2005 by zhangyun

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FLEXIBLE FRAMEWORK
HEFCE Sustainable development in higher education strategic statement & action plan

In July 2005 HEFCE published 'Sustainable development in higher education' (HEFCE 2005/28) which set out their
approach to promoting the sustainable development agenda. It contained a strategic statement, a 10-year vision and
an action plan until the end of 2007.
HEFCE subsequently issued a further document for consultation. The report was both an update on the activity
identified in the 2005 paper and a consultation on further planned activities.

Following on from the consultation HEFCE published a revised action plan: Sustainable development in higher
education: 2008 update to strategic statement and action plan' . This recognised that the HE sector can make a
substantial and exemplary contribution to the challenge of sustainable development. This can be achieved through
the skills and knowledge that its graduates learn and put into practice, its research and exchange of knowledge
through business, community and public policy engagement, and through its own strategies and operations.
HEFCE published a revised strategy and action plan on sustainable development in higher education sector based on
feedback received on the consultation document in 2008 which is available on the HEFCE website.
Specific objectives include:
•       Seek ‘win-win’ opportunities by helping to identify sector-wide business cases and benefits for individual 
institutions
•       Continue to raise the performance of institutions against the Flexible Framework
•       Fully integrate sustainable development into our strategic plan and policy-making through sector impact 
assessment and being open about the reasons for policy choices
•       Demonstrate to stakeholders that HEFCE and higher education institutions (HEIs) are making genuine efforts to 
promote sustainable development and to extend good practice
•       Support sector-led capacity building through support for innovative and novel projects
•       Facilitate a carbon reduction culture to significantly reduce carbon emissions across the sector – aims for 34% 
reduction by 2020 and 80% by 2050.
•       Continue to improve HEFCE’s own operations so they lead by example 

Universities UK Strategic Procurement Group for HE
The UUK Strategic Procurement Group's primary mission is to promote and support procurement in the higher
education sector by encouraging institutional senior management and governors to realise the benefits of advanced
procurement practice within their institutions.

The UUK SPG have published guidance on sector wide initiatives such as Best Practice Indicators and a Sustainable
Procurement Framework; copies of articles written on behalf of the SPG and some examples of Best Practice.
The Flexible Framework is the basis of a 7th BPI, measuring progress on Sustainability. For further information please
visit: UUK Strategic Procurement Group.

The Flexible Framework assessment tool
It is of benefit for organisations to carry out initial and periodic self-assessments against the Flexible Framework. The
Flexible Framework enables measurement against various aspects of sustainable procurement. Scottish Procurement
Directorate and Scotland Excel have developed this user-friendly self-assessment tool to support this process. The
tool will help organisations to assess where their current level of performance lies and the actions required to
improve their performance.
Those organisations who have not yet carried out their self-assessment may find it helpful to use this model.
Alternatively, those who have already carried out their self-assessment may find it useful as a benchmarking exercise
or when next repeating their self-assessment.




                                                                1                                                           7/20/2012
                 Self Assessed Progress Against the Flexible Framework

Organisation :

Assessed by :

Date :

                        Completed
                        In Progress
                        Not completed

                 3.00
                           Level 1      0
                                            Level 2   0
                                                          Level 3   0
                                                                        Level 4   0
                                                                                      Level 5
People           3.00                   0             0             0             0




Policy           4                      0             0             0             0




Process          2                      0             0             0             0




Suppliers        1                      0             0             0             0




Results

Assessment Overview
All Elements                                    Instructions on the use of Flexible Framework Assessment Tool                                              Levels 1 to 5




      INSTRUCTIONS ON THE USE OF THIS FLEXIBLE FRAMEWORK ASSESSMENT TOOL

               This assessment tool asks a series of questions on Sustainable Procurement that relate to the criteria statements of all levels of the
       1       Flexible Framework (Foundation, Embedded, Practice, Advanced, Expert) included in the Scottish Sustainable Procurement Action
               Plan, dated 28 October 2009 (See Worksheet "Original FF").

       2       Use this tool to assess yourself against all levels of the framework and determine an action plan for achieving each level up to Level 5.


       3       Start at Level 1 (Foundation) in the "People" Worksheet.


       5       Read the "Question" in column A in conjunction with the "Definition Guidance" text in column B.


               Use the suggested evidence in column C as a guide on the type of evidence needed to support a "Yes" response. Consider if you can
       6
               provide this evidence or equivalent evidence that can support a "Yes" response.


       7       Select either "Yes", "No" or "Partial / In Progress" under "Question Criteria Met" in column D.


               If "Yes" is selected for Column D, RAG status turns to Green - "No Actions Required Criteria Met" is entered automatically into column
       8
               G

               If "No" is selected for column D, suggested actions required to meet the criteria question are entered automatically into column G.
       9
               RAG Status turns to Red.

               If "Partial / In Progress" is selected for column D, suggested actions required to meet the criteria question are also entered
       10
               automatically into column G. RAG Status turns to Amber.


       11      In Column K record any comments or evidence to support your response selected in Column D.


       12      Proceed to next Question and complete assessment items 5 to 11 above for all Questions in every Level.


               When an overall assessment has been completed, if required, edit the proposed actions in column G to suit own Organisation or make
       13
               reference to a more detailed action plan recorded elsewhere.


       14      Allocate an "Owner" for each action and insert "Date raised" and "Due date" in columns H, I & J. Date format is "dd/mm/yy".

               Commence implementing your action plan for each Level in sequence i.e. progress to Level 2 only when all actions under Level 1 have
       15      been completed. The "Progress" worksheet will only update a Level to "In Progress" or "Completed" once the previous level has been
               completed.

       16      When an action has commenced, select "Partial / In progress" in column D. RAG Status turns to Amber.


       17      When all actions for a question are complete select "All actions complete" in column D. RAG Status turns to Green.
        FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                                                                                                         PEOPLE

PEOPLE

                                                          Suggested Evidence to Support           Question Criteria      RAG     Proposed actions required to meet
Criteria Question         Definition Guidance                                                                                                                               Owner   Date raised   Due Date   Comments / Evidence
                                                          a "Yes" Response                             Met?             Status   criteria

Level 1 (Foundation)
                                                                                                                      1.00
                                                                                                                                 Set out role and responsibilities within
                                                          The champion role as defined in a
                                                                                                                                 job description or job role then create
                                                          job description or role publicised
PE1 (a) Is there a        Champion" means                                                                                        news item to introduce sustainability
                                                          on the intranet.
"Sustainable              somebody with the role and                                                                             champion via relevant media.
Procurement               authority to lead sustainable
                                                                                                         No
Champion" identified      procurement. Can be a part
within your               time role and does not have     The champion as recorded on an                                         Make reference to champion within
organisation?             to be a line responsibility.    organisation chart or a key                                            organisation chart. Include
                                                          sustainable goal is included in the                                    objective/goal within champion's list of
                                                          champion's personal objectives.                                        personal objectives.

                                                                                                                      1.00
                                                          A course agenda/content for a                                          Arrange for key staff to attend basic
                                                          basic awareness course on                                              training in sustainable procurement -
                          Key procurement staff could
                                                          sustainability with details of the                                     maintain records of key staff
                          be heads, senior managers
PE1 (b) Have key                                          trainer's sustainability                                               attendance on course and trainer
                          and/or members of a
procurement staff                                         qualifications.                                                        details.
                          dedicated central
received basic training                                                                                  No
                          procurement team key to
in sustainable
                          delivering sustainability.      Courses attended by key staff                                          Ensure feedback is received from
procurement principles?
                          Training should cover an        showing dates and duration with                                        delegates on course delivery and that
                          awareness of sustainability.    examples of course feedback                                            actions arising from feedback are
                                                          received from delegates.                                               recorded and progressed.

                                                                                                                      1.00
                                                          Key employee induction guidelines
                                                                                                                                 Create key employee induction
                          Induction checklist for key     or checklist with clear reference to
                                                                                                                                 guidelines that make reference to
                          employees should be             sustainability (could be part of
PE1 (c) Is sustainable                                                                                                           sustainability as a topic for induction.
                          documented. Induction           general employee induction).
procurement included
                          should include reference to
as part of a key                                                                                         No
                          the sustainable
employee induction
                          procurement champion and
programme?                                                Induction process that shows
                          the organisation's                                                                                     Create a process flow showing how
                                                          induction input from relevant
                          sustainability policy.                                                                                 induction is undertaken.
                                                          members of staff.


Level 2 (Embedded)
                                                                                                                      1.00
                                                          A course agenda/content for a
                                                                                                                                 Arrange for procurement staff to attend
                                                          basic awareness course on
                                                                                                                                 basic sustainable procurement training -
                                                          sustainability with details of
                          This should include all                                                                                maintain records of staff attendance
PE2 (a) Have all                                          trainer's sustainability
                          procurement staff identified                                                                           and trainer details.
procurement staff                                         qualifications.
                          by the organisation as
received basic training                                                                                  No
                          requiring awareness training
in sustainable
                          on sustainable procurement      Courses attended by procurement                                        Ensure feedback is received from
procurement principles?
                          practice.                       staff showing dates and duration                                       delegates on course delivery and that
                                                          with examples of course feedback                                       actions arising from feedback are
                                                          received from delegates.                                               recorded and progressed.

                                                                                                                      1.00
                                                          A course/conference agenda for                                         Arrange for key staff to get advanced
                          Key staff are defined at
                                                          advanced training on sustainability                                    training in sustainable procurement -
                          Level 1 (b). Advanced
                                                          with details of the trainer/speaker's                                  maintain records of staff attendance
                          training may include topics
PE2 (b) Have key staff                                    sustainability qualifications.                                         and trainer details.
                          on whole life costing,
received advanced
                          sustainable impact                                                             No
training on sustainable
                          assessments, assessing
procurement principles?                                   Courses attended by key staff                                          Ensure feedback is received from
                          sustainable risks,
                                                          showing dates and duration with                                        delegates on course delivery and that
                          measuring sustainable
                                                          examples of course feedback                                            actions arising from feedback are
                          benefits.
                                                          received from delegates.                                               recorded and progressed.


        4                                                                                                                              7/20/2012
        FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                                                                                                           PEOPLE

                                                              Suggested Evidence to Support          Question Criteria      RAG     Proposed actions required to meet
Criteria Question           Definition Guidance                                                                                                                               Owner   Date raised   Due Date   Comments / Evidence
                                                              a "Yes" Response                            Met?             Status   criteria

Level 3 (Practice)
                                                                                                                         1.00
                                                              A course agenda/content for                                           Arrange for key staff to get refresher
                            Key staff are defined at
                                                              refresher training on sustainability                                  training in sustainable procurement -
                            Level 1 (b) Refresher
PE3 (a) Has targeted                                          with details of trainer's                                             maintain records of staff attendance on
                            training should include
refresher training on the                                     sustainability qualifications.                                        course and trainer details.
                            updates on latest
latest sustainable
                            sustainability initiatives plus                                                 No
procurement principles
                            feedback from previous
been organised for key                                        Courses attended by staff showing                                     Ensure feedback is received from
                            courses. Refresher training
staff?                                                        dates and duration with examples                                      delegates on course delivery and that
                            should be delivered every 6
                                                              of course feedback received from                                      actions arising from feedback are
                            to 12 months.
                                                              delegates.                                                            recorded and progressed.

                                                                                                                         1.00
                                                              Verification that personal                                            Establish system for agreeing personal
                            Procurement staff should
                                                              objectives have been allocated to                                     objectives with staff and create a
                            have a minimum of one
                                                              procurement staff which includes                                      schedule meetings to review
PE3 (b) Do                  sustainable procurement
                                                              at least one sustainable goal.                                        sustainable performance.
performance objectives      objective cascaded from
and appraisals include      organisational objectives                                                       No
sustainable                 and have had at least one
                                                              Verification that performance                                         Record details of performance review
procurement factors?        review meeting covering the
                                                              review meetings relating to                                           meeting and ensure sustainable
                            sustainable objective
                                                              personal objectives on                                                training needs are fed back and
                            arranged.
                                                              sustainability have taken place.                                      actioned through staff PDP.

                                                                                                                         1.00
                                                                                                                                    Consider introduction of simple
                                                              Example of a simple employee                                          employee incentive scheme and
                            A simple employee
PE3 (c) Does the                                              recognition scheme in place.                                          promote awareness of scheme (via
                            recognition scheme may be
organisation have a                                                                                                                 Intranet, newsletter etc).
                            a "sustainable employee of
simple scheme in place
                            the month" award or quiz                                                        No
for recognising good
                            with "green" gift associated
employee practice re
                            with the recognition              Record of award or recognition of                                     Record the outcome of any employee
sustainability?
                            scheme.                           good practice delivered by an                                         incentive schemes and publicise
                                                              employee.                                                             accordingly.




        5                                                                                                                                7/20/2012
        FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                                                                                                          PEOPLE

                                                            Suggested Evidence to Support        Question Criteria      RAG     Proposed actions required to meet
Criteria Question            Definition Guidance                                                                                                                             Owner   Date raised   Due Date   Comments / Evidence
                                                            a "Yes" Response                          Met?             Status   criteria

Level 4 (Advanced)
                                                                                                                     1.00
                                                            A competency framework that
                                                            includes sustainable procurement                                    Adopt frameworks that includes
                             Sustainable procurement        and examples of interview                                           sustainable procurement
                             should be incorporated into    questions that assess knowledge                                     competencies.
PE4 (a) Is sustainable
                             competency frameworks          of sustainability.
procurement included in
                             used to assess                                                             No
competencies and
                             procurement professionals
selection criteria.                                         Relevant job descriptions for key                                   Ensure that key staff job descriptions
                             or assist in the recruitment
                                                            staff that have sustainable                                         include sustainable procurement as
                             of staff.
                                                            procurement as a competency                                         part of criteria and create sustainability
                                                            criteria.                                                           questions for recruiting key staff.

                                                                                                                     1.00
                                                            Employee induction manual,
                                                                                                                                Consider uploading details of induction
                                                            checklist or guidelines that
                                                                                                                                programme on to Intranet site or
                             Induction process should be    includes information on
                                                                                                                                incorporate within organisational
                             documented with                sustainability that is embedded as
PE4 (b) Is sustainable                                                                                                          policies and procedures guidance.
                             sustainability element         part of organisational procedure.
procurement included
                             included. New employees                                                    No
as part of staff induction
                             should be recorded as
programme.                                                  Systems for recording new
                             having completed the                                                                               Start to maintain records of inducted
                                                            employees who have been
                             induction process.                                                                                 employees and when their induction
                                                            inducted, their start date and the
                                                                                                                                has been completed.
                                                            person overseeing the induction.


Level 5 (Expert)
                                                                                                                     1.00
                                                            Magazine article that uses
                                                            organisation as case study on                                       Identify and promote major
                             This could be a reference to   good practice or news item written                                  achievements in sector or professional
PE5 (a) Are                  your organisation in a case    by member of staff recognised as                                    association magazines.
achievements                 study used by a prominent      leader in sustainability.
publicised and used to       magazine or a key note                                                     No
attract procurement          conference talk given by an
                                                            Provide conference agenda
professionals?               employee to promote
                                                            showing member of staff as                                          Consider publicising achievements via
                             sustainability.
                                                            speaker on topic related to                                         relevant conferences or events.
                                                            sustainable procurement.

                                                                                                                     1.00
                                                            Information on any award
                                                            submissions based on exceptional                                    Consider getting recognition for
                                                            sustainable procurement practice                                    significant achievement via entry
                             Major sustainability
                                                            e.g. GO award, National Business                                    submission to prominent award events.
PE5 (b) Have                 achievements could be
                                                            Awards.
achievements been            recognised by internal
                                                                                                        No
recognised with              awards delivered by the
awards?                      organisation or by external    Provide details of any internal                                     Promote any good individual
                             groups or associations.        recognition schemes relating to                                     performance via newsletter article,
                                                            exceptional sustainable                                             electronic press release or internal
                                                            procurement performance.                                            award scheme.

                                                                                                                     1.00
                                                            Information on the support and                                      Seek support for delivering exceptional
                                                            motivation received from senior                                     sustainable procurement practice from
                             Senior management should
                                                            management within the                                               senior executives and managers - team
                             support the benefits to be
                                                            organisation.                                                       talks, intranet messages etc.
                             gained from exceptional
PE5 (c) Is there a focus
                             sustainable procurement                                                    No
on benefits achieved?
                             practice and acknowledge
                                                            Copies of reports of good
                             the effort made by staff in                                                                        Ensure that any system in place to
                                                            performance with regard to
                             delivering them.                                                                                   measure benefits or performance has a
                                                            sustainable procurement issued to
                                                                                                                                place for sustainable procurement.
                                                            senior management.




        6                                                                                                                             7/20/2012
        FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                                                                                                      PEOPLE

                                                           Suggested Evidence to Support        Question Criteria      RAG     Proposed actions required to meet
Criteria Question          Definition Guidance                                                                                                                           Owner   Date raised   Due Date   Comments / Evidence
                                                           a "Yes" Response                          Met?             Status   criteria
                                                                                                                    1.00
                                                           Details of lead participation in                                    Initiate participation in any current
                                                           sector specific work streams or                                     sector specific work streams, forums or
                           This could be active            groups that develop good practice                                   best practice workgroups on
                           involvement in sector           in sustainable procurement.                                         sustainability .
PE5 (d) Is good practice
                           specific best practice work
shared with other                                                                                      No
                           streams or forum groups
organisations?                                             Details of lead contribution to
                           involving other sectors, both                                                                       Initiate communication with any current
                                                           nationwide forums, associations or
                           public and private.                                                                                 nationwide work streams, forums or
                                                           workgroups set up to share
                                                                                                                               best practice workgroups on
                                                           exceptional working practice in
                                                                                                                               sustainability .
                                                           sustainability.




        7                                                                                                                           7/20/2012
      FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                       POLICY, STRATEGY COMMS




POLICY, STRATEGY & COMMS



                                                                         Suggested Evidence to Support a            Question Criteria      RAG                                                              Date
Criteria Question                   Definition Guidance                                                                                                 Proposed actions required to meet criteria Owner            Due Date   Comments / Evidence
                                                                         "Yes" Response                                  Met?             Status                                                           raised

Level 1 (Foundation)
                                                                                                                                        1.00

                                                                         A statement showing high level
                                                                         organisational goals/objectives that                                           Derive key sustainable procurement                                                           Yes
                                                                         includes at least one sustainability                                           objectives for the organisation.
                                    An organisation may outline at a     goal with general targets.
PO1 (a) Have overarching            high level it's key sustainability
                                                                                                                                                                                                                                                     Partial / In progress
sustainability objectives been      objectives as part of the                                                              No
agreed?                             development of an overall
                                    procurement policy or plan.
                                                                                                                                                        Use sustainable procurement objectives to
                                                                         Reference to sustainable procurement                                                                                                                                        No
                                                                                                                                                        develop an organisational policy statement
                                                                         objectives on corporate web channels.
                                                                                                                                                        for sustainability.

                                                                                                                                                                                                                                                     All actions completed
                                                                                                                                        1.00

                                                                         A formal sustainable procurement
                                                                                                                                                        Create a sustainable procurement policy
                                                                         policy signed off/endorsed at senior
                                                                                                                                                        endorsed by the appropriate governing
                                                                         governance level appropriate to the
                                    The sustainable procurement                                                                                         authority for the organisation.
                                                                         organisation.
                                    policy should be formally signed
PO1 (b) Is there a simple
                                    off by a member of the
sustainable procurement policy in                                                                                          No
                                    organisation's senior governing
place endorsed by the CEO?
                                    body (e.g. elected members
                                    committee or equivalent).            Reference to a sustainable                                                     Incorporate within overall organisational
                                                                         procurement policy within an overall                                           policy a section on sustainable procurement
                                                                         corporate policy signed off by senior                                          signed off by a senior executive within
                                                                         management.                                                                    organisation.


                                                                                                                                        1.00

                                                                         A staff briefing plan that shows regular
                                                                                                                                                        Include a regular sustainability agenda item
                                                                         sustainability updates on policy or a
                                                                                                                                                        on staff forums/briefings and team briefings
                                    The organisation's sustainable       schedule of team meetings with
                                                                                                                                                        by managers that informs on policy updates.
                                    procurement policy and key           sustainably as an agenda item.
PO1 (c) Have policy and             objectives should be
objectives been communicated to     communicated to staff and                                                              No
staff and key suppliers?            suppliers via staff events,
                                    supplier forums or organisational    Supplier conference/forum events that
                                                                                                                                                        Publicise sustainable goals via supplier
                                    web channels.                        promotes the sustainable
                                                                                                                                                        events ("Meet the Buyer") and consider
                                                                         procurement policy and/or area on
                                                                                                                                                        designated area on internet/extranet/internet
                                                                         web site that publicises sustainable
                                                                                                                                                        to promote goals.
                                                                         objectives.


Level 2 (Embedded)
                                                                                                                                        1.00

                                                                         A formally documented procedure or
                                                                                                                                                        Create a procedure/process to review and
                                                                         process that describes how the
                                                                                                                                                        update the organisation's sustainable
                                                                         sustainable procurement policy has
                                                                                                                                                        procurement policy.
                                    All organisational policies,         been reviewed and updated.
PO2 (a) Has the sustainable         procedures and guides should
procurement policy been reviewed    have a system in place to                                                              No
and enhanced?                       periodically review and update
                                    documentation content.               Evidence of a review of the
                                                                         organisation's sustainable                                                     Undertake a review of the sustainable
                                                                         procurement policy having been                                                 procurement policy in accordance with
                                                                         undertaken in accordance with agreed                                           agreed procedure/process.
                                                                         procedures/process.




      8                                                                                                                                              7/20/2012
      FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                       POLICY, STRATEGY COMMS



                                                                         Suggested Evidence to Support a            Question Criteria      RAG                                                               Date
Criteria Question                    Definition Guidance                                                                                                Proposed actions required to meet criteria Owner             Due Date   Comments / Evidence
                                                                         "Yes" Response                                  Met?             Status                                                            raised

                                                                                                                                        1.00

                                                                         Communication with suppliers                                                   Initiate a supplier survey (based on a
                                                                         seeking views on the organisation's                                            representative sample) on the organisation's
                                                                         sustainable procurement policy.                                                defined sustainable procurement policy.
                                     Any review of an organisation's
PO2 (b) What supplier                sustainable procurement policy
engagement has been considered       should include a supplier                                                             No
in the policy review?                perspective as well as the views
                                     of internal stakeholders.
                                                                         Consideration of supplier's views on                                           Analyse supplier responses and consider
                                                                         sustainability as part of current policy                                       relevant comments for inclusion in policy
                                                                         review.                                                                        revision.



                                                                                                                                        1.00




                                     The organisation's sustainable
                                                                         Evidence that the sustainable                                                  Incorporate within the sustainable
PO2 (c) Does the sustainable         procurement policy should link to
                                                                         procurement policy has taken                                                   procurement policy a statement to deliver key
procurement policy link to a wider   any organisational strategies
                                                                         cognisance of any organisational                  No                           sustainable objectives/goals/targets set out in
organisational sustainable           formulated to deliver key
                                                                         strategies that document sustainability                                        the organisation's strategy on sustainability (if
development strategy?                organisational goals relating to
                                                                         targets and objectives.                                                        available).
                                     sustainability.




                                                                                                                                        1.00




                                     Revisions to the organisation's     Details of any revisions to the
PO2 (d) Have revisions to the
                                     procurement policy on               sustainable procurement policy                                                 Create a communications plan to publicise
sustainable procurement policy
                                     sustainability should be            communicated to staff and suppliers               No                           any revisions to the sustainable procurement
been communicated to staff and
                                     communicated to staff and key       via forums. newsletters, web                                                   policy to suppliers and staff.
key suppliers?
                                     suppliers.                          channels.




Level 3 (Practice)
                                                                                                                                        1.00




                                     Policy statements on sustainable    Details of policy statements on
PO3 (a) Has the sustainable                                                                                                                             Ensure that the organisation's sustainable
                                     procurement should be used to       sustainable procurement used to
procurement policy been used to                                                                                                                         procurement strategy takes cognisance of,
                                     develop and enhance the             create, develop and enhance the                   No
develop a sustainable                                                                                                                                   and aligns to, current policy statements on
                                     organisation's sustainable          organisation's sustainable
procurement strategy?                                                                                                                                   sustainable procurement.
                                     procurement strategy.               procurement strategy.




      9                                                                                                                                              7/20/2012
      FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                        POLICY, STRATEGY COMMS



                                                                           Suggested Evidence to Support a           Question Criteria      RAG                                                              Date
Criteria Question                      Definition Guidance                                                                                               Proposed actions required to meet criteria Owner            Due Date   Comments / Evidence
                                                                           "Yes" Response                                 Met?             Status                                                           raised

                                                                                                                                         1.00

                                                                           A risk analysis that assesses key
                                                                                                                                                         Undertake a risk assessment and identify key
                                                                           sustainability risks and issues used to
                                       The sustainable procurement                                                                                       risks that can be evaluated and incorporate
                                                                           feed into the sustainable procurement
PE3 (b) Does the sustainable           strategy should include a risk                                                                                    into a sustainable procurement strategy.
                                                                           strategy.
procurement strategy cover risk,       analysis and plans to integrate
process integration, marketing,        processes/engage with key
                                                                                                                            No
supplier engagement,                   suppliers. Reviews should form
measurement and a review               part of organisation's document
process?                               review process (as L2 (a)           Details of how sustainability is built
                                                                                                                                                         Map out procurement process showing
                                       above).                             into the procurement process and how
                                                                                                                                                         sustainability inputs/touch points including
                                                                           sustainability targets will be
                                                                                                                                                         supplier engagement.
                                                                           communicated to suppliers.


                                                                                                                                         1.00



                                       The documented sustainable
                                                                           A communication from the
                                       procurement strategy should be
                                                                           organisation's senior governing body                                          Seek acknowledgement and endorsement of
                                       acknowledged and endorsed by
PE3 (c) Has the strategy been                                              endorsing the sustainable                                                     the sustainable procurement strategy and
                                       the organisation's senior                                                            No
endorsed by the CEO?                                                       procurement strategy as the plan for                                          objectives at a senior governance level
                                       governing body (e.g. elected
                                                                           achieving the organisation's                                                  appropriate to the organisation.
                                       members committee or
                                                                           sustainability objectives.
                                       equivalent).




Level 4 (Advanced)
                                                                                                                                         1.00
                                                                           Authorised operational process or
                                                                           guidelines that sets out the procedure                                        Establish a procedure/process to review and
                                                                           for reviewing key documents and                                               update the organisation's sustainable
                                       Organisations should have in        states the parties involved in the                                            procurement strategy on an annual basis.
PO4 (a) Has your sustainable                                               review.
                                       place a system that ensures that
procurement strategy been
                                       policies and procedures are
reviewed and enhanced, in                                                                                                   No
                                       reviewed and updated to
particular recognising the potential
                                       incorporate new developments in
of new technologies.                                                       Details of the last periodic review of                                        Ensure that strategy reviews include any new
                                       good practice and legislation.
                                                                           the sustainable procurement strategy                                          political, environmental, social, legal,
                                                                           undertaken, the scope of coverage                                             technological and environmental initiatives
                                                                           and the updates incorporated.                                                 and justification for their inclusion/exclusion.


                                                                                                                                         1.00

                                                                           Details of any cross functional                                               Set up regular meetings with environmental
                                                                           meetings or workgroups that links                                             officers to try and align procurement
                                       Where possible, organisations       procurement to strategies developed                                           strategies to key organisational
                                       should try to link their            by environmental professionals.                                               environmental objectives.
PO4 (b) Have you tried to link your
                                       sustainable procurement
strategy to the organisation's EMS
                                       strategy to any Environmental                                                        No
and include references in overall
                                       Management Systems (EMS) (or
corporate strategy.
                                       equivalent) to ensure tie-in with   Reference to, and clear alignment
                                       environmental objectives.                                                                                         Ensure that any sustainable procurement
                                                                           with, overall environmental objectives
                                                                                                                                                         strategy development is clearly aligned to the
                                                                           within the sustainable procurement
                                                                                                                                                         environmental objectives of the organisation.
                                                                           strategy.




      10                                                                                                                                              7/20/2012
       FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                         POLICY, STRATEGY COMMS



                                                                           Suggested Evidence to Support a             Question Criteria      RAG                                                              Date
Criteria Question                       Definition Guidance                                                                                                Proposed actions required to meet criteria Owner            Due Date   Comments / Evidence
                                                                           "Yes" Response                                   Met?             Status                                                           raised

Level 5 (Expert)
                                                                                                                                           1.00
                                                                           Process or guidelines that sets out
                                                                                                                                                           Ensure that review process for the
                                                                           procedure for reviewing key
                                                                                                                                                           development of the sustainable procurement
                                                                           documents that includes an
                                                                                                                                                           strategy involves environmental/sustainability
                                        Organisations should have in       environmental review by personnel
PO5 (a) Is your strategy :                                                                                                                                 officer input.
                                        place a system that ensures that   out-with procurement.
reviewed regularly
                                        policies and procedures are
externally scrutinised                                                                                                        No
                                        reviewed and updated to
linked directly to the organisation's
                                        incorporate new developments in    Touch points between the
EMS?                                                                                                                                                       Review current procurement process and
                                        good practice and legislation.     procurement process and the
                                                                                                                                                           identify key touch points to other key CSR
                                                                           processes of other functions that input
                                                                                                                                                           process areas - ensure alignment between
                                                                           sustainability support and advice to
                                                                                                                                                           processes.
                                                                           procurement.

                                                                                                                                           1.00

                                                                           Details of any political committee or                                           Incorporate sustainable procurement
                                                                           group who are involved in the                                                   objectives into any approvals or
                                                                           approval or verification of                                                     endorsements on business operations
PO5 (b) The Sustainable                 The sustainable procurement        organisational plans and objectives.                                            sought from senior stakeholders.
Procurement strategy has been           strategy should be endorsed by
recognised by senior stakeholders       any committee or group set up to
                                                                                                                              No
(political leaders where                monitor the organisation. The
appropriate) and widely                 committee or group should
communicated?                           include senior stakeholders.       Minutes of meetings that record senior                                          Maintain records of review meetings and
                                                                           stakeholders' approval of the                                                   ensure that political approvals or
                                                                           sustainable procurement strategy with                                           endorsements are communicated to all
                                                                           the distribution list for minutes stated.                                       relevant staff


                                                                                                                                           1.00

                                                                           Long term vision of where the
                                                                           organisation expects to be in terms of
                                                                           achieving a high level of sustainable
                                        Any review of the sustainable      performance.
                                        procurement strategy should                                                                                        Incorporate within the overall sustainable
PO5 (c) Has a detailed review
                                        include a forecast or vision of                                                                                    procurement strategy a section that sets out
been undertaken to determine                                                                                                  No
                                        where the organisation wants to                                                                                    sustainable aspirations for the next 3 to 5
future priorities?
                                        be in 3 to 5 years time with                                                                                       years.
                                        regard to sustainability.
                                                                           Future forecasts of new technology or
                                                                           new sustainable markets.




       11                                                                                                                                               7/20/2012
        FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                                                                                                       PROCUREMENT PROCESS

PROCUREMENT
PROCESS
                                                            Suggested Evidence to Support a "Yes"          Question Criteria     RAG     Proposed actions required to                   Date
Criteria Question              Definition Guidance                                                                                                                             Owner            Due Date   Comments / Evidence
                                                            Response                                            Met?            Status   meet criteria                                 raised
Level 1 (Foundation)
                               Procurement should, in                                                                          1.00
                               consultation with
                                                                                                                                         Obtain expenditure information
                               environmental                An analysis of spend obtained via the
                                                                                                                                         on commodities via internal
PP1 (a) Has an expenditure     specialists, consider        organisation's accounts payable system,
                                                                                                                                         accounts payable system and
analysis been undertaken       those commodities that       listing total expenditure per commodity,
                                                                                                                                         identify the top 5 commodities
and have key sustainability    will have a high impact      and highlighting those top 5 commodities              No
                                                                                                                                         that are likely to have a high
impact commodities been        on sustainability and        that have a high sustainability impact (e.g.
                                                                                                                                         impact on sustainability
identified?                    use an expenditure           energy, transport etc). The expenditure on
                                                                                                                                         (economic/environmental/social)
                               analysis to identify the     these commodities should be identified.
                                                                                                                                         .
                               top 5 commodities by
                               spend.
                                                                                                                               1.00      Consider what sustainability
                               Supplier pre-
                               qualification and                                                                                         criteria and weightings can be
                                                            Evidence of consideration of criteria used
                               invitations to tender                                                                                     incorporated into supplier pre-
                                                            to pre-qualify suppliers or award contracts,
                               should include general                                                                                    qualification questionnaires or
PP1 (b) Do key contracts       criteria on sustainability                                                                                ITT documents.
start to include general       as a standard                                                                      No
sustainability criteria?       procedure. Key
                               contracts would be for       Examples of PQQ/tender documents that                                        Incorporate sustainability criteria
                               those high impact            include capability/award criteria and                                        and weightings within
                               commodities identified       weightings that relate to sustainability.                                    PQQ/tender documentation.
                               at L1 (a).
                                                                                                                               1.00
                               Contracts should be
                               awarded on the basis of
                               "value for money" or                                                                                      Consider creating
                                                            Standard tender documentation issued as
PP1 (c) Are contracts          "most economically                                                                                        standard/template tender
                                                            part of an Invitation to Tender that states
awarded on the basis of        advantageous tender                                                                                       document for use with all
                                                            that contracts will be awarded on the basis           No
value-for-money, not lowest    (MEAT)" rather than on                                                                                    contracts with statement that
                                                            of VFM or MEAT. Examples of ITT with
price?                         the lowest price                                                                                          contracts will be awarded on the
                                                            MEAT statement provided.
                               submitted. This should                                                                                    basis of MEAT.
                               be standard for most
                               contracts.

                                                                                                                               1.00      Communicate to procurement
                               Procurement                  Procurement staff awareness of where to                                      staff where information on the
                               professionals should         find information on Government Buying                                        Government Buying Standards
                               consider adopting            Standards (previously Quick Wins).                                           (previously Quick Wins) can be
PP1 (d) Do buyers adopt        Government Buying                                                                                         accessed.
                                                                                                                  No
Quick Wins?                    Standards (ex-Quick                                                                                       Ensure that requests to
                               Wins) or similar             Procurement authorisation requests that
                                                                                                                                         purchase commodities consider
                               standard sustainable         include an assessment of the suitability or
                                                                                                                                         Government Buying Standard
                               specifications.              otherwise of such
                                                                                                                                         (previously Quick Wins)
                                                            standards/specifications.
                                                                                                                                         specifications.
Level 2 (Embedded)
                               Procurement should, in                                                                          1.00
                               consultation with
                               environmental staff,         A detailed analysis of spend obtained via                                    Obtain expenditure information
                               consider all                 data systems such as the Procurement                                         on commodities via data
PP2 (a) Has a detailed         commodities that have        Information Hub, listing total expenditure                                   systems and identify all
commodity expenditure          any impact on                per commodity, and highlighting all                   No                     commodities that are likely to
analysis been undertaken?      sustainability and use a     commodities that have any impact on                                          have an impact on sustainability
                               detailed expenditure         sustainability, The value of expenditure on                                  (economic/environmental/social)
                               analysis to identify         these commodities should be identified.                                      .
                               spend on these
                               commodities.
                                                                                                                               1.00      Consider implementing a risk
                               Procurement should           A sustainability risk evaluation matrix used                                 assessment tool that assesses
                               undertake a formal           within the organisation's standard                                           the economic, social and
                               sustainability risk          procurement process for most contracts.                                      environmental risks of buying
PP2 (b) Have key                                                                                                                         sustainably.
                               assessment of social,
sustainability risks been
                               economic and                                                                       No
assessed and used for                                                                                                                    Create a standard strategy
                               environmental factors        Evidence that key risks are being
prioritisation?                                                                                                                          document that includes a
                               and prioritise key risks     managed within the procurement strategy
                                                                                                                                         section on sustainability risk
                               to consider in contract      formulated for a commodity/group of
                                                                                                                                         assessment and action plans to
                               strategies.                  commodities.
                                                                                                                                         mitigate.

                                                                                                                                               12                                                                                           7/20/2012
        FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                                                                                                       PROCUREMENT PROCESS

                                                            Suggested Evidence to Support a "Yes"           Question Criteria      RAG     Proposed actions required to                 Date
Criteria Question               Definition Guidance                                                                                                                            Owner            Due Date   Comments / Evidence
                                                            Response                                             Met?             Status   meet criteria                               raised
                                Procurement should be                                                                           1.00       Engage with key stakeholders or
                                                            Evidence that procurement has been
PP2 (c) Is sustainability       involved in the planning                                                                                   client departments to be part of
                                                            invited to input to the planning stage of a
considered at an early stage    stages of the                                                                                              pre-tender planning for a
                                                            procurement exercise and has attended                  No
in the procurement process      procurement process to                                                                                     procurement exercise and
                                                            pre-tender planning sessions (e.g. minutes
of most contracts?              ensure that                                                                                                incorporate a "Planning Stage"
                                                            of pre-tender meetings).
                                sustainability has been                                                                                    into standard procurement
                                Whole life costing          Tender documents describing a whole life                            1.00       Incorporate whole life cost
                                incorporates the            cost evaluation as being the standard                                          analysis as the default method
                                systematic                  procurement tender evaluation method.                                          for evaluating tenders.
                                consideration of all
PP2 (d) Is whole life cost                                                                                                                 Develop a standard tender
                                relevant costs                                                                     No
analysis adopted?                                           Tender assessment that adopts the whole                                        evaluation tool for tender
                                associated with the
                                ownership of an asset       life cost technique to evaluate tenders for                                    assessments (e.g. "Forum for
                                from acquisition to         most contracts.                                                                the Future" whole life costing
                                disposal.                                                                                                  model).
Level 3 (Practice)
                                                                                                                                1.00
                                The standard risk                                                                                          Create a formal risk register for
PP3 (a) Are all contracts       assessment procedure        A formal risk register in place for all key                                    use on all key contracts that
assessed for general            for all contracts or        contracts that can record sustainable risks.                                   allows for the recording and
sustainability risks and        purchase requirements                                                              No                      management of the political,
management actions              should include an                                                                                          economic, social, technological,
identified?                     assessment of               Sustainability risks logged in register with                                   environmental and legal risks of
                                sustainability risks.       impact, mitigating actions and risk owners                                     buying sustainably.
                                                            identified.

                                                            A formal risk register in place for all key                         1.00
                                                                                                                                           Document the risk management
                                                            contracts with evidence that risks are
                                Risks should be logged                                                                                     process and include within
                                                            logged at all stages of the procurement life
                                in a risk register then                                                                                    formal procurement procedures.
PP3 (b) Are risks managed                                   cycle.
                                managed and
throughout all stages of the                                                                                       No
                                monitored throughout                                                                                       Ensure that all procurement staff
procurement process?                                        Verification that sustainability risks are
                                the whole life cycle of a                                                                                  record appropriate sustainable
                                                            managed in a way that mitigates the
                                contract.                                                                                                  procurement risks in the risk
                                                            probability of the risk affecting sustainable
                                                                                                                                           register for the duration of key
                                                            contract deliverables.
                                                                                                                                           contracts.
                                                                                                                                1.00       Ensure that contract
                                KPI's to measure            Contract documentation that outlines
                                sustainable benefits                                                                                       performance targets on key
                                                            targets for the continuous improvement of
                                should be identified at                                                                                    contracts includes KPI's for
PP3 (c) Are targets to                                      sustainability performance.
                                the procurement                                                                                            supplier measurement.
improve sustainability agreed                                                                                      No
                                strategy stage and                                                                                         Ensure that contract review
with key suppliers?                                         Contract review meeting agenda's that
                                sustainable                                                                                                meetings include sustainable
                                procurement targets         shows sustainability improvement as a
                                                                                                                                           performance improvement as a
                                agreed with suppliers.      standard review item.
                                                                                                                                           standing agenda item.




                                                                                                                                                 13                                                                                         7/20/2012
        FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                                                                                                          PROCUREMENT PROCESS

                                                               Suggested Evidence to Support a "Yes"           Question Criteria     RAG     Proposed actions required to                  Date
Criteria Question                 Definition Guidance                                                                                                                             Owner            Due Date   Comments / Evidence
                                                               Response                                             Met?            Status   meet criteria                                raised
Level 4 (Advanced)
                                                                                                                                   1.00
                                                                                                                                             Look to incorporate current risk
                                                               Verification that sustainable risks have                                      assessments tools/methods into
                                  Assessment of                been assessed on key contracts over a                                         the planning process that
                                  sustainability risks and     period of 1-2 years.                                                          identifies significant sustainable
                                  the implementation of a                                                                                    risks and issues.
PP4 (a) Are detailed
                                  risk register to record
sustainability risks assessed                                                                                         No
                                  sustainable risks should
for high impact contracts?
                                  be well established and                                                                                    Ensure that risks and issues are
                                                               Risk registers are used as standard to
                                  accepted as standard                                                                                       regularly recorded, categorised
                                                               record risks and are a fully integrated into
                                  within the organisation.                                                                                   and acted upon for all key
                                                               procurement processes, procedures and
                                                                                                                                             contracts that have a high
                                                               documentation.
                                                                                                                                             sustainability impact.

                                                                                                                                   1.00      Establish a contract review
                                                                                                                                             group that comprise senior
                                                                                                                                             personnel from within
                                  Organisations can set
                                                                                                                                             procurement and other
                                  up a contract steering
                                                               Presence of a contract steering/review                                        appropriate functions, if
                                  group or gateway
PP4 (b) Is there                                               group comprising key senior personnel                                         relevant.
                                  review group to monitor
project/contract sustainability                                who monitor and review progress against                No
                                  progress and
governance in place?                                           key milestone events that include
                                  performance against
                                                               sustainability checkpoints.                                                   Ensure that milestones identified
                                  key procurement
                                  milestone events                                                                                           for key contracts allow for
                                                                                                                                             reviews on sustainably inputs.


                                                                                                                                   1.00      Identify established
                                                                                                                                             methodologies and tools that
                                  The assessment of the                                                                                      allow for an assessment of the
                                  sustainability impact                                                                                      impact key commodities will
                                                               Verification that impact assessments are                                      have over the life cycle of a
                                  over the life cycle of key
                                                               established within the procurement                                            contract.
PP4 (c) Has a life-cycle          commodities should be
                                                               process and that best practice tools and
approach to cost/impact           established as regular                                                              No
                                                               techniques used to assess risks/costs over
assessment been applied?          practice within the
                                                               the life cycle of a contract have been                                        Ensure impact assessment tools
                                  organisation's
                                                               identified.                                                                   and methodologies become an
                                  documented
                                                                                                                                             established practice within the
                                  procurement process.
                                                                                                                                             procurement process.


Level 5 (Expert)
                                  A life cycle analysis                                                                            1.00
                                  should be regularly          Details of impact assessments carried out
                                                                                                                                             Ensure that regular impact
                                  applied to targeted          over the life cycle of key commodities over
                                                                                                                                             assessments over the life cycle
                                  commodities that have        an extended period of time. Assessment
PP5 (a) Has a life-cycle                                                                                                                     of key commodities identified as
                                  a high impact on             to include all suppliers delivering materials
analysis been undertaken for                                                                                          No                     having significant opportunities
                                  sustainability. The          or services throughout the whole supply
key commodity areas?                                                                                                                         to deliver sustainable benefits
                                  analysis should assess       chain that affect sustainability i.e. at
                                                                                                                                             are carried out for the whole
                                  the impact at each           design, manufacture, assembly,
                                                                                                                                             supply chain.
                                  stage of a product life      distribution stages etc.
                                  cycle.
                                                                                                                                   1.00
                                  Organisations may                                                                                          Identify other organisations who
                                  introduce internal           Budget schemes that allow for life cycle                                      may incorporate budget
                                  incentives to secure         cost analysis and do not penalise long                                        incentives to secure targeted
                                  significant sustainable      term investment in sustainability products.                                   sustainable benefits and
                                  procurement benefits.                                                                                      benchmark accordingly.
PP5 (b) Has progress been         Incentives may include
rewarded based on                 increased budget                                                                    No
performance?                      provision or allocation of                                                                                 Consider adoption of incentive
                                  additional resource          Information on incentive schemes or
                                                                                                                                             schemes or improvement
                                  capacity to departments      programmes used to secure a high
                                                                                                                                             programmes that motivate key
                                  that                         performance delivery of sustainable
                                                                                                                                             stakeholders to improve
                                  demonstrate/choose           benefits.
                                                                                                                                             sustainability performance.
                                  sustainable options.




                                                                                                                                                   14                                                                                          7/20/2012
       FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                                                                                                  PROCUREMENT PROCESS

                                                         Suggested Evidence to Support a "Yes"         Question Criteria      RAG     Proposed actions required to                Date
Criteria Question             Definition Guidance                                                                                                                        Owner            Due Date   Comments / Evidence
                                                         Response                                           Met?             Status   meet criteria                              raised
                                                                                                                           1.00       Guarantee use of established
                                                         Confirmation that specifications or                                          sustainable specification
                                                         assessment criteria do not preclude                                          standards and assurance that
                              All unnecessary or         sustainable offers.                                                          PQQ/award criteria don't carry
                              artificial barriers to                                                                                  insignificant weightings.
PP5 (c) Have barriers to
                              buying sustainably or
sustainable procurement                                                                                       No
                              achieving sustainable                                                                                   Ensure that cross budget
been removed?
                              objectives should be                                                                                    consideration supports
                              removed.                   Confirmation that there are no budget or
                                                                                                                                      sustainable procurement and
                                                         market constraints to buying sustainably
                                                                                                                                      that markets are ready to supply
                                                                                                                                      sustainable products.

                                                                                                                           1.00
                                                         Taking lead role in sector work streams or                                   Volunteer to take lead role in
                                                         forums to deliver best practice sustainable                                  sector work streams or groups
                              Good sustainable           procurement across sector to the benefit of                                  set up to share best practice
                              procurement practice       society at large.                                                            sustainable procurement.
                              adopted by the
                              organisation should be
PP5 (d) Has best practice
                              shared with other
been shared with other                                                                                        No
                              organisations within the                                                                                Consider joining sector or
organisations?                                           Benchmark visits by other companies
                              sector to enhance                                                                                       industry wide benchmarking
                              sustainable                because own organisation is recognised
                                                                                                                                      forum to exchange information
                              procurement                as leader in sustainable procurement
                                                                                                                                      best practice sustainable
                              performance.               practice.
                                                                                                                                      procurement.




                                                                                                                                           15                                                                                         7/20/2012
       FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                                                                                                                 ENGAGING SUPPLIERS


ENGAGING SUPPLIERS
                                                                    Suggested Evidence to Support a               Question          RAG     Proposed actions required to meet                    Date
Criteria Question              Definition Guidance                                                                                                                                      Owner            Due Date   Comments / Evidence
                                                                    "Yes" Response                               Criteria Met?     Status   criteria                                            raised
Level 1 (Foundation)

                                                                    An analysis of spend obtained via the                        1.0
                               Procurement should consider          organisation's accounts payable system,                                 Obtain expenditure information on
S1 (a) Has a key supplier
                               those suppliers who are likely to    listing total expenditure by supplier, and                              suppliers via internal accounts payable
spend analysis been
                               have a high impact on                highlighting those suppliers who may                                    system and identify those top 5 to 10
undertaken and high                                                                                                   No
                               sustainability and use an            have a high sustainability impact. Those                                suppliers (by spend) that are likely to
sustainability impact
                               expenditure analysis to identify     suppliers with the highest expenditure                                  have a high impact on sustainability
suppliers identified?
                               the top 5 suppliers by spend.        (e.g. top by 5 spend) should be                                         (economic/environmental/social).
                                                                    identified.
                                                                                                                                 1.0
                                                                    List of key suppliers with whom views on                                Identify key suppliers to communicate
                               As an important stakeholder,         the organisation's sustainable                                          with on the organisation's proposed
S1 (b) Have key suppliers      key suppliers should be              procurement policy will be sought.                                      sustainable procurement policy.
been targeted for              consulted on future procurement
                                                                                                                      No
engagement and views on        policy with regard to
procurement policy sought?     sustainability. Key suppliers will   Plan in place to seek key supplier views                                Create communications plan to engage
                               be identified from S1 (a).           on sustainable procurement policy                                       key supplier views on proposed
                                                                    content.                                                                sustainable procurement policy.

Level 2 (Embedded)
                                                                                                                                 1.0
                                                                    A detailed analysis of spend obtained via
                               Procurement should consider all
                                                                    data systems such as the Procurement                                    Obtain expenditure information on
                               suppliers that are likely to have
S2 (a) Has a detailed                                               Information Hub, listing total expenditure                              suppliers via data systems and identify
                               any impact on sustainability and
supplier spend analysis been                                        per supplier, and highlighting all                No                    all suppliers that are likely to have an
                               use a detailed expenditure
undertaken?                                                         suppliers that have any impact on                                       impact on sustainability
                               analysis to identify spend with
                                                                    sustainability, The value of expenditure                                (economic/environmental/social).
                               these suppliers.
                                                                    on these suppliers should be identified.

                                                                    General plan that includes supplier                          1.0        Create a supplier engagement plan that
                               Organisations may arrange for a      conferences and events, incorporating                                   includes senior management
S2 (b) Has a general           senior manager to talk about         sustainability and involving senior                                     involvement to explain the sustainability
programme of supplier          procurement policy at                management involvement.                                                 policy.
engagement been initiated      conferences, events or                                                                 No
with senior manager            meetings. Contract review            Planned schedule of contract review                                     Ensure that contract review meetings
involvement?                   meetings should involve senior       meetings that includes sustainability on                                incorporate dialogue with suppliers on
                               supplier staff.                      the agenda and involves a senior                                        sustainability and involves senior
                                                                    supplier representative.                                                supplier representatives.

Level 3 (Practice)
                                                                                                                                 1.0        Create supplier engagement plan
                                                                                                                                            endorsed by senior management that
S3 (a) Is there a targeted     An organisation may produce a                                                                                utilises all available media to publicise
                                                                    Prioritised plan for structured supplier
supplier engagement            formal supplier engagement                                                                                   the sustainable procurement policy.
                                                                    engagement with key suppliers over a
programme in place,            plan to publicise, advertise and                                                       No
                                                                    range of key commodities that have a                                    Create environment for suppliers that
promoting continual            promote its sustainability
                                                                    significant sustainability impact.                                      supports improved sustainable
sustainability improvement?    aspirations.
                                                                                                                                            performance (e.g. promote sustainable
                                                                                                                                            procurement with client depts).
                                                                                                                                 1.0        Ensure that contracts with suppliers
                                                                    Details of scheduled supplier contract
                               An organisation may conduct                                                                                  allow for contract review meetings that
                                                                    reviews that has sustainability on the
S3 (b) Does a two way          formal contract review meetings                                                                              incorporates sustainability as an
                                                                    agenda.
communication between          with suppliers, or have a                                                                                    agenda item.
                                                                                                                      No
procurer and supplier exist    supplier rating system               Details of a supplier                                                   Consider introducing a supplier rating
with incentives?               established, to discuss good or      measurement/vendor rating system (or                                    system that includes sustainability
                               poor sustainability performance.     equivalent) used to measure and discuss                                 measures that can be discussed at
                                                                    sustainability performance.                                             contract review meetings.
                                                                                                                                 1.0        Include standard request on
                                                                    Identification of key stages of the
                                                                                                                                            PQQ/Tender documentation to confirm
                               The supply chain for a               production process (e.g. sub design or
                                                                                                                                            sub-contractors and their scope of work
                               commodity may involve a              assembly) for key commodities and the
S3 (c) Have supply chains                                                                                                                   for key areas of
                               number of "tiers" or "levels "       suppliers involved at each stage.
for key spend areas been                                                                                              No                    manufacture/production.
                               within the supply chain (e.g. sub-
mapped?
                               contractors) and these should        Analysis of the supply chain to identify                                Analyse supply chain for key
                               be identified and mapped out.        impact on the environment (e.g. carbon                                  sustainability impacts and risks and
                                                                    emissions, waste, employment, youth                                     create action plan to manage
                                                                    training) .                                                             accordingly.

                                                                                                                                                16                                                                                                 7/20/2012
        FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                                                                                                               ENGAGING SUPPLIERS

                                                                      Suggested Evidence to Support a              Question          RAG     Proposed actions required to meet                  Date
Criteria Question                Definition Guidance                                                                                                                                   Owner            Due Date   Comments / Evidence
                                                                      "Yes" Response                              Criteria Met?     Status   criteria                                          raised
Level 4 (Advanced)
                                                                      A range of contracts that include review                    1.0
                                 Contracts with Suppliers with a      meetings which incorporate development                                 Ensure that established contract
                                 high sustainability impact should    suggestions/discussions to improve                                     management processes and
S4 (a) Are key suppliers         incorporate provisions to            sustainability.                                                        procedures allow for suppliers to
targeted for intensive           continually improve sustainability                                                    No
                                                                                                                                             suggest improvements to contract
development?                     performance and allow for the        Details of regular improvements to                                     delivery that increases sustainable
                                 identification of opportunities to   sustainability agreed with suppliers and                               benefits.
                                 enhance sustainable benefits.        delivered as part of contract provision.

                                                                      Supplier audit questionnaire that                           1.0        Include appropriate sustainability
                                 Supplier audits should include       incorporates sustainability related                                    questions on the suppliers supply chain
S4 (b) Are sustainability        sustainability questions which       questions on commodities purchased                                     provision within quality audit review
audits and supply chain          also apply to the supplier's sub-    from suppliers and sub-contractors.                                    questionnaires.
                                                                                                                       No
improvement programmes in        contractors who deliver
place?                           commodities that have a high         Programme of sustainability                                            Include within contract provisions the
                                 sustainability impact.               improvement initiatives agreed with                                    right to audit supplier's and instigate
                                                                      suppliers.                                                             sustainable improvement programmes.

                                                                                                                                  1.0        Establish programmes or award
                                                                      Provide information on any award                                       schemes that highlights exceptional
                                 Organisations should recognise                                                                              supplier performance in sustainable
                                                                      schemes or articles that publicises the
                                 and acknowledge exceptional                                                                                 delivery.
S4 (c) Are achievements                                               delivery of exceptional supplier
                                 supplier performance on                                                               No
formally recorded?                                                    performance in sustainability or the                                   Ensure that significant sustainable
                                 sustainability through awards or
                                                                      attainment of a significant sustainable                                achievements are recorded and
                                 press releases.
                                                                      target/goal.                                                           publicised throughout
                                                                                                                                             organisation/sector.
                                 Senior management within the                                                                     1.0
                                 organisation should participate                                                                             Produce supplier communication events
                                 in supplier events or                Confirm details of supplier events,                                    programme with key note speech.
S4 (d) Is there CEO
                                 conferences to demonstrate the       forums or conferences attended by
involvement in the supplier                                                                                            No
                                 organisation's sustainable           senior management to promote, market                                   Invite senior management to deliver key
engagement programme?
                                 procurement strategy has been        and publicise sustainability objectives.                               note speech on sustainability to
                                 endorsed by their senior                                                                                    suppliers at appropriate events or
                                 governing body.                                                                                             conferences.

Level 5 (Expert)
                                                                      Stakeholder engagement plan that                            1.0
                                 Organisations should recognise       shows suppliers as a key source of                                     Establish consultation programme with
S5 (a) Are suppliers             and acknowledge that suppliers       stakeholder input to the development of                                suppliers that assess the impact the
recognised as essential to       are also key stakeholders and        a sustainability strategy.                                             sustainable procurement strategy has
delivery of the organisation's   consequently should be                                                                No                    on various markets, and on the
sustainable procurement          consulted on key aspects of the      Details of any supplier input that has                                 availability of new products/technology
strategy?                        sustainable procurement              been incorporated into the sustainable                                 to support achievement of sustainable
                                 strategy.                            procurement strategy.                                                  objectives.

                                                                                                                                  1.0
                                 To ensure the development of a
                                 sustainable procurement              Produce information on any
                                                                                                                                             Senior management to engage with key
S5 (b) Does the CEO              strategy that is achievable,         communications, consultations or
                                                                                                                                             supply markets to promote the
engage with suppliers on         senior management may                engagement senior management has                 No
                                                                                                                                             sustainability agenda and influence
strategy?                        engage directly with key             had with key suppliers of high impact
                                                                                                                                             opinion.
                                 suppliers to solicit and influence   sustainable commodities.
                                 opinion and views.

                                                                                                                                  1.0        Ensure that senior management is
                                 Senior management should                                                                                    advised on significant achievements or
                                                                      Communications to other organisations
                                 inform peers and equivalents                                                                                results with regard to sustainable
                                                                      at a senior level on the delivery of best
S5 (c) Is best practice          within the industry or sector                                                                               procurement delivery.
                                                                      practice sustainable procurement within
shared with other/peer           about the organisation's own                                                          No
                                                                      the organisation e.g. Chief Executive                                  Identify senior management
organisations                    successes and achievements in
                                                                      groups or sector conventions or                                        conferences, events or forums where
                                 sustainable procurement
                                                                      associations.                                                          successes can be marketed as best
                                 practice.
                                                                                                                                             practice sustainable procurement.
                                                                                                                                  1.0        Within tender documents, reinforce the
                                 Suppliers identified as having a     Provisions within contracts that specify
S5 (d) Do suppliers                                                                                                                          commitment to buy sustainably and
                                 high sustainability impact should    requirement to deliver where possible
recognise they must                                                                                                                          engage with supply markets to deliver a
                                 be aware of the need to focus        sustainable goods and services.
continually improve their                                                                                                                    positive environmental impact.
                                 on delivering sustainability                                                          No
sustainability profile to                                             Evidence of supplier commitment to                                     Include provisions in contract
                                 objectives and promote
promote the sustainability                                            enhance approach to buying sustainably                                 documentation to improve sustainable
                                 sustainability throughout the
agenda.                                                               within their own supply chain e.g. agreed                              performance on social and
                                 organisation.
                                                                      supplier improvement programme.                                        environmental factors.
                                                                                                                                                 17                                                                                               7/20/2012
         FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                                                                                                                          MEASUREMENT RESULTS


MEASUREMENT &
RESULTS

                                                                Suggested Evidence to Support a "Yes"           Question        RAG                                                                         Date
Criteria Question             Definition Guidance                                                                                       Proposed actions required to meet criteria                 Owner            Due Date   Comments / Evidence
                                                                Response                                       Criteria Met?   Status                                                                      raised

Level 1 (Foundation)

                                                                                                                               1

                              In order to measure the           A general assessment of the benefits of
MR1 (a) Have the key          success or otherwise of           buying sustainably undertaken for a range
sustainability benefits to    buying a commodity                of key commodities that have a significant                              Undertake a general high level assessment of the
be gained from                sustainably, the general          impact on sustainability (e.g. reduced              No                  benefits of buying sustainability against economic,
procurement activity been     benefits of sustainable           carbon emissions, less water consumption,                               social and environmental factors.
identified?                   procurement have to be            reduced waste and packaging, community
                              identified.                       benefits etc).



Level 2 (Embedded)

                                                                                                                               1
                              An organisation should
MR2 (a) Has a detailed        conduct a detailed                A detailed assessment of the benefits of
appraisal of the              assessment of the benefits of     buying sustainably undertaken for a range                               Undertake a detailed assessment of the benefits of
sustainability benefits to    buying sustainably from           of key commodities that have a significant                              buying sustainability against economic, social and
                                                                                                                    No
be gained from                which targets can be set.         impact on sustainability. Identification of                             environmental factors and derive key measures (KPI's)
procurement activity been     Key performance indicators        potential KPI's and targets derived from the                            and targets.
undertaken?                   should be derived to measure      assessment.
                              performance.


                                                                                                                               1
                                                                The creation of a benefits tracking system                              Consider the introduction of a benefits tracking system
                                                                (or equivalent) to measure the benefits of                              to measure the perceived benefits of buying
                              An organisation may               buying sustainably.                                                     commodities sustainably.
MR2 (b) Have measures
                              introduce a benefits tracking
been implemented to
                              system to measure the                                                                 No
manage the identified high
                              success or otherwise of
risk impact areas?                                              Actual measurement of sustainable                                       Ensure that measurement against KPI's and targets for
                              buying sustainably.
                                                                performance against sustainable KPI's with                              sustainability are systematically reported to senior
                                                                a system in place to report on performance.                             management.


Level 3 (Practice)

                                                                                                                               1
                                                                Organisational KPI's including KPI's on
                                                                                                                                        Ensure that one objective relating to sustainable
                                                                sustainable procurement have been defined
                              Organisations should include                                                                              procurement is incorporated into organisational
                                                                and cascaded to departmental heads and
MR3 (a) Have                  at least one key sustainability                                                                           objectives during the planning cycle.
                                                                staff.
sustainability measures       objective within corporate
                                                                                                                    No
been refined from general     objectives with targets and
departmental measures?        key performance indicators        Departmental KPI's used to measure
                                                                                                                                        Ensure that any sustainable procurement targets and
                              clearly stated.                   sustainable performance align with
                                                                                                                                        KPI's align to and support organisational objectives and
                                                                organisational KPI's used to measure
                                                                                                                                        targets.
                                                                sustainable performance.

                                                                                                                               1

                              KPI's that relate to              Confirmation that sustainable procurement
                                                                                                                                        Consider the introduction of a system to record the
MR3 (b) Do measures           sustainable procurement           objectives have been cascaded to
                                                                                                                                        cascading of objectives from senior management to
(KPI's) apply to individual   objectives should be              procurement heads and procurement staff
                                                                                                                                        functional teams to individuals. Personal objectives
procurers and are they        cascaded from senior              and that KPI's used to measure sustainable          No
                                                                                                                                        relating to sustainable procurement should be
linked to personal            managers to team managers         procurement performance are incorporated
                                                                                                                                        recorded, monitored and reviewed against key
objectives?                   to individual procurement         into the personal objectives of procurement
                                                                                                                                        performance measures.
                              staff.                            staff.




                                                                                                                                                  18                                                                                                            7/20/2012
        FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                                                                                                                        MEASUREMENT RESULTS


                                                            Suggested Evidence to Support a "Yes"           Question        RAG                                                                          Date
Criteria Question            Definition Guidance                                                                                    Proposed actions required to meet criteria                  Owner            Due Date   Comments / Evidence
                                                            Response                                       Criteria Met?   Status                                                                       raised

Level 4 (Advanced)

                                                                                                                           1
                                                            Clearly defined and unambiguous key
                             Organisations should have                                                                              Agree KPI's to measure sustainable procurement
                                                            performance indicators that can be used to
                             an established method or                                                                               performance based on the organisation's sustainable
MR4 (a) Are measures                                        accurately measure/monitor expected
                             system for monitoring the                                                                              procurement strategy.
integrated into a balanced                                  sustainability benefits.
                             performance of the
score card approach                                                                                             No
                             organisation. Performance
reflecting both input and                                    Balance scorecard, KPI dashboard or
                             appraisal should include                                                                               Establish a system for measuring sustainable
output?                                                     equivalent measurement system that
                             measurement of                                                                                         procurement performance that reports on progress
                             sustainability benefits.       records details of sustainable procurement
                                                                                                                                    achievement to senior management.
                                                            performance.

                                                                                                                           1
                                                            Sustainable procurement
                                                                                                                                    Promote measurement of sustainable procurement
                             Sustainable procurement        performance/benefits compared with other
                                                                                                                                    performance via established programmes that assess
                             performance should be          organisations with sector (e.g. Procurement
                                                                                                                                    procurement capability.
MR4 (b) Are comparisons      compared with other            Capability Assessments)
made with peer               organisations within the                                                           No
organisations?               sector to measure progress
                             and identify potential         Active participation in work streams set up                             Participate in sector wide or local work streams/forums
                             improvement areas.             to deliver improved sustainable                                         set on to compare results and improve sustainable
                                                            procurement performance within sector.                                  procurement performance.

                                                                                                                           1
                                                            Benefits statement that shows actual
                             The benefits from              benefits achievement against
                             implementing sustainable       forecasted/expected sustainability benefits,
MR4 (c) Have benefit         procurement strategies                                                                                 Establish benefits tracking system from which
statements been              should be produced and                                                             No                  sustainable benefits can be measured, recorded and
produced?                    reported to senior             Reports to senior management or other                                   reported upon..
                             management and other           stakeholder organisations showing details
                             relevant stakeholder bodies.   of sustainability benefits expected and
                                                            achieved.


Level 5 (Expert)

                                                                                                                           1
                                                            Lessons learned log that can be used to                                 Establish lessons learned log to record issues that
                             Performance measures and       develop future sustainable procurement                                  have adversely affected (or improved) sustainable
MR5 (a) Have measures                                       strategies.                                                             procurement performance.
                             lessons learned from
been used to drive
                             previous time periods should
organisational sustainable                                                                                      No
                             feed into the development of
development strategy                                        Details of previous performance
                             new sustainable procurement                                                                            Ensure that lessons learned and performance
direction?                                                  assessments that have been used as input
                             strategies.                                                                                            measures are used as an input to the development of
                                                            to develop the current sustainable
                                                                                                                                    future sustainable procurement strategies.
                                                            procurement strategy.

                                                                                                                           1

                             Initiatives identified to
                             develop continuous             Improvement programmes set up to
MR5 (b) Is progress          improvement programmes         improve sustainable procurement                                         Participate in sector wide or local work stream/forums
formally benchmarked         that result from performance   benchmarked against other organisations             No                  set on to compare results and improve sustainable
with peer organisations?     measurement should be          within sector (e.g. via Procurement Reform                              procurement performance.
                             compared to other sector       Programme).
                             organisations.


                                                                                                                           1

                             Sustainable procurement                                                                                Identify internal or external specialists/professionals
                                                            Audits conducted by assessors suitably                                  who can verify achievement of sustainable benefits.
                             benefits being promoted as
MR5 (c) Have benefits                                       qualified to validate/verify claims made for
                             evidence of successful
from sustainable                                            the achievement of sustainable
                             sustainable procurement                                                            No
procurement been clearly                                    procurement benefits e.g. internal,
                             practice should be validated
evidenced?                                                  environmental officers or external
                             and verified by industry                                                                               Arrange for the benefits of sustainable procurement to
                                                            environmental groups.
                             specialists.                                                                                           be audited and verified by a suitably qualified assessor.



                                                                                                                                               19                                                                                                            7/20/2012
        FLEXIBLE FRAMEWORK SELF ASSESSMENT                                                                                                                                                                                                   MEASUREMENT RESULTS


                                                           Suggested Evidence to Support a "Yes"         Question        RAG                                                                        Date
Criteria Question           Definition Guidance                                                                                  Proposed actions required to meet criteria                Owner            Due Date   Comments / Evidence
                                                           Response                                     Criteria Met?   Status                                                                     raised
                                                                                                                        1
                                                           Audit reports made available to                                       Ensure that information on the performance of the
                                                           stakeholders and customers via Internet or                            organisation on sustainability is made available to all
                            Audit reports on sustainable   press release.                                                        stakeholders who need it.
MR5 (d) Are independent
                            procurement performance
audit reports on benefits
                            should be made available to                                                      No
available in the public
                            the organisation's key
domain?                                                    Feedback received from stakeholders and                               Seek feedback from stakeholders and customers on
                            stakeholders and customers.
                                                           customers on sustainable procurement                                  the organisation's sustainable procurement
                                                           performance.                                                          performance.




                                                                                                                                            20                                                                                                          7/20/2012
SCOTTISH SUSTAINABLE PROCUREMENT ACTION PLAN                            FLEXIBLE FRAMEWORK


                                 Foundation                       Embed                           Practice                       Enhance                            Lead
 Flexible Framework
                                   Level 1                        Level 2                         Level 3                         Level 4                          Level 5
People                   Sustainable procurement       All procurement staff have        Targeted refresher training    Sustainable procurement         Achievements are
                         champion identified. Key      received basic training in        on latest sustainable          included in competencies        publicised and used to
                         procurement staff have        sustainable procurement           procurement principles.        and selection criteria.         attract procurement
                         received basic training in    principles. Key staff have        Performance objectives and     Sustainable procurement is      professionals. Internal and
                         sustainable procurement       received advanced training        appraisal include              included as part of             external awards are
                         principles. Sustainable       on sustainable procurement        sustainable procurement        employee induction              received for achievements.
                         procurement is included as    principles.                       factors. Simple incentive      programme.                      Focus is on benefits
                         part of a key employee                                          programme in place.                                            achieved. Good practice
                         induction programme.                                                                                                           shared with other
                                                                                                                                                        organisations.
Policy, Strategy &       Agree overarching             Review and enhance                Augment the sustainable        Review and enhance the          Strategy is: reviewed
Communications           sustainability objectives.    sustainable procurement           procurement policy into a      sustainable procurement         regularly, externally
                         Simple sustainable            policy, in particular consider    strategy covering risk,        strategy, in particular         scrutinised and directly
                         procurement policy in place   supplier engagement.              process integration,           recognising the potential of    linked to organisations’
                         endorsed by CEO.              Ensure it is part of a wider      marketing, supplier            new technologies. Try to        EMS. The Sustainable
                         Communicate to staff and      Sustainable Development           engagement, measurement        link strategy to EMS and        Procurement strategy
                         key suppliers.                strategy. Communicate to          and a review process.          include in overall corporate    recognised by political
                                                       staff, suppliers and key          Strategy endorsed by CEO.      strategy.                       leaders, is communicated
                                                       stakeholders.                                                                                    widely. A detailed review is
                                                                                                                                                        undertaken to determine
                                                                                                                                                        future priorities and a new
                                                                                                                                                        strategy is produced
                                                                                                                                                        beyond this framework.


Procurement Process      Expenditure analysis          Detailed expenditure              All contracts are assessed     Detailed sustainability risks   Life-cycle analysis has
                         undertaken and key            analysis undertaken, key          for general sustainability     assessed for high impact        been undertaken for key
                         sustainability impacts        sustainability risks              risks and management           contracts. Project/contract     commodity areas.
                         identified. Key contracts     assessed and used for             actions identified. Risks      sustainability governance is    Sustainability Key
                         start to include general      prioritisation. Sustainability    managed throughout all         in place. A life-cycle          Performance Indicators
                         sustainability criteria.      is considered at an early         stages of the procurement      approach to cost/impact         agreed with key suppliers.
                         Contracts awarded on the      stage in the procurement          process. Targets to improve    assessment is applied.          Progress is rewarded or
                         basis of value-for-money,     process of most contracts.        sustainability are agreed                                      penalised based on
                         not lowest price. Procurers   Whole-life-cost analysis          with key suppliers                                             performance. Barriers to
                         adopt Quick Wins.             adopted.                                                                                         sustainable procurement
                                                                                                                                                        have been removed. Best
                                                                                                                                                        practice shared with other
                                                                                                                                                        organisations.




Engaging Suppliers       Key supplier spend analysis   Detailed supplier spend           Targeted supplier              Key suppliers targeted for      Suppliers recognised as
                         undertaken and high           analysis undertaken.              engagement programme in        intensive development.          essential to delivery of
                         sustainability impact         General programme of              place, promoting continual     Sustainability audits and       organisations’ sustainable
                         suppliers identified. Key     supplier engagement               sustainability improvement.    supply chain improvement        procurement strategy. CEO
                         suppliers targeted for        initiated, with senior            Two way communication          programmes in place.            engages with suppliers.
                         engagement and views on       manager involvement.              between procurer and           Achievements are formally       Best practice shared with
                         procurement policy sought.                                      supplier exists with           recorded. CEO involved in       other/peer organisations.
                                                                                         incentives. Supply chains      the supplier engagement         Suppliers recognise they
                                                                                         for key spend areas have       programme.                      must continually improve
                                                                                         been mapped.                                                   their sustainability profile to
                                                                                                                                                        keep the clients business.


Measurements & Results   Key sustainability benefits   Detailed appraisal of the         Sustainability measures        Measures are integrated         Measures used to drive
                         of procurement activity       sustainability benefits of the    refined from general           into a balanced score card      organisational sustainable
                         have been identified.         procurement activity has          departmental measures to       approach reflecting both        development strategy
                                                       been undertaken. Measures         include individual procurers   input and output.               direction. Progress formally
                                                       implemented to manage the         and are linked to              Comparison is made with         benchmarked with peer
                                                       identified high risk impact       development objectives.        peer organisations. Benefit     organisations. Benefits from
                                                       areas.                                                           statements have been            sustainable procurement
                                                                                                                        produced.                       are clearly evidenced.
                                                                                                                                                        Independent audit reports
                                                                                                                                                        available in the public
                                                                                                                                                        domain.




                                                                                    21                                                                                         7/20/2012

								
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