Quotation Evaluation and Probity Plan - standard
Version 4.1(July 2018)
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 as 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
3.9Critical Issues or Risks related to the Procurement
4Evaluation Committee
5Evaluation Schedule
6Evaluation
6.1Evaluation Methodology (example no. 1)
6.1.1Conditions for Participation
6.1.2Compliance criteria
6.1.3Evaluation Criteria
6.1.4 Qualitative Criteria
6.1.5Quantitative criteria
6.1.6Value for Money
Evaluation Methodology (example no. 2 – as requested by doh)
6.1.1Conditions for Participation
6.1.2Compliance criteria
6.1.3Evaluation Criteria
6.1.4Value for Money
6.2Short listing / Setting Aside Offers
6.3Alternative Offers
6.4Supplier Presentations
6.5Evaluation Report
7Contract Negotiations
8Critical Dates
9Debriefing of Unsuccessful Suppliers
10Contract Management
11Attachment 1 Example of detailed evaluation criteria table for the first example in item 6.1
[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 a insert 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/product is 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 thequotation 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:
- open competitive process,
- transparency of process,
- identification and resolution of conflicts of interest,
- accountability, and
- 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 processeswillsign 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 requiredto 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 declaresa 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 willbe 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 willlimit 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 willdocument 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 / Address1.
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 tobe 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 eachoffer 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 section6.4), 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 toprovide a factual answer, never a personal opinion.
Further guidance willbe sought fromInsert 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.
3.9Critical Issues or Risks related to the Procurement
Guidance/example information –should be amended to reflect position relevant to this Procurement.
Risk management is the process of identifying risks, analysing their consequences and devising appropriate responses.
An assessment of risk should be undertaken to provide greater certainty that this quotation and contracting process will produce a successful outcome. Dependant on the nature, cost, and complexity of the procurement, the Evaluation Committee may need to develop a risk management plan.
Issue/Risk / Consequences / ActionInsert known issue/risk / Insert consequences / Insert appropriate action to minimise risk
Insert known issue/risk / Insert consequences / Insert appropriate action to minimise risk
Insert known issue/risk / Insert consequences / Insert appropriate action to minimise risk
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 RoleInsert 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 DateProcurement Authorisation and Plan request approved by appropriate delegate / ____/____/____
Quotation Evaluation and Probity Planapproval (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
The information provided in relation to the evaluation must be the same as that provided in the RFQ documentation. The actualevaluation methodology willvary between procurements.
Twoexample methodologiesareprovided below in italics – if either of theseexamplesis used it MUST be adapted to suit the particular criteria and methodology decided upon by the evaluation committee.
6.1Evaluation Methodology (example no. 1)
The Evaluation Committee, in accordance with the evaluation criteria specified in the RFQand 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 forcompliance with theconditions 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 participationInsert 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 other 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 specificcompliance criteria.
Insert appropriate criteria below.
Compliance criteriaInsert 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 - to be modified and/or removed as required.
Compliant offers will then be evaluated against a set of weighted criteria. Qualitative and quantitative criteria are to be individually assessed against the set of weighted criteria below and a normalised score calculated for each. The resulting normalised scores for each will then be added to deliver an overall ranking of offers. The criteria will then be weighted in accordance with the following table:
Insert appropriate criteria below. Retain, delete or insert rows as required.
Evaluation Criteria / WeightQualitative Criteria
Insert evaluation criteria / a%
b%
c%
Quantitative Criteria
Cost / x%
TOTAL / 100%
To assist suppliers to address the evaluation criterion, it is advisable to clearly describe information that should be provided against each criterion. See Attachment 1 for an example.
6.1.4 Qualitative Criteria
Italicised text is an example only - to be modified and/or removed as required.
Each member of the evaluation committee will individually assess each offer against the following scoring matrix and the average score for each criterion will be used to determine a preliminary combined score for each criterion.
Score / Description / Full Description10 / Exceptional / Full achievement of the requirements specified in the RFQ for that criterion. Demonstrated strengths, no errors, weaknesses or omissions.
8 to <10 / Superior / Sound achievement of the requirements specified in the RFQ for that criterion. Some minor errors, risks, weaknesses or omissions, which may be acceptable as offered.
6 to <8 / Good / Reasonable achievement of the requirements specified in the RFQ for that criterion. Some errors, risks, weaknesses or omissions, which can be corrected/overcome with minimum effort.
4 to <6 / Adequate / Satisfactory achievement of the requirements specified in the RFQ for that criterion. Some errors, risks, weaknesses or omissions, which are possible to correct/overcome and make acceptable.
2 to <4 / Inadequate / Minimal achievement of the requirements specified in the RFQ for that criterion. Several errors, risks, weaknesses or omissions, which are possible, but difficult to correct/overcome and make acceptable.
>0 to <2 / Poor to deficient / No achievement of the requirements specified in the RFQ for that criterion. Existence of numerous errors, risks, weaknesses or omissions, which are very difficult to correct/overcome and make acceptable.
0 / Unacceptable / Totally deficient and non-compliant for that criterion.
The combined score (for each criteria) will then be weighted using the following formula: