UNIVERSITY HOSPITAL BRISTOL NHS FOUNDATION TRUST

Transcription

1 UNIVERSITY HOSPITAL BRISTOL NHS FOUNDATION TRUST STANDARD OPERATING PROCEDURE SINGLE TENDER ACTION (STA) REQUESTS Revision 1 -Dated: April 2013 Revision 2 -Dated: April 2014

2 1. Introduction 1.1 The EU Public Procurement Regulations recognise that, under certain circumstances, only one Supplier/Contractor may be able to fulfil the needs of the Trust. These circumstances are fully prescribed and are dealt with in this Standard Operating Procedure (SOP). 1.2 The Trust Policy is to allow recourse to single sourcing but requires that it is carefully controlled and not open to abuse. The Trust requirements are also dealt with in this SOP. It should be read in conjunction with other Trust Procedures and does not replace them e.g. Standing Financial Instructions, Standing Orders, Capital Investment Policy, Charitable Funds, etc. 2. Administration Requirements 2.1 Where the need to single source has been identified and the aggregate value of the resulting commitment, contract, or order/(s) is expected to be 5,000 or more (excluding vat) per annum, then formal permission to commence the procedure must be sought, and granted before any approach is made to the Supplier/Contractor. 2.2 Budget Holders/Managers shall complete the Single Tender Action (STA) Request Form (See Appendix 2) and forward to their Divisional General Manager or Delegated Deputy, for authorisation. Once approved, the form will be sent to the Director of Purchasing & Supply for Bristol and Weston NHS Purchasing Consortium, or in his absence Delegated Deputy, for authorisation. The request shall not address the expenditure immediately anticipated but the total expenditure that may result. Please note that wherever possible authorisation of STA requests should be carried out electronically, using electronic signatures. 2.3 Before supporting the STA request and seeking authorisation from the appropriate party, as set out below, the Director of Purchasing & Supply shall satisfy themselves as to the validity of the reasons given for Single Tender Action, which shall include evidenced good value for money in the absence of a competitive process: Value of Contract Per Annum Authorising Officer 5,000-24,999 Divisional General Manager and the Director of Purchasing and Supply (or their delegated Deputies) 25, ,000 Above plus Director of Finance Above 100,000 Above plus Chief Executive/Trust Board 2.4 Where the value of the STA request exceeds the current EU Procurement Threshold, the request will be rejected and the Budget Holder/Manager will be asked to undertake a formal competitive procurement in compliance with the EU Public Procurement Regulations and Directives.

3 2.5 If approval is not given, the Budget Holder/Manager will be notified immediately and reasons for refusal provided. 2.6 When an STA request has been approved, by the appropriate authorising officer/(s) shown above, the original copy must go back to the Procurement Department. The original document will then be given a reference number by the Procurement Officer responsible for managing STA requests, or in their absence a delegated deputy, before being returned to the Budget Holder/Manager with one copy being retained on an independent file and one copy on the contract file. This reference number must be quoted on any order/(s) made against the Single Tender Action before they are processed. Where multiple orders are placed against a single STA the Procurement Department will use this reference number to monitor any live STAs and shall notify the Budget Manager when the STA has reached expiry. 2.7 Where a Single Tender Action is required neither the User Department nor the Purchasing and Supply Department are permitted to enter into negotiation with the Supplier/Contractor regarding the actual purchase until authorisation of the STA request has been formally granted. 2.8 In the event that extreme urgency necessitates immediate and unauthorised action, the User Department which initiates the action shall retrospectively follow this procedure and give reasons for their action. 2.9 When undertaking single sourcing, a tender/quotation to establish acceptable contract terms, prices or rates should always be obtained wherever practical. To this end, procurement procedures should be followed fully in accordance with the Trust Standing Financial Instructions. 3. Single Sourcing Validity 3.1 The assessment as to whether a Single Tender Action request is valid must fall into one of the following categories:- Where a Sole Supplier is evidenced. The definition of `Sole Supplier' will be where there is only one source of supply within the market. In this situation, the market position must be clearly stated under section Reason for Requesting a Single Tender Action.' Where, for technical or special character reasons, the requirement can only be met by a particular Supplier/Contractor or if it is connected with the protection of exclusive rights. If this reason is the justification for Single Tender Action, the User Department must provide details stated under section Reason for Requesting a Single Tender Action.' Where unforeseeable circumstances cause a case of extreme urgency. Unforeseen circumstances mean those circumstances beyond the control or capacity of the Trust to anticipate them. It is not intended to cover internal short-comings or circumstances which could have been overcome by internal administration.

4 Where, for Supply Contracts, additional deliveries or works are needed and a change from those originally provided would result in incompatible materials, products or disproportionate technical difficulties in operation and maintenance. Where a bargain situation exists, i.e. failure to act would lead to a foreseeable fundamental loss to the Trust. 3.2 Should the STA request not fall into one of these categories single sourcing may not be considered and the Trust will have to seek competitive tenders/quotations in order to satisfy the Trust's requirements. 4. Records 4.1 Where a `Request For Single Tender Action' has been raised a copy shall be kept on an independent file as well as the specific contract file to demonstrate proof of compliance with both the Trust s legal obligations and its own Standing Financial Instructions, and to allow for Audit review. 5. Processing 5.1 Subject to no challenges in respect of the Single Tender Action request, the Director of Purchasing & Supply or their Delegated Deputy will authorise the request within 24 hours of receipt from the Divisional General Manager. In accordance with Section 2.3, should additional authorisation be required where the value exceeds 25,000 the processing time will be extended accordingly.

5 UNIVERSITY HOSPITALS BRISTOL NHS FOUNDATION TRUST APPENDIX 1 - SINGLE TENDER ACTION (STA) PROCEDURE PROCESS DIAGRAM NEED TO SINGLE SOURCE (2.1) BUDGET HOLDER/MANAGER If the contract is expected to be 5,000 or more, complete and forward to the Divisional Manager or Delegated Deputy a Single Tender Action Request for authorisation. Once authorised the request must be sent to the Director of Purchasing & Supply and any other appropriate authorising officers. (2.2/3) EXTREME URGENCY If immediate and unauthorised action has been necessary the procedure must be followed retrospectively and a report on the reasons for the action produced. (2.8) DIRECTOR OF PURCHASING & SUPPLY Is the Request valid? Single Sourcing is only permissible for: Sole supply Technical or artistic reasons Extreme Urgency Incompatibility or additional requirements to works Bargain Situations NO SINGLE TENDER ACTIONS NOT PERMITTED Competitive Quotations/Tenders must be sought. (3.2) (Please refer to section 3.1) PROCUREMENT DEPARTMENT YES Appropriate authority to approve request (2.3). Issued with a reference number. Place copy on contract file and on an independent file. Return original to Budget Holder/Manager. (2.6) DIRECTOR OF PURCHASING & SUPPLY Notify appropriate User Department and reasons for refusal (2.4/5) PROCUREMENT/USER DEPARTMENT Prepare and issue Invitation to Quote/Tender in accordance with the Trust Standing Financial Instructions (2.9). Ensure STA reference number is quoted on all order/(s) raised. (2.6) ALL PARTIES Ensure adequate records are maintained. (4.1)

6 BUDGET HOLDER NAME UNIVERSITY HOSPITALS BRISTOL NHS FOUNDATION TRUST APPENDIX 2 - SINGLE TENDER ACTION (STA) REQUEST FORM BUDGET NO REQUISITION NO DIVISION DEPARTMENT AUTHORISED BY DIVSIONAL MANAGER or DELEGATED DEPUTY (Signature Required. Print your TITLE) PROJECT NAME/DESCRIPTION SERVICE OR GOODS CONTRACTOR/SUPPLIER ESTIMATED TOTAL COST (Excl. VAT) IS THIS THE COST PER ANNUM (If not, why?) State reasons for requesting a Single Tender Action? Explain why 3 (or 4) competitive quotations have not been sought. (THIS SECTION MUST BE COMPLETED). How have you evidenced good value for money in the absence of a competitive process? Signed: Date: STA Reference Number Budget Holder (This must be quoted on all orders raised) Received: Date: Procurement Department (to initial receipt) Authorisation Granted on: / / / 5,000-25,000 Per Annum > 25,000 Per Annum Over 100,000 Per Annum Director of Purchasing & Supply Director of Finance Chief Executive/Trust Board Details of reasons for rejection if applicable or further information requested NOTE: UPON AUTHORISATION FORM TO BE RETURNED TO THE PROCUREMENT DEPARTMENT