Quotation Evaluation and Probity Plan – low risk/low value procurements

Version 3(September2017)

Quotation No. [Quotation no.]

[QUOTATION TITLE]

[Concise Description of goods or services to which the quotation relates]

In order to complete this document you will need to insert information relevant to the purchase as indicated by the shaded text boxes. To do this, click on a shaded text box and begin typing. Further guidelines for drafting this document and links to supporting information are provided in colouredtext.

Please be aware that this template is not to be regarded as a static document. Each plan should be customised as the length and details will vary according to the complexity of the purchase and agency requirements.

Department of [name]
[date]

[Quotation Title]

Table of Contents

1Purpose of the Quotation Evaluation and Probity Plan

2Description of Requirement

2.1Background

2.2Purpose of RFQ

2.3Desired Outcomes

2.4Cost Estimates

2.5Procurement Methodology

3Probity and Accountability

3.1Probity

3.2Confidentiality Agreement and Conflict of Interest Declaration

3.3Security and Confidentiality

3.4Authorised Contact Officer

3.5Distribution of Request for Quotation documentation

3.6Receipt of Offers

3.7Late Offers

3.8Requests for Clarification

4Evaluation Committee

5Evaluation Schedule

6Evaluation

6.1Evaluation Methodology

6.1.1Conditions for Participation

6.1.2Compliance criteria

6.1.3Evaluation Criteria

6.2Alternative Offers

6.3Supplier Presentations

6.4Evaluation Report

7Contract Negotiations

8Critical Dates

9Debriefing of Unsuccessful Suppliers

10Contract Management

[Quotation Title]

Quotation Evaluation and Probity Plan

1Purpose of the Quotation Evaluation and Probity Plan

A Request For Quotation (RFQ) has been developed that seeks to engage/obtain Insert description of service/product for a Insert number of months/years contract period.

This Quotation Evaluation and Probity Plan is the planning and control document in conducting the evaluation of offers received in response to the RFQ. The Plan sets out:

  • the processes and principles to be followed when evaluating offers;
  • individual responsibilities of persons associated with the procurement; and
  • the evaluation schedule.

2Description of Requirement

The RFQ seeks ainsert service provider/product provider able to provide Insert detailed description of service/product required.

2.1Background

Insert information on how the project originated and any other detail of significance to the purchase.Information may include details of current arrangements or reasons for purchase.

2.2Purpose of RFQ

The purpose of this Quotation process is to identify a provider who can provide the required Insert service/product to achieve the desired outcomes.

2.3Desired Outcomes

The following outcomes have been identified for this procurement:

This section should outline what you wish to achieve from the procurement. Outcomes may have been identified in strategic planning processes and/or may include desired client, output or business targets. Examples may include: ability to meet agency requirements, timeliness, best value for money, fixed contract period, acceptable quality of product etc.

insert desired outcomes

2.4Cost Estimates

Retain, replace or insert sentences as required.

The estimated cost of theInsert service/productis approximately $insert value.

2.5Procurement Methodology

The quotation process will be conducted, in accordance with the principles and processes set out in the Treasurer’s Instructions.

The Committee Chair is Insert position, relevant experience of committee chair and is fully conversant with all policy requirements relating to procurement which includes the requirements of Treasurer’s Instructions 1100 and 1400 series.

3Probity and Accountability

3.1Probity

Promoting probity is an integral element of the quotation and contracting process and is the responsibility of all staff members associated with this RFQ. The broad objectives of the probity process are to:

  • ensure conformity to processes that are designed to achieve best value for money;
  • improve accountability;
  • encourage commercial competition on the basis that all offers will be assessed against the same criteria;
  • preserve public and supplier confidence in government processes; and
  • improve defensibility of decisions to potential administrative and legal challenge.

These objectives are underpinned by five essential principles as follows:

  1. open competitive process,
  2. transparency of process,
  3. identification and resolution of conflicts of interest,
  4. accountability, and
  5. monitoring and evaluating performance.

The Evaluation Committee will consider these principles throughout all stages of the procurement process in order to achieve best value for money.

For more information relating to Probity see the Guidelines.

3.2Confidentiality Agreement and Conflict of Interest Declaration

Guidance/example information - reference can be made to specific/agency/procurement based processes if desired.

Members of the Evaluation Committee are required to familiarise themselves with the Procurement Principles outlined in Treasurer’s Instruction 1101 and their obligations under the State Service Act 2000.

Members of the Evaluation Committee, advisors and other staff directly involved in the procurement processes will sign a Confidentiality and Conflict of Interest Declaration at the commencement of their involvement in the process and at the very latest, prior to being provided with access to information on, or submitted by, any supplier. Members will be required to declare any relationships or connections they currently have, or previously had, to suppliers or their employees. In addition, members of the Evaluation Committee and advisors are to declare the existence of any real or perceived conflict of interest as soon as they become aware of it.

Throughout the process members of the Evaluation Committee or advisors to the Committee cannot accept offers of gifts, meals etc from any interested party and/or prospective supplier.

In the case where a nominee to, or a Member of the Evaluation Committee declares a conflict of interest with a prospective supplier and due to the nature of the conflict, either the nominee/member or the Evaluation Committee feel that the person could not continue their involvement without potentially compromising the process, that person will be replaced on the Evaluation Committee.

Follow this link to access the Confidentiality Agreement and Conflict of Interest Declarations.

3.3Security and Confidentiality

Guidance/example information - reference can be made to specific/agency/procurement based processes if desired.

It is essential for the integrity of the evaluation process that security and confidentiality are maintained. Suppliers have a right to expect that commercial information will be treated in confidence. Lapses in security on the part of any Evaluation Committee member may seriously jeopardise the evaluation process. Similarly, the Committee must maintain the confidentiality and physical security of evaluation reports and other information generated during the evaluation.

While it is understood that requests under ‘Right to Information’ legislation could ultimately lead to the disclosure of ‘confidential’ information, this does not diminish the need for the evaluation process to be conducted in a secure manner.

3.4Authorised Contact Officer

Guidance/example information - reference can be made to specific/agency/procurement based processes if desired. For example, reference may be made to your agency’s specific processes in handling phone or written enquiries or enquiries from the media if necessary.

As stated in the quotation documentation, the only departmental officer who is authorised to deal with enquiries is Insert Name on (03)Insert contact number. Should any other officer receive an enquiry, which relates to the procurement process, that officer must decline to respond and refer the enquiry immediately to the Authorised Contact Officer.

All contact with prospective suppliers is to be documented, transparent, and unbiased. The Authorised Contact Officer is to use good judgment in responding to questions and is not to disclose any matter that would prejudice the Quotation objectives or any matter which is confidential or commercial-in-confidence to another party.

Consistent information is to be provided in response to an enquiry and subsequently supplied uniformly to all prospective suppliers.

The Authorised Contact Officer will limit information provided to clarification of procedural issues or documentation, and ensure that any additional information provided to one prospective supplier is provided to all. Under no circumstances is information to be provided which gives, or has the potential to give, an unfair advantage to the enquirer. Any questions or requests of this nature are to be put in writing and submitted to the Authorised Contact Officer.

The membership of the Evaluation Committee will not be disclosed to suppliers under any circumstances. This will minimise the likelihood of suppliers contacting Committee members in an attempt to solicit information and/or influence the evaluation process.

In any situation where an Evaluation Committee member is concerned he or she may have been compromised, or that such a perception may exist, they will document details promptly and raise the matter with the Evaluation Committee. Advice on how best to address the matter will be sought from Insert Name if required.

3.5Distribution of Request for Quotation documentation

Request for Quotation documents are to be sent directly to:

Table should detail the suppliers identified during the marketing stage as those to be approached to quote.

Organisation/supplier / Address
1.
2.
3.
4.
5.

3.6Receipt of Offers

Guidance/example information - reference can be made to specific/agency/procurement based processes if desired.

Offers are to be lodged by suppliers ensuring that the Department has received Insert lodgement requirements before the closing date and time stated in the RFQ document.

Any offers received prior to the closing time will be held in a secure location to maintain confidentiality, to ensure probity and to protect the individuals involved from claims of unfair practices. The date and time that offers are received will be marked on each offer before it is placed in the secure location.

The offers will be opened Insert opening requirements.

For further information refer to TI 1109 Procurement Documentation and Receipt and Opening of Submissions: Goods and Services.

3.7Late Offers

Late offers will be treated in accordance with the ‘Late Offers’ guidance provided in the RFQ.

For further information refer to TI 1109 Procurement Documentation and Receipt and Opening of Submissions: Goods and Services.

3.8Requests for Clarification

Guidance/example information - reference can be made to specific/agency/procurement based processes if desired.

To enable the Evaluation Committee to thoroughly evaluate offers it may be necessary for the Committee to request clarification of information provided in an offer. To the extent practicable, clarification will be sought and recorded in writing. In the event that a supplier has been invited to an interview or to make a presentation (see section6.3), matters of clarification will also be documented. In each case, the Authorised Contact Officer will coordinate the clarification process. Clarification does not mean that suppliers can revise their original offer and therefore no new or additional information will be requested or permitted at this point.

Should Evaluation Committee members be asked a specific question during an interview or presentation, they will be required to provide a factual answer, never a personal opinion.

Further guidance will be sought from Insert Name in the event that it is unclear whether additional information submitted by a supplier is truly a clarification of offered information, or whether it effectively amounts to the submission of late material that seeks to vary the existing offer.

4Evaluation Committee

The Evaluation Committee will consist of the following representatives:

Table should outline the roles and responsibilities of all those involved in the quotation and evaluation processes. Retain or delete rows as necessary.

Name / Title / Branch/Department / Committee Role
Insert Name / Insert Title / Insert Branch/Dept / Chair
Insert Name / Insert Title / Insert Branch/Dept / Member
Insert Name / Insert Title / Insert Branch/Dept / Member
Insert Name / Insert Title / Insert Branch/Dept / Executive Officer

5Evaluation Schedule

The following table outlines the key activities, tasks and dates underpinning this procurement and evaluation process.

Retain, replace or insert other tasks as required from the following table.

Task / Scheduled Completion Date
Procurement Authorisation and Plan request approved by appropriate delegate / ____/____/____
Quotation Evaluation and Probity Plan approval (this document) / ____/____/____
RFQ documentation approved / ____/____/____
RFQ issued / ____/____/____
RFQ closing date / ____/____/____
Evaluation of quotations completed / ____/____/____
Evaluation report prepared / ____/____/____
Evaluation report QA’d / ____/____/____
Procurement Review Committee submission prepared and lodged (where applicable) / ____/____/____
Procurement Review Committee approval (where applicable) / ____/____/____
Approval by Delegate / ____/____/____
Notification of successful and unsuccessful suppliers / ____/____/____
Finalise contract / ____/____/____
Website reporting undertaken, if appropriate / ____/____/____
Debriefing of unsuccessful suppliers / ____/____/____
Contract start date / ____/____/____

6Evaluation

6.1Evaluation Methodology

The information provided in item 6.1.1, 6.1.2 and 6.1.3 must be the same as that provided in the RFQ documentation. The specific evaluation methodology will vary between procurements.

An example methodology based on the Crown Solicitor’s low value/low risk RFQ proforma is provided below in italics – this example MUST be adapted to suit the particular criteria and methodology decided upon by the evaluation committee.

The Evaluation Committee, in accordance with the evaluation criteria specified in the RFQ and reproduced in this document, will evaluate all offers utilising the methodology set out below.

6.1.1Conditions for Participation

Italicised text is an example only - to be modified and/or removed as required. Conditions for participation are the minimum mandatory conditions that potential suppliers must meet in order for their submission to be considered. These requirements are assessed as either being ‘met’ or ‘not met’ by a supplier in the first stage of evaluation of their submission. A failure of a supplier to meet conditions for participation that are specified in an approach to the market must result in their submission being rejected. As such, the evaluation committee when drafting this documentation should carefully consider the use of such conditions.

Offers will initially be assessed for compliance with the conditions for participation set out in the RFQ document reproduced below.The following table details the conditions for participation.

Insert appropriate conditions for participation in table below.

Conditions for participation
Insert conditions for participation eg The successful supplier must hold a practising certificate issued by the Australasian Society of Accountants

These conditions will not be point scored or included in the evaluation criteria. Each offer will be assessed on a Yes/No basis as to whether the condition is met.Non-conformity with conditions for participation will eliminate a supplier from further consideration.

6.1.2Compliance criteria

Italicised text is an example only - to be modified and/or removed as required.

Offers will then be assessed for an appropriate level of compliance with the requirements set out in the RFQ and for an appropriate level of compliance with and acceptance of the conditions of contract, or others specified requirements. Compliance with the RFQ is taken to mean:

  • Submission of the offer by the closing date and in accordance with all other lodgement instructions;
  • Provision of all of the information requested in the RFQ; and
  • Demonstrated ability to meet all mandatory conditions of quotation and specification.

The following table details any additional specific compliance criteria.

Insert appropriate criteria in table below.

Compliance criteria
Insert compliance criteria eg insurance requirements

These conditions will not be point scored or included in the evaluation criteria. Each offer will be assessed on a Yes/No basis for an appropriate level of compliance.

6.1.3Evaluation Criteria

Italicised text is an example only and is based on the Crown Solicitor’s proforma Request for Quotation documentation for low value/low risk procurements. The example utilised does not apply weighted criteria. If weighted criteria is to be used for the evaluation then refer to the Quotation Evaluation and Probity Plan – standard and ensure that the RFQ is modified appropriately in relation to the evaluation criteria.

Compliant offers will then be evaluated against all relevant factors, including value for money, to achieve the best outcome for the Government. As stated in the RFQ, in evaluating quotations, the factors taken into consideration may include, but not be limited to: price; experience; previous performance; capability; and conformity with the requirements of this RFQ.

To ensure that offers are evaluated uniformly and in a manner that will not give rise to probity concerns, the Evaluation Committee will meet prior to the commencement of an evaluation of offers to discuss the evaluation process to be used.

6.2Alternative Offers

The Evaluation Committee will evaluate alternative offers in accordance with the provisions contained in the RFQ. Consideration should be given to whether alternative offers will be considered. If not, this section and that contained in the RFQ should be deleted.

6.3Supplier Presentations

As stated in the RFQ, suppliers may be requested to make a formal presentation to the Evaluation Committee to clarify their offer and provide the opportunity for the Evaluation Committee to ask questions. No new or additional information will be requested or permitted at this point (see section3.8). Consideration is to be given to whether presentations will be required. If not, this section should be deleted.

6.4Evaluation Report

On completion of the evaluation process, the final results will be documented in an Evaluation Report, which will detail:

  • a comprehensive record of the evaluation consistent with the criteria referred to above;
  • the number of offers received (Tasmanian and overall total);
  • the relative ranking of the suppliers;
  • a recommendation as to the preferred supplier or suppliers; and
  • the rationale used to select the preferred supplier.

The Evaluation Report will also highlight any key issues that must be addressed via negotiation and/or require ongoing scrutiny once the contract has commenced.

The Evaluation Report will be considered by the Evaluation Committee and once approved, signed by all Committee members and forwarded for endorsement by the Procurement Review Committee, where appropriate or approval by the respective delegate.

7Contract Negotiations

A period of negotiation with the successful suppliers(s) may arise following completion of the quotation phase and will commence subject to approval by the authorised delegate.

This period will result in executed copies of contractual documentation being completed and may necessitate a combination of meetings and written exchanges. Negotiators are to ensure the negotiation approach is appropriate to the nature of this project, is open and fair, meets the needs of the supplier(s) and can be accommodated within the supplier(s)’s resources. Negotiations must not result in material change to the requirements of the offer. The outcome of the negotiations will be reflected in the final contract and all negotiation discussions and outcomes will be documented.