Transformation Mobilisation Programme MARKET SOUNDING EXECUTION … · 2018-02-01 ·...

Inland Revenue

Transformation Mobilisation Programme MARKET SOUNDING EXECUTION PLAN

Project Sponsor: Greg James

Prepared by: Sourcing Team Date: 25/06/13 v 3.0.0

CLASSIFIED IN CONFIDENCE - INLAND REVENUE PROTECTED

Transformation Mobilisation Programme

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Document Control

File Name TMP Sourcing Market Sounding Execution Plan v 3.0.0

Contact Person

Status Final Draft

Document Review History

No Date Change Description Contact

0.8.0 30-May-13 Released to the Sourcing Management Team

1.0.0 7-Jun-13 Released to the Programme Leadership Team

2.0.0 11-Jun-13 Released to the Transformation Steering Committee

2.1.0 14-Jun-13 Released to the Sourcing Management Team

2.1.0 17-Jun-13 Released to the Procurement Director

2.2.1 19-Jun-13 Released to the Procurement Director

Document Signoff

This Market Sounding Execution Plan has been endorsed and approved as follows:

Formal Review Area Name Signature Date

Advisor – Ernst & Young Engagement Partner

Advisor – Ernst & Young Quality Assurance Partner

Reviewed by Procurement Procurement Manager

Endorsed by Procurement Graham Pomeroy Procurement Director

Endorsed by Enterprise Architecture Jon Frere Chief Architect

Endorsed by PLT Members Chair

Approved by PSC Members Chair



Table of Contents

1. Purpose of the Market Sounding Execution Plan ................................................ 7

1.1. Market Sounding Objectives and Outcomes ......................................................... 7

1.2. Rules Governing Market Sounding ..................................................................... 8

2. Market Sounding Steps ...................................................................................... 9

2.1. Market Sounding Approach ............................................................................... 9

2.2. Step 0 – Pre-Market Sounding Communications................................................. 10

2.3. Step 1 – Market Sounding Launch.................................................................... 10

2.4. Step 2 – Written Points of View ....................................................................... 11

2.5. Step 3 – Analysis of Written Points of View ....................................................... 11

2.6. Step 4 – Follow-up Meetings ........................................................................... 12

2.7. Step 5 – Complete Analysis and submit MS Findings Report ................................ 12

3. Areas for Sounding ........................................................................................... 13

4. Market Sounding Probity Risks and Mitigation Strategies ................................ 17

5. Communications and Stakeholder Management Activities................................ 19

6. Review and Approval Points ............................................................................. 21

7. Deliverables ..................................................................................................... 22

8. Dependencies ................................................................................................... 23

9. Appendix A – Meeting Protocols ....................................................................... 25



1. Purpose of the Market Sounding Execution Plan

The purpose of this document is to explain how Inland Revenue (IR) will engage with the

market through a Market Sounding (MS) process. Key findings will be used to inform the

procurement approach and wider programme planning and will take place prior to any formal

procurement activity. This plan should be read in conjunction with the Procurement Plan which

outlines the entire procurement approach. Both the domestic and international markets will be

targeted by the MS stage. The procurement approach is further supported by the development

of a Domestic Market Strategy. This makes a number of recommendations for the Programme

Steering Committee to consider. One of these is to undertake a MS exercise.

This plan documents:

the key objectives and outcomes of the MS stage;

the MS steps and how they will be executed, including timeframes and duration;

the information and questions that will be tested with the market; and

the deliverables that will be developed to support this process.

1.1. Market Sounding Objectives and Outcomes

The MS stage is a planning stage and will be conducted in advance of any formal procurement

process. It is not, in any shape or form, a pre-qualifying or procurement stage. The value of

this stage will be determined by the quality of information obtained that will assist IR and the

market in preparing to execute a procurement process.

The MS stage has been designed to:

publically share with the market IR’s transformation mobilisation programme, including the

scope, objectives and indicative schedule;

invite views from the market on their capability and appetite to deliver the required

outcomes;

seek market feedback on the commercial considerations and risks which may impact on the

structure of the procurement process and any services delivery model; and

identify any other major issues or concerns from the market which may impact on the

procurement process.

Upon completing the stage, it is expected that IR will have:

raised the profile of IR’s transformation mobilisation programme in the market;

canvassed the views of the market in terms of their interest and perceived issues;

explored further (where required) with the market to gain an understanding of the

commercial drivers; and

gathered information to support or challenge both the procurement process and subsequent

timeframes.

The output of this stage will be a report containing the key findings and any recommendations

that will be used to inform the procurement process and wider programme planning. The

report will be submitted to the Programme Steering Committee for acceptance of the

recommendations.



1.2. Rules Governing Market Sounding

The rules that will apply during the MS stage will be provided in full in the information pack

available to the market during the launch of the stage. Anyone submitting a written point of

view or otherwise participating in the MS stage will be required to accept that they are bound

by the MS rules. Some of these rules are as follows:

service provider(s) are under no obligation to respond;

a response is not a prerequisite of participation to a future procurement process (if any);

IR does not expect to share nor receive any confidential or commercially sensitive

information;

responses may be required to be disclosed to the public under the Official Information Act

1982; and

IR may use or disclose any information received or elements of any response for the

purpose of developing aspects of the sourcing approach, plans or supporting materials or for

any IR business or operational purposes; and

Service providers are responsible for all their costs associated with participating in Market

Sounding.

It should be noted that participation by service provider(s) in the MS stage will be voluntary

and open to all interested service providers regardless of location, size or current relationship

with Inland Revenue. It will be made clear in all external communication that not participating

in the MS stage (or not to be invited by IR to participate in further follow-up meetings) will not

preclude a respondent from submitting a tender or participating in any consortium submitting

a tender in any future tender process.



Table 1: MS Timeline

Step Indicative timeline

Pre-Market Sounding Communications 8 Jul 2013

Market Sounding Launch 15 Jul 2013

Written Points of View 15 Jul 2013 – 2 Aug 2013

Analysis of Written Points of View 5 Aug 2013 – 5 Sept 2013

Follow-up Meetings 5 Aug 2013 – 16 Aug 2013

Complete Analysis and submit MS Findings Report 6 September 2013

2.2. Step 0 – Pre-Market Sounding Communications

The communications and engagement activity that will take place as part of pre-market

sounding will provide the context and big picture for changes IR may make and describe a

transformed IR that will deliver:

improving agility so that policy changes can be made in a timely and cost effective manner;

delivering more effective services to improve customer compliance and help support the

outcomes of social policies;

improving productivity and reducing the cost of providing services;

improving the customer experience by making it easier and simple for taxation and social

policy customers;

increasing the sharing of intelligence and information cross government to improve delivery

of services to New Zealanders and improve public sector performance; and

minimising the risk of protracted system outages and intermittent systems failure.

The Sourcing Tactical Communication and Media Plan (Section 5) extracted from the

Communications and Engagement Approach provides the guiding principles, key messages,

target audience groups, their communication needs and preferred communication channels

that will lead IR into MS. A Notice of Intent to launch MS will be posted on the Government

Electronic Tenders Service (GETS)1 website from 8th July 2013.

2.3. Step 1 – Market Sounding Launch

MS will be openly advertised on the GETS and will be promoted using other appropriate and

identified forms of media (as per the Communications and Engagement Approach), e.g.

advertisements in national and international publications.

Subject to the necessary approvals, the Market Sounding Launch will occur on 15 July 2013

and will take the form of launch communications and the release of an information pack on the

GETS website to support the MS stage.

1 GETS supplies information about New Zealand Government contract opportunities. GETS is accessible to

all interested service providers, both domestic and international. It meets New Zealand’s Government

Rules of Sourcing.



Promotional activities will signpost the market to the information pack by means of for

example

links on the public IR website.

news releases and backgrounders; and

advertising in selected publications and websites.

The information pack will consist of:

An Information Brief – this document will describe IR’s business context, transformation

mobilisation programme overview, the proposed procurement approach, MS

steps/instructions and sounding areas which IR is seeking to learn more from the market.

Frequently asked questions (FAQ) and answers – this document will contain IR’s response to

commonly asked questions about the programme and the proposed procurement approach.

The FAQ will be a ‘living’ document that will be updated on GETS periodically as questions

are asked and answered from the market.

In addition to the documents above, service provider(s) will be encouraged to review all other

publicly available documents on the transformation mobilisation programme via the IR internet

site.

2.4. Step 2 – Written Points of View

Following the release of the information pack, the market will be invited to provide a response

to some or all of the areas of sounding (Section 3). Without at all limiting the range and scope

of areas sought for feedback, it will be requested that all written points of view correspond to

questions and sounding areas in the information brief, unsolicited information which does not

relate to the sounding areas may not be considered or accepted by IR. Service provider(s) may

respond to as many of the questions as they deem appropriate to their particular areas of skill

and experience. Service provider(s) will be encouraged to keep responses succinct and in a

simple format so as to minimise time in analysis.

Written points of view must be submitted by close of business on 2 August. Late responses

may not be considered as part of the analysis of responses. All responses will be

acknowledged, and service providers thanked for their responses by e-mail.

2.5. Step 3 – Analysis of Written Points of View

All written points of view and information received from the market will be assessed by the

following representatives/subject matter experts (as required):

Sourcing work stream Commercial Lead;

Legal experts

Procurement Team members; and

Business Advisor representatives.

A thematic approach to analysis will be adopted; this will involve the identification of common

areas of feedback amongst the market responses in regards to the sounding areas (Section 3).

Content within the written points of view, which correspond to the sounding areas and in turn

align to the MS objectives, will be used to inform the MS Findings Report.



2.6. Step 4 – Follow-up Meetings

Representatives from the market may be invited to attend a follow-up meeting with IR.

Separate meetings will be held with each representative that accepts IR’s invitation for a

follow-up meeting. Meetings may be required where:

IR requires greater understanding of the perspective/point of view provided;

segments of the market are under-represented, (this may require contact with

representatives who did not provide a response to the MS questions);

areas of interest are not adequately covered;

MS objectives are not met.

The follow-up meetings are expected to be held in the period 5 August 2013 – 16 August

2013. IR will be represented by the following roles/areas:

Transformation Mobilisation Programme Director;

Sourcing work stream Commercial Lead;

Procurement Manager; and

Business Advisor representatives.

A Probity Auditor may also attend these meetings as an observer, and in addition meeting

protocols (Appendix A) will ensure any perceived probity risks are managed.

2.7. Step 5 – Complete Analysis and submit MS Findings Report

Information gathered during the MS stage will be used to develop a MS Findings Report

summarising the analysis of the written points of view and minutes from follow-up meetings

and will include any recommendations. The report will be submitted to Programme Steering

Committee for acceptance of recommendations. The report and recommendations will then be

used to inform the procurement process and wider programme planning.



3. Areas for Sounding

The MS stage provides IR with the opportunity to gain valuable information from the market to

inform the procurement process and wider programme planning.

Detailed in the table below are the areas for sounding plus potential questions to be posed to

the market. These questions will form part of the information brief which is provided to the

market via GETS to launch the MS stage.

Key area of

sounding:

Rationale for key area of sounding: Proposed questions to the

market:

IR’s Transformation

Mobilisation

Programme

IR’s transformation mobilisation programme

will be of a scale unseen before in New

Zealand, similar in scope and complexity to

transformations that have occurred in the

United Kingdom in HMRC and Australia at the

ATO. Market feedback on the design and

objectives of the programme can support

and/or challenge the programme design and

provide IR with valuable feedback on areas

where the programme may be adjusted to

achieve enhanced outcomes (such as

improved value for money).

Describe effective transformation

programmes that you have

participated in or have detailed

knowledge in?

- Did these programmes deliver

successful outcomes?

What improvements, if any, do you

think could be made to IR’s

transformation vision, objectives and

desired outcomes?

Are you involved in or aware of any

large scale transformations that

might have an impact on the market

and its capacity to deliver this

programme of change (e.g. resource

availability, specialist skill sets etc)?

The Procurement

Process

IR seeks to achieve a high quality of delivery

and a high quality commercial outcome

through the execution of the procurement

process. IR has proposed a four stage

procurement process in order to meet these

objectives. Requesting feedback from the

market on the objectives and proposed

design of the process may provide IR with

insight as to how the process may be

amended to achieve enhanced outcomes (i.e.

improved value for money).

What changes if any would you make

to the proposed procurement process

to enhance commercial and service

delivery outcomes for both IR and

potential service provider(s)?

What do you consider to be a

reasonable timeframe in which to

complete the execution of the

proposed procurement process?

What are the most significant risks

that you believe may be associated

with the proposed procurement

process, and measures would you

suggest to mitigate these risks?

Competitive

Dialogue

The Competitive Dialogue (CD) stage is

based on the process pioneered by the

European Union for use in large or complex

procurement programmes, and where there

is a need to discuss all aspects of the

proposed procurement process. In the

context of IR’s transformation mobilisation

programme the purpose of this stage is to:

design a focus area of the high level

design for Tranche 1;

What is your point of view on the

Competitive Dialogue objectives,

approach and outcomes proposed by

IR?

Where you have previously been

involved in a competitive dialogue

exercise process;

- outline the process

- comment on areas of risk and

potential mitigation



Key area of

sounding:


market:

examine the cultural fit and suitability of

potential service providers;

support the development of aspects of the

sourcing approach, plans or supporting

materials; and

draft and negotiate contract documents

(including legal terms and conditions and

contractual documents) and to assess the

likelihood service providers will commit to

these.

Information from the market on the CD stage

will provide IR with an indication as to how

familiar service providers are with

competitive dialogue procedures, allowing for

better management of the process. Feedback

from the market may also enable IR to better

identify and mitigate any risks in association

with this phase.

- tell us what you would do

differently a second time around

Service Delivery

Model

The service delivery model defines how

service providers may organise themselves to

deliver any proposed statements of work. It

is important to understand how potential

service providers view the risks and benefits

associated with providing the services to

deliver the programme and how these risks

can be mitigated. Market analysis has

indicated that over the last 5 years, a Prime

Contractor model has been the most common

service delivery model for similar

transformations across the world. The market

can provide valuable feedback on what the

most effective delivery model might be for a

programme of this kind.

Do you think a Prime Contractor

model – where a single provider

holds the commercial contract, and

sub-contracts additional services – is

a reasonable model for this type of

contract? If not, please explain what

you think the optimal service delivery

model is and why?

Commercial Model The commercial model will govern how the

awarded contract will be managed day-to-day

and how IR interacts with the selected

service provider(s) over the duration of the

programme.

What do you consider as the most

appropriate commercial model for a

programme of this scale, duration

and complexity (i.e. governance,

deliverables, pricing and payment

mechanism, performance

management approach, duration and

incentives/sanctions)?

Local Participation Given the size of IR’s transformation

mobilisation programme, the programme is

likely to be viewed as an opportunity through

which to build capability in the local

marketplace. It will be important for IR and

the service providers to identify opportunities

for domestic market involvement and to

leverage local expertise and capability, where

appropriate. Service provider points of

In your experience, how has

meaningful local participation been

achieved in transformations of a

similar nature?

What measures would you suggest to

support the development of

sustainable capability and capacity in

the domestic New Zealand market?



Key area of

sounding:


market:

view may enable IR to better understand

barriers local service providers expect to

face in participating in the

transformation. The market may also

provide insight on effective ways to achieve

meaningful local participation.

Contestability The programme’s complexity and scale may

limit the number of potential long-term

transformation service providers with the

required capability and capacity to assist a

transformation of this kind. Ensuring there is

sufficient contestability during the course of

the procurement process is important for

delivering value for money. Market feedback

on the transformation, contract scope and

the procurement process can provide IR with

valuable feedback on areas where the

programme can be adjusted to ensure a

sufficient level of contestability and achieve

value for money.

Would you consider participating in

the procurement process, if not, why

not?

How do you think IR could increase

competition in the procurement

process?

Do you think the procurement

process will be competitive? If so, to

what degree?

Subcontracting

Arrangements

Transformations of this complexity and scale

require a complex set of roles, skills and

qualifications to meet the stated outcomes.

To meet this need, the preferred service

provider(s) is likely to use subcontractors to

perform significant amounts of work.

Problems at the subcontract level can have a

significant impact on the service provider’s

ability to meet their contractual obligations.

What subcontracting approaches do

you believe would give IR an

adequate level of comfort regarding

delivery quality and certainty, whilst

providing control for the service

provider(s) to manage subcontractor

performance?

Pricing and

Payment

Mechanisms

There are a range of pricing models available

to IR, e.g. unit rate, lump-sum, variable-

sum, success fee etc. Transformations of this

scale and complexity vary in the pricing

model adopted. Furthermore, different pricing

models can have an impact on the overall

attractiveness of the programme and may

influence the competitive tension during the

procurement process. Market feedback on

different pricing models can provide IR with

valuable feedback on what has/has not

worked well in comparative programmes and

preferences of service providers in regards to

payment mechanisms.

Describe effective pricing and

payment mechanisms that you have

observed with programmes such as

this?

Risk Management

and Risk Sharing

Given the complexity, timeframes and

fundamental change associated with IR’s

transformation mobilisation programme, it

will be necessary for IR to effectively identify

and closely manage risk. Risks may be

financial, reputational, operational or

strategic in nature. Feedback from the

What are some of the significant risks

that arise from and during a

transformation of this size and scale?



Key area of

sounding:


market:

market will enable IR to better understand

potential risks from the perspective of service

providers. Insight from the market may also

allow for the effective anticipation and

mitigation of risks, through the design and

implementation of the procurement process.

Innovation Innovation in the procurement process may

allow for an enhanced commercial outcome

and enhanced service quality. IR

acknowledges that the market has greater

visibility of innovative procurement processes

and solutions. Market feedback will help IR

harness these tools and ideas in order to

ensure the most effective processes are

being used.

In your experience, what innovative

procurement processes have

contributed to better outcomes for

both the client and the service

provider(s)?

How would you suggest IR promote

innovation during the procurement

process?

Financial and

Economic Analysis

The results of financial and economic

analyses have significant implications for the

determination of a project’s priority and

affordability.

Financial analysis considers the internal cash

flow consequences of the options while the

economic analysis looks at the overall

impacts on the economic welfare of the

community, i.e. in terms of net economic

benefit.

What are some of the typical

customer readiness and/or

interagency costs that might arise

from a transformation of similar

scale?

Have you experienced any issues

with budgeting and prioritising

transformation change against a

changing portfolio of competing

demands, especially across changing

external environments?



4. Market Sounding Probity Risks and Mitigation Strategies

The table below sets out some specific probity risks and mitigation strategies that are relevant

to the Market Sounding (MS) stage of the Programme. These risks should be considered in

addition to any general risks identified for the Programme as a whole. Please note that the

proposed mitigation strategies are of a strategic nature and more specific detailed advice will

be provided should the need arise. It is expected that the role of the Senior Probity Specialist

will be to ensure that the mitigation strategies presented below are considered and adhered to.

These risks and mitigation strategies have been reviewed by the Probity Advisor.

No. Probity or probity

related risk

Mitigation Strategies

General

1 Perception that MS will

be used to structure

requirements of the

future stages of the

procurement to suit a

particular result

Documentation will state the purpose and objectives of the MS stage

and how responses will be used e.g. to inform the procurement

process.

In the interests of transparency, IR will specify how it will treat

responses in the MS approach to market.

The MS stage as a whole will be transparent.

2 Actual or perceived

advantage to service

provider(s) in future

stages of the

programme by virtue of

their participation in the

MS stage

All information provided to service provider(s) in the MS will be

provided to all other potential service provider(s), so that future

stages of the programme are conducted on a ‘level playing field’.

IR will clearly communicate to the market that participation in the MS

is not mandatory.

3 Use of service

provider(s)’ information

(including intellectual

property) by IR

IR will have the ability to utilise any information (including intellectual

property) submitted by service provider(s) in the development of

future procurements associated with the programme or otherwise.

As such, the conditions of participation in the MS stage will expressly

state that IR can use information submitted by service provider(s) for

future procurement and for other purposes, and, if a participant does

not want certain information used in this way, this information should

not be submitted.

4 Conflicts of Interest IR will ensure all personnel involved in the Market Sounding Phase

have completed a Conflict of Interest (COI) Declaration and where

appropriate management plan protocols are adhered to. Personnel will

be reminded that COI declarations should be updated as conflicts

arise. Where appropriate specialist probity advice will be sought in

line with the Probity Plan protocol.

Step 1 – Market Sounding Launch



5 Consistency of

information provided by

IR

The MS Information Brief will identify a contact person for clarification

questions and other queries.

Any questions from service provider(s) which are not submitted via

the nominated contact person will be re-directed to the contact

person.

All questions will be submitted and responded to in writing.

Step 2 – Written Points of View

6 Late responses IR will communicate the protocol for dealing with late responses which

articulates in what circumstances IR will accept late responses.

Exclusion of late responses needs to be balanced against the benefits

of encouraging participation in the MS (which may lead to a better

outcome for IR).

7 Fair and equitable

treatment of responses

during analysis of

written responses

The market will be made aware of how IR intends to use the

information and views provided. This will also include the

circumstances where IR intends engage in follow-up meetings (either

in writing or face to face).

Responses will be treated in line with the purpose and objectives.

8 Communication with

service provider(s)

Communication with service provider(s) for the purposes of clarifying

aspects of a written response will be via a single point of contact (to

ensure consistency of information).

Step 3 – Follow-up Meetings with Individual Service provider(s)

9 Consistency of

information provided by

IR

An agenda will be prepared for the meetings and all meetings will

follow the agenda.

An independent observer (e.g. Probity Auditor) may be present during

meetings to ensure that probity is complied with.

Written notes will be kept of all discussions during the meetings.

All meetings will be conducted in accordance with the Meeting

Protocols (attached as Appendix B) defined in this plan.

Steps 4 and 5 - Analysis of Responses and Market Sounding Findings Report

10 Perception that

particular ideas are

included to benefit a

particular participant or

due to improper

considerations

Responses will be analysed in line with the agreed purpose and

objectives as per this Plan.

The representatives analysing the responses will be suitably qualified,

i.e. comprised of subject matter experts that are able to

understand/interpret responses to the questions.

Any conflicts of interest will be carefully managed.

There will be a probity review and /or audit to ensure the MS

Execution Plan has been followed.

11 ‘Neutrality’ of MS

Findings Report

The MS Findings Report will reflect the findings that are consistent

with the purpose and objectives of the MS Stage.

If the findings are likely to be ascribed to any particular participant in

the MS IR must satisfy itself that this resulted from a proper and fair

process.



5. Communications and Stakeholder Management Activities

A Communications and Engagement Approach has been developed and identifies the

framework and governance for the communication activities for the duration of the

procurement approach. Specific communication objectives, key messages and activities were

developed for each stage and outlined in the Sourcing Tactical Communication and Media Plan

– Pre-Market and Market Sounding. The following tactical communications activities support

the MS stage.

Pre-Market (sequenced) from 5 July

Activity Timing Rationale

Place story and supporting

info on IR website and in IR

publications

Place ‘Notice of Intention’ to

publish MS pack on GETs

website

As soon as pre-market

phase begins.

Gives IR a place to ‘direct’ people wanting info about

the programme

Controlled environment/message

Over time, becomes the place people ‘expect’ to see

info about the programme (no surprises, encourage

perception we are being open and transparent)

Issue news release and

backgrounder – distribute as

widely as possible

Include NZ and international

channels. Reference back to

IR website

Once web info available

(and we are confident

that other risks are

managed)

Expect that may not result in high-profile or

immediate stories, but will help lift media

understanding and acceptance of programme and its

rationale

Offer interview with Naomi –

feature story demonstrating

IR‘s understanding of its

customers’ needs and the

importance of a well-

functioning revenue agency

to NZ’s future

Aim for metro Sundays/

Business features /Listener

or possibly national radio

Follow soon on release

of news release +

backgrounder

Purpose is to bring the ‘human face’ to why IR is

modernising – and who it is intended to benefit

Use similar tone and style to Struan Little’s op-ed on

Information sharing, published in the DomPost.

Messaging to cover how IR is seeking:

new ways of interacting with customers;

fundamentally different ways of designing and

delivering services;

innovation in collaboration with other agencies

and private entities;

replacement of core system technology;

new ways of thinking about information; and

(if published), include a link on the IR website/s

media page/s.

Materials/statements

prepared for REACTIVE use

to manage issues/events

Use if/when required,

to address particular

issues prompted by

external events or

activities

Market Sounding (sequenced) from 5 July


IR (main public) website As soon as MS begins

Display link from

Provide base information about MS




page

Link to GETs website

homepage of website,

and link body text to

GETs website

Signpost to info on GETs website

Publish MS information pack

on GETs

As soon as MS begins Government focal point for all procurement

materials

Market accustomed to checking GETs

Paid space – selected range

of NZ media and

international procurement

publications

Suggest 15-25 July

(asap after MS start

date)

Signpost market to materials on IR4TF and GETs

websites

Substantiate IR’s lack of ‘favour’ to any particular

provider/s

Publications to be confirmed by IIC

‘MS / IR calls for innovative solutions’ (small

placements, logo + signpost to GETs website)

Use both digital and print media

Wide release news release +

backgrounder – explain MS,

IR picture.

Suggest 16-25 July

(asap after MS start

date)

Announce IR has ‘gone to market’

Substantiate IR’s commitment to being as

transparent and open as possible

Provide platform for media engagement

Substantiate IR’s neutrality to any particular service

provider(s)

Issue news release to domestic and international

publications

Release can be relatively brief, but with detailed

backgrounder attached

Signpost to info pack on GETs

Follow-up news release and

posting on GETs website –

thank service

provider(s)/advise Sounding

closed/provide indicative

timeframe for next

stages/reminder that

responses used to inform

future procurement design

process

Week that MS closes Demonstrate courtesy/’human face’ of IR

Engender positive relationships market

Set expectations that procurement process.

timelines are dependent on Cabinet decisions

Set expectations that IR will continue to

communicate when it has relevant info to share

Publish text of news release and backgrounder on IR

website



6. Review and Approval Points

The extent by which information is developed and provided progressively builds into more

detailed documentation from one stage of the procurement approach to the next. A

responsible, approve, consult, inform and endorse (RACIE) assignment matrix is being used at

each stage of the procurement approach to describe the participation by various roles and

responsibilities in completing deliverables. The MS RACIE is shown below.

R = Responsible

A = Approve

C = Consult

I = Inform

E = Endorse

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teering C

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mis

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nd R

evenue

MS Execution Plan R E E

C I E A

Pre-MS Media Release Content R E I A

Memo from CIR to Govt Agencies R E I I A

Information Brief R E E C C I E A

Questions R E E C C I E A

Frequently Asked Questions R E E C C I E A

Launch Media Release Content R E I A

Paid Advertising Content & Channels R E I A

Follow-up Meeting Script R C I I C A

MS Findings Report R E E I I I I E A

For more information on the documentation, deliverables and indicative dates of approval,

refer to the deliverables table below (Section 7).



7. Deliverables

The following is a list of deliverables which will be produced for the MS stage. Each deliverable

will be subject to an endorsement and approval process either outlined specifically in the

RACIE table above or through the standard review and acceptance process for the programme

deliverables.

Deliverable

Title Description of Deliverables

Indicative

date

MS Execution

Plan (this

document)

This plan outlines the optimal approach for engaging the market to

ensure that the procurement process has been tested with both domestic

and international service providers and that the approach will be

supported by the market.

28-Jun-13

Notice of

Intent

This notice will be published on GETS on 8th July 2013 to signal IR’s

intention to issue a market sounding exercise. Message will be consistent

with pre-market sounding comms

28 – Jun-13

MS

Information

Pack*

The information pack published on GETS will contain the background

information necessary to inform the market, so that responses to

questions are of sufficient quality. The information pack will consist of:

Information Brief

Questions(including sounding areas and questions)

Frequently asked question and answer sheet (FAQ)

28-June-13

Participant

Control Sheet

A spread sheet will be used throughout the MS stage to record which

service providers submit written points of view, which questions are

responded to, invitation and acceptance for follow-up meetings, and to

record questions and answers (via the Contact Officer) which may be

uploaded into the FAQ on GETS to comply with probity requirements.

For the

duration of

the MS stage

Follow-Up

Meeting Script

A follow-up meeting script will be developed to guide and structure each

meeting and to ensure the correct sounding areas are discussed.

5-Aug-13

Minutes of

Follow-Up

Meetings

Minutes of any follow-up meetings with service provider(s) will be

required to support findings, clarify participant responses and to comply

with probity requirements.

5-Sept-13

MS Findings

Report

Analysis of the written points of view and minutes of follow-up meetings

will be used to develop a Findings Report. The Report will identify:

market responses to key information requirements;

key themes and issues raised by service provider(s);

any key risks and issues noted; and

recommendations and next steps.

10-Sep-13

Steering

Committee

Decision

Documents

Documents will be developed as required for the Steering Committee

outlining:

key decisions required to meet the MS objectives;

provide updates on progress against the MS timeline, including

risks, issues and actions; and

confirming priorities and next steps.

As required

Probity Report An interim probity report will be developed by the Probity Auditor within seven working days of the completion of the MS stage, and will assess the measures IR have implemented to mitigate the various identified probity risks of this stage.

17-Sept-13

* This documentation may be updated whilst available on GETS depending on questions from the

market or amendments as required.



8. Dependencies

There are a number of inputs that the MS stage is dependent on, these relate particularly to

programme level communications, necessary approvals, probity requirements and the

‘Strategic Analysis’ and ‘Design’ work streams. These dependencies are outlined below:

Cabinet and Ministerial endorsement is received

Although a formal decision is not required from Ministers to proceed with the MS stage, it is

understood that the IB will be looking to the ICT Ministerial Committee to support the

execution of the stage. This endorsement will be required prior to commencing engagement

with the market. IR hopes to secure endorsement at the ICT Ministerial Committee meeting on

4-Jul-13.

Procurement Plan has been developed and approved

The Procurement Plan supports the Sourcing Strategy and outlines the rationale for the entire

procurement approach. The plan includes the overarching procurement objectives and

outcomes, the documentation necessary to ensure compliance with the new Government Rules

of Sourcing.

Probity Plan has been developed and approved

The Probity Plan provides the authority and structure for the way in which probity issues will

be addressed during the MS stage. The plan is expected to set out standards of practice and

behaviour for personnel involved in the stage as well as defining roles and responsibilities in

relation to probity compliance.

Communications and Engagement Approach has been developed and approved

The Communications and Engagement Approach provides the framework for how

communications will support the procurement approach. The plan is expected to detail who,

why and when IR will engage with stakeholders, identify roles and responsibilities and

confirming the different channels to be used.

Programme level communications are approved

It will be necessary that the market has been made aware of the programme and associated

market engagement before the MS Launch. This will ensure that the market is prepared for MS

and clarity is provided on the intent and IR’s direction. A Media Plan will require approval to be

proactive in the communications approach and to mitigate communication risks associated with

the MS stage.

Programme Sourcing Team is in place and roles and responsibilities are defined

The skill sets and capabilities required to successfully execute the MS stage will need to be

defined and in place within the Sourcing Team prior to the MS Launch. The execution of MS will

require specialist skill sets across legal, probity, communications, procurement and other

project management expertise.

Completion of Conflict of Interest Forms

Prior to MS, all staff members involved in this stage have completed and submitted a Conflict

of Interest declaration. This includes individuals with the following responsibilities:

all members of the procurement team (staff, contractors and consultants);



all members of the evaluation panel;

any consultant asked to advise the team;

anyone involved in making a recommendation;

anyone involved in approving a recommendation or making an important decision;

anyone making a financial approval for the procurement; and

anyone the probity advisor deems required for disclosure.

All individuals engaged by IR have a responsibility to follow all policy and procedural

requirements established by IR to manage any related interests that will, or could give rise to,

a conflict of interest.

Testing Commercial Principles and Concepts

The MS stage will be used to test commercial principles and concepts for contract documents

with the market. This will allow IR to identify any preferred terms identified by service

providers. It will be necessary to identify these early on to ensure and support the

development and agreement of contract documents throughout the procurement process.



9. Appendix A – Meeting Protocols

The MS meeting protocols as outlined within the Probity Plan are attached below.

ANNEX A: MEETING PROTOCOL

1. Introduction

This Protocol sets out the probity requirements for the conduct of meetings with service provider(s) during the Market Sounding stage of the Programme (Meetings).

2. Information management

2.1. An agenda must be developed for the Meetings and retained in the Programme records.

2.2. Each Meeting must be conducted in accordance with the agenda to avoid any unauthorised disclosure of information to service provider(s) and any inconsistent information being provided to service provider(s).

2.3. It should be made clear to service provider(s) in Meetings that any statements made by IR during the Meetings cannot be relied on as amending or adding to anything already

published by IR in relation to the Programme unless that amendment or addition is confirmed by IR in writing.

3. Compliance with Probity Requirements

3.1. The Probity Auditor should be present at all Meetings to ensure that they are conducted in accordance with probity requirements and to respond to any probity-related queries.

3.2. All IR personnel who will be involved in the Meetings must be:

a) given a copy of this Protocol; and

b) briefed by the Probity Auditor in relation to the probity requirements for the

Meetings.

Transformation Mobilisation Programme MARKET SOUNDING EXECUTION … · 2018-02-01 ·...

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