The award criteria must be objective and must relate to the subject matter of the contract and be proportionate and transparent Award criteria must be made against Regulations 30 to 32

30 Criteria for the award of a public contract

31 Contract award notice

32 Information about contract award procedures

11 Record keeping During Project Engagement Visits (PEVs) Article 13 Project Progress and Verification Visits and other audits procurement processes will be reviewed and Grant Recipients will need to demonstrate satisfactory evidence of the procurement process with appropriate supporting documentation This documentation as a minimum must include

Explanation of procurement procedure selected with justification

Copy of OJEU notice or relevant advertisement and OJEU Prior Information Notice (PIN) if applicable (including for Framework Agreements)

PQQ including the associated selection criteria (where used) and log of responses received

Copy of tender specification with clear award criteria

Log sheet for all tenders received (time and date)

Copy of all tenders

Copy of tender score sheets dated and signed by two people


PQQ assessment scores

Copy of OJEU award notice

Copy of report on evaluation of tenders

Copy of correspondence including interview questions where appropriate

Copy of letters to unsuccessful tenderers giving an appropriate ldquoAlcatelrdquo standstill period (where appropriate)

Copy of award letter signed contract

Copy of notes from inception meeting

Summary record of the above process to assist with future monitoring and audits

Records must be maintained for verification until the end of 2025 Grant Recipients must ensure that delivery partners and sub-contractors also retain evidence

12 Most common errors The most common errors made in procurement include

Contracts awarded directly without competition (without appropriate consideration of whether a single tender is permissible under the Regulations)

Contracts awarded without publication in OJEU (or another suitable means of advertising)

Additions to contracts for additional works or services (without appropriate consideration of whether an extensionaddition is permissible under the Regulations)

The advert or OJEU Contract Notice does not mention all selection and award criteria

Selection process does not adhere to the published selection criteria

Notice has insufficient detail

Failure to publish a Contract Award Notice in OJEU

Contracts artificially split in order to fall below threshold levels

Confusion between selection and award criteria (with criteria being mixed andor applied at incorrect stages in the procurement)

Should audits reveal that methods of procurement have not been compliant financial corrections can be imposed

13 Financial corrections Under the general law (aside from ERDF rules) if the Regulations are not observed a contract may be prevented from being awarded andor damages may be awarded by a Court In the case of ERDF any audit bodies will look very closely at all of the procurements during their visits Breach of procurement requirements is the most common reason for repayment of grant and the procedures must be carefully followed and monitored throughout the project The irregularities are often inadvertent mistakes Unfortunately the


liability for mistakes is strict This note is intended to help the Grant Recipient to be aware of the steps it must take and the need to seek help from its own advisors in order to ensure it is not subject to a correction The table below3 illustrates the corrections which can be imposed as a result of procurement breaches The table is split into two sections-

Above OJEU thresholds and

Below OJEU thresholds

Above OJEU threshold

Issue Description Correction

Non-compliance with the advertising procedures

The contract was awarded without complying with the advertising requirements laid down in the EC Public Procurement Directives except in the cases referred to in point 2 below This is a flagrant disregard of one of the conditions for Community co-financing

100 of the value of the contract involved


The contract was awarded without complying with the advertising requirements laid down in the EC Public Procurement Directives but was advertised to some extent allowing economic operators located in another Member State access to the contract


Attribution of contracts without competition in the absence of extreme urgency brought about by unforeseeable events or the absence of an unforeseen circumstance for complementary works and services or for supplies

The main contract was awarded in accordance with the EC Public Procurement Directives but was followed by one or more supplementary contracts (whether or not formalised in writing) awarded without complying with the provisions of the Public Procurement Directives namely the ones related to the negotiated procedures without publication for reasons of extreme urgency brought about by unforeseeable events or for attribution of complementary supplies works

100 of the value of the contract involved In the cases where the total of supplementary contracts (whether or not formalised in writing) awarded without complying with the provisions

3 Taken from COCOF 07003703-EN


and services of the Public Procurement Directives do not exceed the thresholds of the Directives and the 50 of the value of the original contract the correction may be reduced to 25

Additional works or services exceeding the limit laid down by the Directives provided in Unforeseen circumstances

The main contract was awarded in accordance with the provisions of the EC Directives but was followed by one or more supplementary contracts exceeding the value of the original contract by more than 50 The additional works themselves do not constitute a separate work within the meaning of Article 1(c) of Directive 9337 or Article 1(2) (a) and 2(b) of Directive 200418 or a separate service within the meaning of Article 1(a) of Directive 9250 or Article 1(2) (a) and 2(d) of Directive 200418 In cases where the additional works or services exceed the thresholds of the Directives and constitute a separate work or service it is necessary to take account of the aggregate value of all the additional works or services for the purposes of the application of the Public Procurement Directives Where the additional works or services constitute a separate work or service and exceed the thresholds laid down by the Directives the above mentioned point 1 applies Where the additional works or services constitute a separate work or service but do not exceed

100 of the amount exceeding 50 of the value of the original contract


the thresholds laid down by the Directives point 21 below applies

Failure to state all the selection and contract award criteria in the tender documents or tender notice

The contract was awarded in compliance with the advertising rules of the Public Procurement Directives but the tender documents or tender notice failed to state all the selection andor award criteria or to describe them sufficiently

25 of the value of the contract This amount may be reduced to 10 or 5 depending on seriousness

Application of unlawful contract award criteria

The contract was awarded applying unlawful contract award criteria (for example use of a selection criterion for the award of the contract non-compliance with the criteria stated by the contracting authority in the tender notice or tender documents or incorrect andor discriminatory application of contract award criteria)


Unlawful selection andor contract award criteria laid down in the tender procedure

Cases in which certain operators have been deterred from bidding on account of unlawful restrictions laid down in the tender notice or tender documents (for example the obligation to already have an establishment or representative in the country or region or setting technical standards that are too specific and favour a single operator or the possession of experience in the region etc)

25 of the value of the contract (A financial correction of 100 of the value of the contract may be applied in the most serious cases when there is a deliberate intention to exclude certain bidders)

Insufficient or discriminatory definition of the subject-matter of the contract

The description in the tender documents or tender notice is discriminatory or insufficient for bidders to determine the subject-matter of the contract or for the contracting authorities to award the contract



Negotiation during the award procedure

The contract was awarded by open or restricted procedure but the contracting authorities negotiated with the bidders during the award procedure except where the discussions were solely intended to clarify or supplement the content of their bids or specify the obligations of the contracting authorities


Reduction in the scope

of the contract

The contract was awarded in compliance with the Public Procurement Directives but was followed by a reduction in the scope of the contract without making a proportional reduction in the value of the contract (This correction applies even in cases where the amount of the reduction is used to carry out other works)

Value of the reduction in the scope Plus 25 of the value of the final scope


of the contract

The contract was awarded in compliance with the Public Procurement Directives but was followed by a reduction in the scope of the contract with a proportional reduction in the value of the contract already carried out (This correction applies even in cases where the amount of the reduction is used to carry out irregular supplementary contracts)

25 of the value of the

final scope

Incorrect application of certain ancillary elements

The contract was awarded in compliance with the provisions of the Public Procurement Directives but without complying with certain ancillary elements such as publication of the notice of award of the contract Note If this type of irregularity is only of a formal nature without potential financial impact no correction will be made

2 5 or 10 of the value of the contract according to the seriousness of the irregularity and whether a repeat occurrence


Below OJEU threshold


Non-compliance with the requirement of an adequate degree of advertising and transparency

Contract awarded without adequate competitive tendering involving non compliance with the principle of transparency

25 of the value of the contract

Attribution of contracts without competition in the absence of extreme urgency brought about by unforeseeable events or for complementary works and services brought about unforeseen circumstance

The main contract was awarded after adequate competitive tendering but was followed by one or more supplementary contracts (whether or not formalised in writing) awarded without adequate competition in the absence of reasons of extreme urgency brought about by unforeseeable events or (for contracts of works and services) in the absence of unforeseen circumstances justifying them

25 of the value of the contract(s) attributed without adequate competition

Application of unlawful selection andor contract award criteria

Application of unlawful criteria which deter certain bidders on account of unlawful restrictions laid down in the tender procedure (for example the obligation to have an establishment or representative in the country or region or the setting of technical standards that are too specific and favour a single operator)

10 of the value of the contract This amount may be reduced to 5 depending on seriousness

Breach of the principle of equal treatment

Contracts awarded in accordance with the rules on advertising but where the contract award procedure breaches the principle of equal treatment of operators (for example when the contracting authorities have made an arbitrary choice of candidates with whom they negotiate or if they give preferential treatment to one of the candidates invited to negotiate)



14 Sub OJEU procurement A procurement may not have reached the relevant value threshold for the Regulations to apply in full but there are still rules to be followed The EU principles of equality of treatment non-discrimination transparency free movement and competition must be respected throughout the entire process regardless of the value of the contract Grant Recipients will need to be able to demonstrate the legitimacy of the procurement route followed and any supporting evidence behind this in the event of an audit As with all other ERDF documentation there is a requirement to retain all procurement evidence until 3 years after the final payment made on the programme and at present this is likely to be until at least 2025 The following table shows the key requirements which must be followed for all supplies and services contracts which fall below the EU threshold from 1st April 2012 All values in this paper exclude VAT For earlier procurements projects will need to be able to demonstrate that they adhered to the relevant PDT or RDA thresholds

Estimated Value of Goods or Services

Action Required

Below pound20000 VFM must be demonstrated by obtaining 3 quotes or prices but this need not be done through a formal advertised competition

pound20001 to OJEU threshold Formal invitation to tender process must be followed and the requirement advertised in the press andor on the internet The level of advertising must be sufficient to allow a level of competition potentially from another member state (if the contract award might potentially be of interest to suppliers located in other Member States)

Over OJEU threshold Full advertisement in OJEU

Value of Works

Action Required

Below pound429999 VFM must be demonstrated by obtaining 3 quotes or prices but this need not be done through a formal competition

Over pound430000 Formal invitation to tender process


must be followed and the requirement advertised in the press andor on the internet The level of advertising must be sufficient to allow a level of competition potentially from another member state (if the contract award might potentially be of interest to suppliers located in other Member States)

It is the responsibility of the individual Grant Recipient to decide whether an intended contract award might potentially be of interest to suppliers located in other Member States This decision has to be based on an evaluation of the individual circumstances of the case such as the subject-matter of the contract its estimated value the specifics of the sector concerned (size and structure of the market commercial practices etc) and the geographic location of the place of performance If it can be demonstrated that this analysis has been carried out and the result is that nolimited advertising is required then this may be sufficient In all instances a full audit trail of documents including evidence of advertising where necessary and all decisions taken relating to procurements carried out should be retained for audit purposes This needs to be retained for up to 3 years after the final payment made on the programme and at present this is likely to be until at least 2025

15 Suggested methods of advertising for sub OJEU contracts

Internet The wide availability and ease of use of the World Wide Web makes contract advertisements on websites far more accessible especially for undertakings from other Member States and for small and medium enterprises (SMEs) looking for smaller contracts The Internet offers a large choice of possibilities for advertising of public contracts Advertisements on the contracting entitys own website are flexible and cost-effective They should be presented in a way that potential bidders can easily become aware of the information Contracting entities might also consider publishing information on forthcoming contract awards not covered by the Regulations as part of their buyer profile on the Internet Portal websites specifically created for contract advertisements have a higher visibility and can offer increased search options In this respect the setting-up of a specific platform for low value contracts with a directory for contract notices with subscription for e-mail constitutes a best practice making full use of the Internets possibilities in order to increase transparency and efficiency


Contracts finder It is recommended that contracting authorities register on Contracts Finder httpwwwcontractsfinderbusinesslinkgovuk and publish opportunities on this site Contracting authorities can also sponsor suppliers enabling them to post sub-contracting opportunities on the service Any open procurement opportunity above pound10k can be advertised on the site if a grant recipient chooses although as stated above the DCLG suggested threshold for sub OJEU is pound20k National Official Journals national journals specialising in public procurement announcements newspapers with national or regional coverage or specialist publications Local means of publication Contracting entities may still use local means of publication such as local newspapers municipal announcement journals or even notice boards However such means ensure only strictly local publication which might be adequate in special cases such as very small contracts for which there is only a local market Official Journal of the European UnionTED (Tenders Electronic Daily) Publication in the Official Journal is not mandatory but could be an interesting option particularly for larger contracts

16 Exceptions Single Tender Actions are permitted but not recommended Where European Funding is being applied the use of Single Tender must be made in accordance with the Regulations The Regulations permit Single Tenders only in defined and exceptional circumstances including

Cases of extreme urgency arising from unforeseeable circumstances not attributable to the contracting authority andor

Where there is no alternative supplier in Europe due to technical artistic andor exclusive rights

The use of a Single Tender Action must be consented to by the Department prior to the contract being awarded and the Grant Recipient should set out in writing the nature of the procurement and its reasons for requiring approval This should be done on the standard form at Annex A Enough detail must be provided to enable a decision to be made by the PDT Where Single Tenders are allowed to proceed Grant Recipients should be aware that this is done at their own risk


Annex A DEPARTMENT FOR COMMUNITIES AND LOCAL GOVERNMENT ERDF

FUNDING SINGLE TENDER ACTION JUSTIFICATION

As a recipient of grant funding for a Project from the European Regional Development Fund you are subject to the ERDF 2007 ndash 2013 Programme national rules and the rules of the ERDF regional Implementing Body (Department for Communities and Local Government) These rules apply to you as the grant recipient and any named partners The Funding Agreement provides that 1 you must comply with current EU procurement regulations (the

ldquoRegulationsrdquo) at all times in relation to the Project where relevant 2 where the Regulations do not apply a competitive selection process is

required 3 DCLG are entitled to request information to verify your compliance

with the Regulations and the Funding Agreement in relation to the Project

Please note the ERDF Programme requirements contained in National Procurement Requirements [Your attention is also drawn to the European Commission guidance requiring some form of competition in most circumstances (see the Commission Interpretative Guidance in Appendix 1 for commentary on suitable competitive processes) This form is for use in exceptional circumstances only If you believe that there is a justification for the award of a contract using ERDF funding without a competitive process in accordance with the Funding Agreement requirements Regulations you are required to submit this Single Tender Action Justification to DCLG no later than 2 weeks prior to the proposed award of the Contract If DCLG are not satisfied with your Single Tender Action Justification you will be required to take further steps in relation to procuring the Contract You must therefore ensure that your timetable (including the submission of this Single Tender Action Justification document to DCLG) allows sufficient time to undertake a procurement exercise in accordance with the Regulations if necessary Failure to do so can result in a requirement to stop or recover paid grant funding Please note the guidelines at Appendix 2 which sets out the levels of grant funding that you may be required to pay back in such circumstances Where any of your Contracts awarded or proposed through this route are extended or increased in future with the same party you are required to submit a further Single Tender Action Justification on the terms of this form Please complete the Single Tender Action Justification and return it to your PDT contact


SINGLE TENDER ACTION JUSTIFICATION

Grant recipient name

Address

Contact name

Email

Tel no

Project title

Proposed contract to be awarded (ie what is the purpose of the Contract what will be delivered under the Contract what are the proposed Contract outputs)

Proposed contract value (ex VAT)

Proposed contractor (if known)

Identify the proposed principle justification for non-compliance with the EU public procurement Regulations

a The Contract value is under the relevant threshold value for full EU public procurement compliance

Relevant thresholds net of VAT (fixed for 2 years from 1st January 2012) Services and supply of goods pound173934 Works pound4348350

b The Contract is for non regulated services (ie those covered by Part B of Schedule 3 to the Public Contracts Regulations 2006)

Summary of non-regulated services areas hotel and restaurant services transport by rail and water legal services personnel supply investigation and security services education health social services recreation cultural and sporting services

c The Contract falls within an exemption or exclusion to the procurement Regulations Please identify the relevant provision from the Regulations below


Please explain in a clear and comprehensive manner why the award of the Contract through a Single Tender route without any competitive process is considered lawful and appropriate (Please limit your response to one A4 page where possible)

Please detail the selection methods applied to identify the proposed Contractor (Please limit your response to one A4 page where possible)


DECLARATION

We confirm that we have carried out our own review in relation to the information contained within this Single Tender Action Justification and have not relied on any information or advice provided by DCLG in relation to the same We confirm that the information supplied to DCLG in this Single Tender Action Justification document is true and accurate in all respects and we confirm and undertake that if any of such information becomes untrue or inaccurate that we will notify DCLG immediately and resubmit any updated information as required We confirm that we understand that this Single Tender Action Justification will be used by DCLG to monitor our compliance with the ERDF rules and the Funding Agreement obligations We understand that DCLG‟s acceptance or otherwise of this Single Tender Action Justification is not to be regarded as confirmation that we have complied with our obligations under the Regulations and in providing such acceptance or otherwise we understand that this shall not constitute a waiver of or prevent or restrict future exercise of DCLGs right to clawback grant funding in accordance with the Funding Agreement or any other right or remedy Signed by helliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphellip (Signature) Name helliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphellip Position helliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphellip For and on behalf of helliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphellip

Date helliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphelliphellip


National Procurement Requirements

1 Background This document provides an overview of the rules governing procurement Public procurement can be complex and difficult A Grant Recipient should seek its own legal advice pertaining to the obligations upon it in terms of tendering and procurement for goods works and services required for the project activities it is bound to carry out Nevertheless we hope this document is useful and provides the Grant Recipient with a better understanding of its obligations and the importance of avoiding financial penalties by way of corrections

2 Introduction Robust and transparent procurement is required to ensure that Grant Recipients

Consider value for money (VFM)

Maximise the efficient use of public money and

Maintain competitiveness and fairness across the EU

The above considerations should be applied on all occasions regardless of whether or not the value of the procurement is above or below the OJEU thresholds and regardless of whether or not the Grant Recipient is a contracting authority subject to public procurement rules

3 The Law The Public Sector Directive 200418EC sets out the EC public procurement requirements and it was implemented into English law by the Public Contracts Regulations 2006 (SI 200605) (the ‟Regulations‟) The law as set out in the Regulations is subject to interpretation through evolving European and national case law The law is applicable to ldquocontracting authoritiesrdquo as defined in Regulation 3 of the Regulations A contracting authority by public law is defined1 as any body meeting the following three conditions

established for the specific purpose of meeting needs in the general interest not having an industrial or commercial character and

having legal personality and

financed for the most part by the State or regional or local authorities or other bodies governed by public law or subject to

1 Article 1 of the Directive and Regulation 3














section 3 above



NO

YES


in section 5




NO

YES



follow


works

NO

YES

No need to procure






pound113057 (euro130000)

pound1130572 (euro130000)

pound43483503 (euro5000000)


pound173934 (euro200000)

pound173934 (euro200000)

pound43483503 (euro5000000)


pound652253 (euro750000)

pound4348350 (euro5000000)



pound869670 (euro1000000)































Copy of all tenders
































































of the contract




of the contract



final scope






















Action Required




Value of Works

Action Required

























Address

Contact name

Email

Tel no

Project title














DECLARATION
















section 3 above



NO

YES


in section 5




NO

YES



follow


works

NO

YES

No need to procure






pound113057 (euro130000)

pound1130572 (euro130000)

pound43483503 (euro5000000)


pound173934 (euro200000)

pound173934 (euro200000)

pound43483503 (euro5000000)


pound652253 (euro750000)

pound4348350 (euro5000000)



pound869670 (euro1000000)































Copy of all tenders
































































of the contract




of the contract



final scope






















Action Required




Value of Works

Action Required

























Address

Contact name

Email

Tel no

Project title














DECLARATION








pound113057 (euro130000)

pound1130572 (euro130000)

pound43483503 (euro5000000)


pound173934 (euro200000)

pound173934 (euro200000)

pound43483503 (euro5000000)


pound652253 (euro750000)

pound4348350 (euro5000000)



pound869670 (euro1000000)































Copy of all tenders
































































of the contract




of the contract



final scope






















Action Required




Value of Works

Action Required

























Address

Contact name

Email

Tel no

Project title














DECLARATION





























Copy of all tenders
































































of the contract




of the contract



final scope






















Action Required




Value of Works

Action Required

























Address

Contact name

Email

Tel no

Project title














DECLARATION

































































of the contract




of the contract



final scope






















Action Required




Value of Works

Action Required

























Address

Contact name

Email

Tel no

Project title














DECLARATION





















Action Required




Value of Works

Action Required

























Address

Contact name

Email

Tel no

Project title














DECLARATION

























Address

Contact name

Email

Tel no

Project title














DECLARATION







DECLARATION



National Procurement Requirements - University of York · ERDF National Procurement Requirements...

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Transcript of National Procurement Requirements - University of York · ERDF National Procurement Requirements...