Probity Plan Template

Document: $ASQProbity Plan Template.doc Author: Phil Manser Save Date: 15/11/2007 RMIT University Page 1 of 5 Application of Probity Plan and/or Probity Guidelines (Policy Reference: Quotations and Tender Policy) RMIT University has developed a probity plan template for use in larger or more significant, higher risk tender processes, to facilitate timely, consistent and comprehensive preparation of specific probity plans. For less significant tenders, probity guidelines have been developed to ensure appropriate awareness of probity principles and processes by participants in all tenders. Details To give a context to the work to be undertaken, the framework to address probity is summarised below, along with an explanation on the Template for a Probity Plan and /or the Appointment of a ‘probity auditor’ and when it is required. As a minimum, the ‘Probity Framework and Guideline ‘below must be followed in all RMIT Tender processes and this specifically applies in tenders where a Probity Plan (and report) is not required. The principle adopted in setting the cut-off for the requirement for a probity plan was to align this to the already developed logic in the Delegations approved by Council at $1,000,000. Probity Framework and Guideline In assessing the general principles of probity the following should be considered: (a) Fairness and impartiality (proponents are to be treated equally and must have the same opportunity to access information and advice). (b) Use of a competitive process (a competitive process must be used in all instances that meet the minimum criteria set out in University Policy, unless an exemption from these requirements has been approved by an appropriate delegated authority). (c) Consistency and transparency of process (proponents are to be evaluated in a systematic manner against explicit predetermined evaluation criteria). (d) Security and confidentiality (the processes adopted for receiving and managing information are to ensure the security and confidentiality of intellectual property and proprietary information). (e) Identification and resolution of conflicts of interest (any person involved in the process is to declare and address any actual or perceived Conflict of Interest in accordance with the relevant policy prior to undertaking any quote or evaluation). (f) Compliance with legislative obligations, policy and relevant Probity provisions. (Compliance is required and the University Quotations and Tender policy and supporting documents must be applied). Template – Probity Plan A template for a Probity Plan has been developed by SS&P for use in all University tenders with a contract value greater than $1,000,000. (See Appendix 1). Document: $ASQProbity Plan Template.doc Author: Phil Manser Save Date: 15/11/2007 RMIT University Page 2 of 5 Application of Probity Framework, Guideline and Probity Plan: • The responsibility for the appointment of a ‘probity auditor’ rests with management, although it would normally be expected where contracts of a value in excess of $1,000,000 are anticipated. Even with the appointment of a ‘probity auditor’, a Probity Plan must be prepared in advance of the tender process and a report issued against the plan as part of the formal process for approval. • SS&P have established a panel as Approved Suppliers for Probity Audit Services and can advise on the appointment of an appropriate Probity Auditor. • If a ‘probity auditor’ is not appointed by management due to special circumstances which are noted on the file, then in such cases, a Probity Plan must be prepared in advance of the tender process and a report issued against the plan as part of the formal process for approval. • Where contracts of a value less than $1,000,000 are anticipated, there is no compulsion to either appoint a ‘probity auditor’ or complete a formal Probity Plan and Report. However, this will depend upon the risk assessment and management may wish to use some discretion if a high degree of risk is identified by at least requiring a Probity Plan and Probity Report from the Tender Panel. • Regardless, as a minimum in all tenders, management must be satisfied that the probity framework and guideline has been followed, and this includes the issue of probity guidelines to tender panel members so they are aware of their responsibilities within these guidelines prior to undertaking the task. Each tender panel member is responsible for their actions in ensuring the probity of the tender process. It is the responsibility of the convenor of the tender process to ensure these guidelines are followed, and it is recommended that a copy of these guidelines are tabled at the first meeting of any tender panel meeting as a safeguard. Note: A copy of the template is attached as Appendix 1. This allows for insertions/deletions and includes the steps required for a Probity Plan. Reports against the Probity Plan can then readily be made and minuted in each Tender Evaluation Panel meeting. A final Probity Report can then easily be established be at the completion of the tender process which is to be held on the tender file). Probity Framework and Guideline Links: Quotations & Tender Policy Delegations of authority SS&P website Further assistance: If further advice and/or assistance is required, please contact the Director, Strategic Sourcing & Procurement on ext. 59600 Document: $ASQProbity Plan Template.doc Author: Phil Manser Save Date: 15/11/2007 RMIT University Page 3 of 5 Appendix 1 Probity Plan (Template) (Delete ‘template’ if used) For Expression of Interest/Tender….. (Delete whichever is not applicable) ………………... (Insert name and reference of EOI or Tender Brief Authority: , Approval was obtained from ……………… (Insert name of authority) to conduct a Tender process for …………………………. (Insert name of EOI or Tender) on…………. (Insert Date)………. Service /Commodity description: The approved Tender process covers the provision of ………………………………………………………………………………………………………………………… …………………………… (Insert description). The contract for this is to be for a period of… (Insert Number) years and has a value of $........ (Insert value) per annum, giving a total contract value of$.......... (Insert total of per annum value by number of years). Contract history: There has not previously been a contract in place covering this Service /Commodity. OR There has been a contract in place with the current provider for ….(Insert Number) of years. (Delete whichever is not applicable). Tender panel membership: Membership of the tender panel was approved as: ………………………………………………………………………………………….….. (Insert names) ……………………………………………………………………………… . The Tender Panel members were provided with a copy of the RMIT probity requirements included in the Probity Framework and Guideline. Consultants: (Delete this section if not applicable) …………… (Insert name) have been engaged to assist in this process, and their brief is to………… ………………………………………….(Insert Description). Probity Auditors: (Delete this section if not required) The firm of ……………….. (Insert name) have been engaged to assist the tender panel with the probity process, ensuring that a probity plan is reported against for each milestone of the process and that a positive probity outcome and report can be issued as the probity auditor. Document: $ASQProbity Plan Template.doc Author: Phil Manser Save Date: 15/11/2007 RMIT University Page 4 of 5 Probity Plan Details: Principles RMIT University has adopted the application of six key probity principles for application in addressing probity in tender processes and they are: * Fairness and impartiality Proponents are to be treated equally and must have the same opportunity to access information and advice. * Use of a competitive process Consistent with University policy, a competitive process must be used at all times. * Consistency and transparency of process Proponents are to be evaluated in a systematic manner against explicit predetermined evaluation criteria. * Security and confidentiality The processes adopted for receiving and managing information are to ensure the security and confidentiality of intellectual property and proprietary information. * Identification and resolution of conflicts of interest Any person involved in the process is to declare and address any actual or perceived Conflict of Interest prior to undertaking any quote or evaluation. * Compliance with legislative obligations, policy and relevant Probity Plan. Compliance is required and the University Quotations and Tender policy and supporting documents must be applied. Clarification of roles The convenor of the Tender Panel is responsible to ensure: • The completion of the Probity Plan as required • Assisting panel members to comply with the probity requirements and ensuring that they have a copy of the Probity Guidelines to be followed prior to commencing the process. • Public advertisements and posting to the RMIT Tender website as required • Issue of agenda and minutes of the tender panel meetings (for adoption) • Ensure the issues of: Confidentiality and Conflict of interest are addressed • Safe storage and return of all tender documentation from all panel members • An update to the probity report against the probity plan is presented and recorded in each set of minutes of the tender panel. • The adoption of a final probity report against the probity plan by the Tender Panel. • Arranging for approval of the recommendation • Receiving the Probity Auditors Report (if applicable) Document: $ASQProbity Plan Template.doc Author: Phil Manser Save Date: 15/11/2007 RMIT University Page 5 of 5 Key Milestones of Probity Plan Preliminaries Approvals to proceed obtained, including appointment of external Expert Consultancy if needed & Probity Auditor if required Confidentiality and Intellectual Property addressed with engagement of expert consultant (If applicable). Expert consultancy appointed (If applicable). Probity Auditor appointed (If applicable). Project Management plan developed and maintained covering responsibilities and expected dates Roles clarified Tender Evaluation Panel appointed Steering Committee appointed (If applicable). EOI EOI documentation endorsed by Tender Evaluation Panel (TEC) EOI Evaluation process including scoring and weightings adopted prior to EOI issue. Convenor has approved by tender panel and arranges advertising and link details for EOI EOI Publicly advertised with link to website for registration. EOI Questions process in place for access to all registered participants. Tender Evaluation Panel members sign off on declaration of no conflict of interest in first meeting. Consultant addresses TEC on Confidentiality and specific link to Intellectual Property (If applicable). Tender Evaluation Panel members sign off on Confidentiality following discussion of first meeting. EOI closed at declared time and day as witnessed by RMIT (and Probity Auditor, if applicable). Consultant signs for EOI submissions for analysis (If applicable). Final Probity Plan presented to TEC (also members of Steering Committee & SS&P). TEC reviews progress against probity plan. Consultant recommendation presented to Tender Evaluation Panel for approval (If applicable). Advice to EOI respondents following approval from TEC RFT TEP to review progress against probity plan RFT documentation considered and endorsed by Tender Evaluation Panel. RFT Evaluation process including scoring and weightings adopted prior to RFT issue. RFT issued RFT Questions process in place for access to all RFT participants. RFT closed at declared time and day as witnessed by RMIT and Probity Auditor. Consultant signs for RFT responses for analysis following above step (If applicable). Panel provided copy of RFT responses following above step. Consultant recommendation presented to Tender Evaluation Panel for adoption. Contracts presented to Steering Committee with recommendation of Tender Evaluation Panel (If applicable). Approval Steering Committee endorses a recommendation (If applicable). Recommendation forwarded for approval under University policy. Advice sent to RFT respondents following approval. Contract execution commenced within University policy.