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									     CENTRAL PROCUREMENT DIRECTORATE

             PUBLIC PROCUREMENT POLICY
            MANAGEMENT INFORMATION GUIDE




                                Issued date: March 2010




Version 5
Foreword

This Management Information Guide provides Centres of Procurement
Expertise (CoPEs), Departments, Agencies, Non-Departmental Public Bodies
(NDPBs) and Public Corporations with details of the management information
required to measure, monitor and report on the efficiency and effectiveness of
procurement policy and practices across the Northern Ireland (NI) public
sector.


The guide will be useful to all those involved in both the policy and practical
side of procurement and those who are customers of the procurement
function as it is designed to assist further understanding of the rules governing
public purchasing.




Central Procurement Directorate
March 2010




                                        2
CONTENT                                                                      PAGE


1. Management Information Guide                                              -4-

2. Public Procurement: An Overview                                           -6-

3. EU Statistics on Public Procurement                                       - 11 -

4. EU Statistics on Public Procurement by Utilities Sector                   - 16 -

5. Procurement and Grants Expenditure                                        - 20 -

6. Procurement Board Strategy, NI Sustainable Procurement Action Plan,

    CoPE Action Plans, Sustainable Development Considerations and Departmental

    Procurement Plans                                                        - 23 -

7. Value for Money (VfM)                                                     - 28 -

8. Procurement Policy & Performance Branch: Contact Details                  - 30 -



ANNEXES                                                                      PAGE

Annex 1 – Summary of Management Information required                         - 31 -

Annex 2 – Northern Ireland Bodies Covered By Schedule 1                      - 35 -
          To The Public Supply Contracts Regulations

Annex 3 – Categories of Service                                              - 36 -

Annex 4 – EU Statistics on Public Procurement by Contracting                 - 37 -
          Authorities Template

Annex 5 – EU Statistics on Public Procurement by Utilities Sector Template   - 39 -

Annex 6 – Procurement and Grants Expenditure Template                        - 40 -

Annex 7 – VfM Data Collection Template                                       - 45 -

Annex 8 – Procurement Plan Template                                          - 47 -

Annex 9 – Key Account Managers                                               - 52-




                                             3
                          1. Management Information Guide


Purpose


1.1 This Management Information Guide provides Centres of Procurement Expertise
     (CoPEs), Departments, Agencies, Non-Departmental Public Bodies (NDPBs) and Public
     Corporations with guidance on the provision of both statutory information required by the
     EU and management information required by the Procurement Board to measure,
     monitor and report on the efficiency and effectiveness of procurement policy and
     practices across the Northern Ireland (NI) public sector.


1.2 The Guide has been produced in line with the recommendation of the Procurement
     Board to provide guidance, in consultation with CoPEs and Departments, on the
     provision of management information so that the efficiency and effectiveness of the
     procurement policy can be measured and monitored and to satisfy Audit and statutory
     requirements.


1.3 The Guide will also be useful to all those involved in both the policy and practical side of
     procurement and those who are customers of the procurement function as it is designed
     to assist further understanding of the rules governing public purchasing.


Background


1.4 The collection of management information on procurement performance is required by:
        Legislation – to ensure that all contracts awarded are compliant with EU Directives;
        The Procurement Board – to monitor the implementation of procurement policy and
         progress against targets set by the Procurement Board (The Procurement Board
         Strategy for 2008 – 2011 has a number of targets on which progress updates will be
         sought – Annex 1 refers); and
        Audit – to monitor implementation of the policy and ensure value for money from the
         public purse.




                                                4
1.5 This Management Information Guide reflects the current requirements. It will assist
     CoPEs and Departments in gathering the relevant management information, putting in
     place the appropriate systems to collect this information and in complying with
     management information requests issued by PPPB. If further requirements are identified,
     this guide will be revised to reflect them. A summary table of the required management
     information can be found at Annex 1.


1.6 CPD will be happy to deal with individual queries regarding any aspect of the
     requirements listed. Contact details are given at section 8.




                                               5
                            2. Public Procurement: An Overview


Policy Framework


2.1   Public Procurement Policy in Northern Ireland covers Central Government Departments,
      Agencies, NDPBs and Public Corporations. The policy can be accessed on CPD’s
      website at www.cpdni.gov.uk. An overview of the policy is set out in Managing Public
      Money Northern Ireland (Annex 4.4 which has replaced Government Accounting
      Northern Ireland on the Accountability and Accountancy Services Division (AASD)
      website – www.aasbni.gov.uk/frab.) It is the responsibility of individual public sector
      bodies to apply this policy to their procurement activity.


2.2   Further information on the structure and operation of Northern Ireland public sector
      procurement and an explanation of the wider context within which public procurement
      takes place is encapsulated in the Northern Ireland Policy Handbook which is available
      from the CPD website.


Procurement Policy Principles

2.3 Public Procurement Policy is guided by a clear definition of public procurement and the
      concept of “best value for money”, which are defined in the policy as follows:


         “Public procurement is the process of the acquisition, usually by means of a
          contractual arrangement, of goods, services, works and other supplies by the
          public service”. This process spans the whole life cycle from initial conception and
          definition of the needs of the public service through to the end of the useful life of an
          asset or the end of a contract. Both conventionally funded and more innovative types
          of funded projects (for example Public Private Partnerships (PPP)/Private Finance
          Initiative (PFI) arrangements with the private sector) are included, as are the use of
          the private sector to deliver services previously delivered directly by the public sector
          (“contracting out”) and in-house consortia bidding in a public procurement process,
          and
         The concept of “Best value for money” is defined as “the optimum combination
          of whole life cost and quality (or fitness for purpose) to meet the customer’s

                                                  6
         requirements”. This definition enables a public body to compile a procurement
         specification which includes social, economic and environmental policy objectives
         within the procurement process. “Whole life cost” includes both quantifiable and non-
         quantifiable or intangible costs and benefits.


2.4    Procurement policy states that all public procurement is to be based on:
        Compliance with EU Directives; and,
        Achieving ‘Best value for money’.


2.5    Procurement policy also requires that NI Departments, their Agencies, NDPBs and
       Public Corporations should carry out their procurement activities by means of a
       documented Service Level Agreement with CPD or a relevant Centre of Procurement
       Expertise (CoPE) from 1 April 2005. Procurement through a CoPE ensures there is a
       professional influence on all procurement activity to maximise value for money and
       ensure compliance with EU and UK legislation.


Legal Framework – EU Rules and UK Regulations

2.6 All public procurement procedures must comply with the EU Treaty. The key policies in
      the Treaty, from the public procurement perspective, are the free movement of goods,
      the freedom of establishment, and the freedom to provide services. There are also
      important principles derived from these “freedoms” which are highly relevant to fair and
      competitive public procurement: equal treatment, of which non-discrimination on the
      grounds of nationality is a specific expression, transparency, proportionality, mutual
      recognition and openness to competition.


2.7 In addition to the Treaty itself, the EU Public Procurement Directives set out the
      procurement procedures for the award of public works, supplies, services and utilities
      contracts above EU set thresholds. The Directives have been implemented in UK Law
      by Regulations. Details of the Regulations can be found at
      http://www.opsi.gov.uk/si/si2006/20060005.htm




                                                 7
Policy Guidance

2.8        Guidance has been developed to assist contracting authorities1 in identifying the most
           effective ways of integrating procurement policy within the public procurement process.
           CPD provides advice on policy to public sector organisations and is responsible for
           disseminating guidance on the policy to Departments and CoPEs. These bodies are in
           turn responsible for interpretation, dissemination and implementation of these policies
           within their Departments and associated organisations. All current guidance notes can
           be found on the CPD website – www.cpdni.gov.uk. Guidance is normally issued to
           Finance Directors, CoPEs and is published on the CPD website.


Procurement Board and Centres of Procurement Expertise

2.9 To develop and implement procurement policy a Procurement Board was established.
          The Board is chaired by the Minister of Finance and Personnel and is made up of the
          Head of the Civil Service and all the Departmental Permanent Secretaries with two
          external representatives, the Treasury Officer of Accounts and an observer from the
          Northern Ireland Audit Office (NIAO) and the Strategic Investment Board (SIB).


2.10 CPD was established in April 2002 to support the Procurement Board in the development
          and implementation of the new public procurement policy and to provide a centralised
          professional procurement service to the NI public sector.


2.11 In addition to CPD, seven other CoPEs exist to provide a more integrated procurement
          service to public bodies throughout the public sector and to contribute to the development
          of operable policies. Their procurement activities are heavily interlinked with the area of
          responsibility, which they support. The seven CoPEs are:
            Roads Service;
            NI Water;
            HSC Business Service Organisation, Procurement and Logistics Service;
            Northern Ireland Housing Executive;
            Health Estates Investment Group,
            Education and Library Boards; and
            Translink.

1
    The definition of contracting authorities may be found in Regulation 3 of The Public Contracts Regulations 2006 (SI 2006 No 5)
                                                                        8
     It should also be noted that although Land and Property Services (LPS) is not a
     designated CoPE, it does provide the required professional procurement influence in
     relation to rental agreements, leasing and estate agents services. Procurement
     expenditure via LPS should be classified under “CoPE” expenditure. The same applies
     to hydrolic engineering procured by the River’s Agency.


Management of Procurement Activity

2.12 Early engagement with a CoPE enables contracting authorities to:


        identify and agree the most appropriate contract strategy for the purchase of low
         value items to reduce costs and improve transactional efficiencies;
        ensure best practice procedures can be applied from the outset of a high value or
         strategic procurement contract / project, giving the CoPE the opportunity to become
         familiar with market conditions, identify risks and develop risk management
         strategies, assist in defining specifications and define the evaluation criteria; and,
        facilitate the integration of equality and sustainable development considerations in all
         procurement exercises where it is appropriate to do so bearing in mind statutory
         duties under Section 75 on the Northern Ireland Act (1998) and Section 25 of The
         Northern Ireland (Miscellaneous Provisions) Act 2006 (see section 6). Guidance on
         the integration of Equality and Sustainable Development into procurement sets out
         how this may be achieved. A link to the guidance can be found at section 6.4 of this
         guide.


2.13 Public Sector Bodies should now follow one of three routes for access to professional
     procurement services:


        use CPD;
        use a relevant CoPE; or
        seek recognition of their own procurement services as a CoPE through the
         Procurement Board if this is appropriate.




                                                 9
2.14 It is the responsibility of CPD or the relevant CoPE to identify and collect the required
     management information on behalf of their customers in relation to procurement activity
     and to provide this information to their respective customer Departments within the
     agreed timescales. Please note that the EU Statistics on Public Procurement annual
     return and the EU Statistics on Utilities Sector Procurement annual return should be
     returned via their parent Departmental for collation and onward forwarding to CPD (see
     sections 3 and 4).


2.15 Departments, Agencies, NDPBs and Public Corporations are responsible for identifying
     and collecting the required management information on procurement spend including
     spend not channelled through CPD or agreed CoPE (see section 5).




                                                10
                                   3. EU Statistics on Public Procurement


Background


3.1 In line with the EU Public Procurement Directive 2004/18 and Regulations 40 and 41 of
        the Public Contracts Regulations 2006, public authorities have a statutory obligation to
        provide annual statistics, on contracts awarded, to HM Treasury by 31 July each year.
        The Public Contracts Regulations 2006 can be found on the Office of Public Sector
        Information website – www.opsi.gov.uk. These statistics are collated by CPD, on behalf
        of the Northern Ireland public sector, and forwarded to the European Commission, via the
        Office of Government Commerce (OGC), an office of HM Treasury. It should be noted
        that the timing and format of this request is wholly dependant on requests made by the
        European Commission and as such may vary year on year. The following information is
        based upon previous year’s requests. Any changes in returns from the previous year are
        normally highlighted in the commissioning request including details of the EU thresholds
        applicable.


3.2 This annual survey requests information in respect of each public contract1 awarded or
        framework concluded to which the regulations apply during the calendar year. The
        aggregate value of supplies, services and works contracts below the threshold is also
        required (this only applies to Departments and their Agencies). In addition, every third
        year the parent Departments responsible for Local Authorities, Health and Education
        bodies are also required to provide compliance cost information i.e. the cost to those
        bodies of collecting statistical information. The next request will be included in the
        statistical survey for calendar year 2011, to be issued in 2012. The completion of the
        survey is a legal requirement, not a matter of discretion.


3.3 In order to streamline the collection of management information the annual survey has
        been extended to capture statistics on the status of suppliers - Small and Medium Sized
        Enterprises (SMEs), Social Economy Enterprises (SEEs) and the Voluntary or
        Community Sector (VOC) in competing for public sector contracts.




1
 For the purpose of this return ‘contract’ means a contract for the procurement of goods, services or works by a contracting authority, in
writing, for consideration and entered into as the result of the acceptance of an offer.
                                                                       11
Information Required

3.4 Above the EU Thresholds – All contracting authorities are required to complete this
       survey ie Departments, Agencies, NDPBs, Local Authorities etc for supplies, Part A
       services only and works contracts. Thresholds applicable to Schedule 1 bodies listed at
       Annex 2 and other public authorities are stated each year in the commissioning note.
       The following breakdown is required for each contract awarded above the relevant
       threshold:
            Contract Title;
            Supplier Nationality;
            Contract type - Supplies, Part A Services (Annex 3) or Works Contract;
            Common Procurement Vocabulary (CPV) Code2;
            Award Procedure:
            Open (O); Restricted (R); Negotiated (N); Competitive Dialogue (C)
            Justification for Negotiated Procedure (whether advertised in the OJEU or not);
            If a Framework;
            Contract Value; and
            SME, SEE, VOC (Supplier Status)


3.5 Below the EU Thresholds – only those Bodies explicitly named as Schedule 1
       Bodies need to complete the below threshold expenditure section on supplies, works
       and services ie Departments and Agencies only, which should be combined into a
       single return. These contracting bodies are also asked to provide the following below
       threshold information to facilitate the capture of statistical information on SMEs, SEEs
       and VOCs (see para 3.3).
            Total value of contracts awarded:
            1. For (a) Supplies, (b) Services and (c) Works; and
            2. To (a) SMEs, (b) SEEs or (c) VOCs
            Total number of contracts awarded:
            1. For (a) Supplies, (b) Services and (c) Works; and
            2. To (a) SMEs, (b) SEEs and (c) VOCs




2
  CPV codification system is used to be consistent with practice in other EU member states and because the use of CPV codes in statistical
returns is a requirement for contracts awarded under the consolidated procurement Directive, implemented 31 January 06 (see also
paragraph 5.2)
                                                                    12
Fig 1. Summary of information requested for EU Statistics on Public Procurement illustrating
the returns required above and below threshold.

Above Threshold                                                     Below Threshold
                                                                      Only Departments and
 Combined Department                                                  their Agencies complete
 and any Agencies                             1 return
                                                                      this

                                                                      1 composite return


 NDPBs, Local Authorities,
 NHS and Educational                         Separate
                                             returns
 Bodies
                                             for each




     The Departmental representative sends the completed return, detailing above and below
     threshold information to procure.policy@dfpni.gov.uk.



3.6 Below and above threshold - Composite returns (including Nil returns) are required
     for Departments and any Agency returns should be incorporated into this, with the
     exception of the Northern Ireland Office and the Northern Ireland Court Service bodies
     listed under Schedule 1 of the Public Supply Contracts Regulations (see Annex 2).
     These bodies provide separate returns directly to OGC. Similarly, returns from discrete
     operational units or individual purchasing units within a Contracting Authority should be
     incorporated into the main Departmental return and not separately identified.


     Above the threshold - Separate returns (including Nil Returns) are also requested for
     Non Departmental Public Bodies (NDPBs), Local Authorities, NHS and Educational
     Bodies, and Registered Social Landlords / Housing Associations etc.


     The breakdown of returns is summarised in Figure 1 above.




                                               13
Frequently asked questions on EU Statistics on Public Procurement

3.7   Do Local Authorities need to complete this survey?
      Local Authorities are bound by the EU Regulations and therefore they must complete this
      survey.


      North / South Bodies – are considered as Contracting Authorities. The inclusion of
      North / south Bodies on this return depends on where the Body is registered. If the Body
      is headquartered in Northern Ireland, it should make a return, in respect of all its
      contracts awarded, to the relevant Department for incorporation into its EU return. This
      agreement was reached following discussions between CPD and the Department of
      Finance (ROI).

      Grant funded Bodies – If the procurement is being conducted by a Body based in
      Northern Ireland then it should be included in the relevant Departmental return.


Request for Information

3.8 Requests for information will be issued by CPD to Permanent Secretaries and side
      copied to named Departmental contacts and CoPEs. In each case, the relevant CoPE
      will provide the Department with information on contracts awarded on its behalf. To this,
      the Department should then add information on any other contracts awarded, which are
      not routed through CPD or a CoPE.


3.9 From 2009, requests for details from the previous calendar year i.e. 01 January – 31
      December will be issued around April.


3.10 A copy of the report template can be found at Annex 4.


Return of Information to CPD

3.11 Departmental representatives should send the completed returns via e-mail to
      Procure.Policy@dfpni.gov.uk by the appointed date for reply.




                                                 14
Deadlines for returns

3.12 In recent years the EU has become less tolerant of late returns and Departments should
     note that the Northern Ireland return will be made by the due date as the EU has
     indicated that failure to return the information required could result in retaliatory action
     being taken by The Commission.




                                                 15
           4. EU Statistics on Public Procurement by Utilities Sector


Background


4.1. In line with the EU Utilities Directive 2004/17 and Regulations 38 and 39 of the Utilities
     Contracts Regulations 2006, an EU statistical annual return is also required from utilities.
     This is a statutory requirement to provide annual statistics on contracts awarded and
     Departments are obliged to collect and forward the information provided to PPPB for
     onward transmission to the European Commission.


4.2 The Utilities Contracts Regulations 2006 can be found at:
     www.opsi.gov.uk/si/si2006/20060006. These statistics are collated by CPD, on behalf of
     the NI public sector, and forwarded to the European Commission, via the Office of
     Government Commerce (OGC). It should be noted that the timing and format of this
     request is wholly dependant on requests made by the European Commission and as
     such may vary year on year. The following information is based upon previous years
     requests. Any changes required will be highlighted in the commissioning request.


4.3 This return will be issued to Departments for completion in respect of utilities which are
     defined as entities operating in the following fields of activity:
        the production, transport or distribution of drinking water by a fixed network or
         treatment of sewage;
        the production, transportation or distribution of electricity by a fixed network;
        the transport or distribution of gas or heat;
        the exploration for and the extraction of oil or gas;
        the exploration for and the extraction of coal or other solid fuels;
        urban railway, tramway, trolleybus or bus services;
        the operation of telecommunications networks;
        the provision of airport facilities;
        the provision of maritime or inland port or other terminal facilities; and,
        Railway services.




                                                 16
     The following list gives examples of utilities for which a return is expected. This is not an
     exhaustive list and Departments should satisfy themselves as to whether or not they are
     responsible for reporting in respect of any Utilities.
     Phoenix Natural Gas
     Phoenix Supply Ltd
     Premier Transmission
     AES Kilroot Power
     Coolkeragh ESB
     NIE
     Firmus Energy
     Northern Ireland Fisheries Harbour Authority
     Translink
     Belfast International Airport
     Belfast City airport
     City of Derry Airport
     Belfast Harbour Commissioner
     Warrenpoint Harbour
     Larne Harbour
     Londonderry Port
     NI Water
     Moyle Interconnector Ltd


4.4 All contracts awarded by a utility operating in one of the areas outlined above should be
     included in this survey. Please note that this exercise is focused on utility sector entities
     only and not for use by public bodies purchasing utility products or services (gas,
     electricity etc). Therefore individual contracts for a utility related product such as
     telecommunications networks which are awarded by an authority should not be included.
     Those contracts awarded should be captured in the EU Statistics on Public Procurement
     Survey.




                                                 17
Information Required

4.5 Above the EU Thresholds – The following breakdown of all supplies, services and
      works contracts awarded by each utility is required:
         Supplier Nationality;
         Supplies, Services or Works Contract;
         Common Procurement Vocabulary (CPV) Code (see para 5.2);
         Award Procedure:
          -     Open (O); Restricted (R); Negotiated (N)
          -     Justification for Negotiated Procedure (where no OJEU); and
             Contract Value


4.6   Below the Thresholds – Total value of all works, supplies and Part A (Annex 3) service
      contracts awarded by it in the previous calendar year for each relevant field of activity
      below the EU threshold.


4.7 NIL returns are required on both of the above.


Request for Information

4.8 Requests for information will be issued by CPD to Permanent Secretaries and side
      copied to the named contact in the Department and any named interested parties. From
      2009, requests for details from the previous calendar year i.e. 01 January – 31 December
      will be issued around April.

4.9 A copy of the report template can be found at Annex 5.


Return of Information to CPD

4.10 Departments should provide a separate return in respect of each utility for which they are
      responsible. Departmental representatives should collate the returns from the
      appropriate utilities and send them via e-mail to Procure.Policy@dfpni.gov.uk by the
      appointed date for reply.




                                                 18
Deadline for returns

4.11 In recent years the EU has become less tolerant of late returns and Departments should
     note that the Northern Ireland return will be made by the due date as the EU has
     indicated that failure to return the information required could result in retaliatory action
     being taken by The Commission.




                                                 19
  5. Annual Survey on Public Procurement including Grants Expenditure


Background


5.1 The Procurement Board requires information on all public procurement expenditure by
     Department, Agency, NDPBs and Public Corporations, including construction related
     grants, (including Housing Associations, Voluntary Maintained Schools and Community
     Bodies) used in part or full for the purposes of purchasing works, services or supplies.


     Procurement Expenditure is the annual expenditure incurred over a financial year when
     acquiring goods, services and works usually by means of a contractual agreement after
     public competition. Items which have been subject to a professional procurement
     influence should be included as CoPE expenditure (an example of items which are not
     classed as procurement expenditure is given at paragraph 5.5).


     Information on procurement spend by Department is required by the Procurement Board
     to:
          confirm compliance with public procurement policy and legislation and inform the
           further development of the policy;
          meet the recommendations of the NIAO Modernising Construction Report which are
           being addressed through an action plan by CPD on behalf of the Permanent
           Secretaries’ Group (PSG); and
          for publication in the Procurement Board’s Annual Report.


Information Required

5.2 Information is required on each Department’s annual procurement expenditure by
     Common Procurement Vocabulary (CPV) code. A CPV code is an EU wide classification
     system which endeavours to cover all requirements for supplies, works and services. By
     standardising the references used by contracting authorities to describe the subject
     matter of their contracts, the CPV code improves the transparency of public procurement
     and makes it easier for businesses including Small and Medium sized Enterprises
     (SMEs) and Social Economy Enterprises (SEEs) to sell their products and services
     across the EU (Annex 6).

                                                20
     A key element of the information required is the breakdown of each Department’s spend
     and whether or not this was channelled through CPD or a CoPE (see section 2.10 for the
     definition of a CoPE). This will be used to inform the Procurement Board on the Public
     Sectors compliance with Northern Ireland procurement policy which requires
     procurement to be carried out by means of a service level agreement with either CPD or
     a CoPE. Although Land and Property Services (LPS) is not a designated CoPE, it does
     provide the required professional procurement influence and procurement expenditure
     via LPS should be classified under “CoPE” expenditure. The same applies to hydrolic
     engineering procured by the River’s Agency.


     Departments are also asked to provide separate information on grants awarded in
     respect of construction related projects costing £250k or more. This information has
     been specifically requested by NIAO and should be broken down into the specified grant
     categories as set out in the CPD Procurement Guidance Note 01/07
     ‘The Use of Grant for Procurement’. If the level of information on grants expenditure is
     not available for the year in question, Departments should supply the information they
     hold and put in place processes to supply the requested information for future years.


Request for Information

5.3 Requests for information will be issued by CPD to Departmental Finance Directors and
     side copied to the named contact in Departments. Requests for details from the previous
     financial year i.e. 01 April – 31 March will be issued in June. It is acknowledged that, due
     to the timing of the request, Departmental accounts may not have been fully audited,
     therefore the figure provided should be the most accurate figure, which can be supplied
     at the time of the request.


5.4 A copy of the report template can be found at Annex 6.




                                               21
Frequently asked questions on the procurement expenditure survey

5.5    What is not considered as procurement expenditure?
       Please refer to paragraph 5.1 above for a definition of procurement expenditure. The
       list below is not definitive but provides examples of items which are not classed as
       procurement expenditure, and therefore should be excluded from the return, ie
       depreciation of assets, profit and loss on assets, compensation payments, grants to
       persons/bodies, staff car parking fees, staff travel and subsistence, payment for CPD
       services/SLAs, social care (which is currently classed as commissioning rather than
       procuring), allowances, removal expenses, re-charging for goods/services, goods for re-
       sale, bad debt, discounts, rates, water charges, loss incurred for non-attendance at
       events, TV Licenses and unspent budgets etc.


       Do Universities need to complete this survey?
       Universities follow procurement guidelines issued by the Higher Education Funding
       Council, and therefore no return is required.


       Do FE Colleges need to complete this survey?
       FE Colleges are grant funded by the Department therefore no procurement
       expenditure return is required. However, any grants awarded to FE colleges for
       construction related projects costing £250k or more should be captured on the Grants
       Procurement Expenditure return.


       Do Local Authorities need to complete this survey?
       Local Authorities are not bound by NI Procurement Policy and therefore not subject to
       the Procurement Board. They are not required to make a return for this survey.


Return of Information to CPD

5.6 One composite return for each Department is required. Any information received from
      Agencies, NDPBs and Public Corporations etc should be incorporated into the
      sponsoring Departments return.


5.7 The sponsoring Department should e-mail the single composite return to
      Procure.Policy@dfpni.gov.uk by the appointed date for reply.

                                               22
 6. Procurement Board Strategy, NI Sustainable Procurement Action Plan,
      CoPE Action Plans, Sustainable Development Considerations and
                           Departmental Procurement Plans


Background


6.1 As outlined in section two, the definition of “best value for money” allows for the inclusion,
     as appropriate, of the three pillars of Sustainable Development: environmental, social
     and economic (ESE) goals within the procurement process. The integration of ESE
     goals has taken on greater importance with the launch of the Sustainable Development
     Strategy for Northern Ireland in May 2006 which identified public procurement as a key
     theme through which the strategy can be delivered. The existing Strategy can be found
     on the OFMDFM website – http://www.ofmdfmni.gov.uk/sustain-develop.pdf. A new
     Strategy is being drafted and can be viewed at -
     http://www.ofmdfmni.gov.uk/index/economic-policy/economic-policy-sustainable-
     development/sustainable-development-strategy-public-consultation.htm.


6.2 ESE considerations can be taken into account when defining the requirements of the
     contract under a strict set of circumstances in line with EU rules. Under EU rules, the
     requirement must be relevant to the subject matter and performance of the contract, non-
     discriminatory to Tenderers from other member states, transparent and consistent with
     the rules governing each stage of the procurement process.


6.3 Under the auspices of the Procurement Board, CPD and the Equality Commission for
     Northern Ireland have developed guidance aimed at policy makers and procurement
     professionals, on how to more effectively integrate equality of opportunity and
     sustainable development considerations into the procurement process. The guidance
     was officially launched by the Minister for Finance and Personnel on 29 May 2008.


6.4 The Full Guidance is supported by a standalone Summary which provides an overview of
     the main points for consideration. The launch was accompanied by a Dear Accounting
     Officer letter (DAO 05/08) which advises recipients that the guidance should be taken
     into account when preparing business cases.



                                                23
6.5 PSA 11 of the Programme for Government (PfG) requires DFP to monitor and report on
     compliance with the guidance. This PSA also requires CoPEs to produce action plans
     setting out sustainable development priorities.


6.6 CPD, has also produced a range of other Guidance Notes, (available from
     www.cpdni.gov.uk), to support and encourage the integration of ESE considerations into
     public sector contracts. Examples include:
        Guidance Note 03/04 – Integration of Social Considerations into Public Procurement
        Guidance Note 04/04 – Integration of Environmental Considerations into Public
         Procurement,
        Guidance Note 02/06 – Procurement of Fair Trade Products,
        Guidance Note 04/06 – Procurement of Timber and Wood Products, and
        Guidance Note 01/08 – Integrating Sustainable Development into the Procurement of
         Food and Catering Services.


Procurement Board Strategy

6.7 The Procurement Board’s Strategic Plan 2008-2011 has 7 strategic objectives. A
     number of the actions on the Strategy are also replicated in the NI SPAP and it is
     planned to collect updates on both documents via a single exercise (see paragraph 6.10)


NI Sustainable Procurement Action Plan

6.8 The NI Sustainable Procurement Action Plan (NI SPAP) presents a number of
     overarching actions which will assist in the delivery of the PfG commitment to support the
     wider Public Sector in taking account of sustainable development principles when
     procuring works, supplies and services. Underpinning this plan was a requirement for
     Centres of Procurement Expertise (CoPEs) to produce their own Sustainable
     Procurement Action Plans by December 2008.


6.9 The NI SPAP includes actions which fall to both Departments and CoPEs. It should be
     noted that a number of these actions are also replicated in the Procurement Board
     Strategy 2008 – 2011.




                                               24
Return of Information to CPD on Procurement Board Strategy and NI SPAP

6.10 CPD plans to collect updates on both the Strategy and the NI SPAP via a single
     exercise which will issue to Departments. On receipt of the commissioning note,
     Departments should liaise with the relevant CoPE(s) to complete the returns due on both
     the Strategy and the NI SPAP. The Department should then forward the completed
     returns, which includes updates on any actions falling to the relevant CoPE(s), to CPD.


6.11 This request will be issued in advance of Procurement Board meetings which are
     generally held twice a year, in May and November.


CoPE Action Plans

6.12 CoPEs are required to produce action plans under PSA 11.4 and under the NI SPAP.
     The first of these plans was due to be completed by December 2008. Subsequent plans,
     from 2009 onwards are due to be completed by 31 March of each year. The CoPE
     action plans are at a more operational level than the NI SPAP setting out specific actions
     to be taken by CoPEs.


Return of Information to CPD

6.13 CPD may request updates from CoPEs on their CoPE Action Plan (a target under the NI
     SPAP). The request will generally be issued in advance of Procurement Board meetings
     which are generally held twice a year, in May and November. The Committee for
     Finance and Personnel has also taken an interest in CoPE Action Plans and this may
     necessitate further updates on an ad hoc basis. The CoPE should e-mail its
     plan/progress update to Procure.Policy@dfpni.gov.uk by the appointed date for reply.




                                              25
Sustainable Development Considerations in Contracts


6.14 In the past, CoPEs have been asked to provide progress reports on the implementation
     of the 4 sustainable development priorities into contracts. These are referenced in the
     underpinning framework to the NI SPAP and in DFP’s Operational Plan for 2009 – 2010,
     Target Reference 5.3). However, as the DFP Operational Plan for 2010 – 2011 no
     longer contains this specific target, requests from 1 April 2010 onwards will be based on
     the incorporation of the 3 pillars of sustainable development into contracts.


6.15 CPD plans to issue a specific note on this issue in the near future.

Return of Information to CPD

6.16 The request is likely to issue in advance of the Procurement Board meetings which are
     generally held twice a year, in May and November.


Departmental Procurement Plans


6.17 PSA 21 also places a clear responsibility on Departments to produce departmental
     annual procurement plans setting out how procurement will assist in the delivery of the
     most economically advantageous outcomes, including specific measures to assist in the
     delivery of PfG commitments and the full consideration of social procurement guidelines
     (the guidance referred to in paragraph 6.4 above). A critical aid to the development of
     these plans is the assistance that CPD or other CoPEs can provide to Departments.
     CoPEs should be engaged as early as possible when developing these Departmental
     procurement plans. CPD Key Account Managers (KAMs) will also be able to assist in the
     development of the plans. A list of KAMs is provided at Annex 9.


6.18 A procurement plan template (which may be subject to further refinement) can be found
     at Annex 8. The template aims to capture information on:
        works, supplies and services contracts
        high level statements on Departments’ plans across a number of key areas (some of
         which are PSAs), and
        grants (construction contracts only).



                                                 26
Return of Information to CPD

6.19 CPD will request updates from Permanent Secretaries on their Departmental
     Procurement plans in advance of Procurement Board meetings which are generally held
     twice a year, in May and November. The Committee for Finance and Personnel has also
     taken an interest in Departmental Procurement Plans and this may necessitate further
     updates on an ad hoc basis. The Department should e-mail its plan and approval to
     release the plan (if required) to Procure.Policy@dfpni.gov.uk by the appointed date for
     reply.




                                              27
                                    7. Value for Money


Background


7.1 In October 2004 the Procurement Board agreed a target of £250m Value for Money
     (VfM) gains from the procurement of supplies, services and works across the public
     sector from 1 April 2005 - 31 March 2008. This target has now been met and the
     collection of data on VfM gains is a matter for individual CoPEs and their respective
     Departments.


7.2 No specific VfM target has been set for the Public Sector however, VfM will continue to
     be of importance, contributing to Departments’ procurement plans (which are a
     requirement under PSA 21.5 – see Annex 8 and paragraph 6.5 for further information)
     and continuing to demonstrate the benefits of professional procurement.


7.3 Guidance Note 01/05 – Procurement Value for Money and Efficiency Measurement,
     provides advice and guidance on how to calculate gains in the procurement process.
     Following a workshop in June 2007, a methodology on how to assess the VfM gains
     associated with the award of strategic contracts has been agreed. Based on this, a new
     component entitled “Strategic Procurement – Calculating VfM Savings” has been added
     to the CPD VfM Toolkit. This component will assist practitioners to baseline and measure
     VfM gains on one-off strategic procurements where the project is innovative and/or there
     is no appropriate or comparable data readily available upon which to base cash and non-
     cash VfM calculations. This guidance note can be found at www.cpdni.gov.uk


Information captured

7.4 CoPEs may continue to capture the following information on VfM gains as required:
      Project / Contract details, i.e.
             Contract title;
             Contract Type ie Supplies, Works or Services;
             Contract start and end dates;
             Contract Award/Review date;
             Contract duration;
             Total contract value and contract value PA;
                                              28
              Associated Department, and
              Contract Manager / buyer name.
        Gain details, i.e.
              Category Classifications;
              The year in which the gain was achieved;
              Supplier name;
              Values / Costs, and an
              Explanation of how the gain was achieved and calculated.
        Details of the organisation achieving and verifying the gains.



7.5 A report template has been developed which allows procurement practitioners to record
     VfM gains as contracts are awarded. It is expected that, in most cases, CPD or a CoPE
     will complete the template.


7.6 If a Department, Agency, NDPB or Public Corporation is managing the procurement
     process it is responsible for completing the template and having it verified by their
     Finance staff.


7.7 A copy of the report template can be found at Annex 7. It will be for Departments or
     individual CoPEs to record and use this information as they see fit. CPD will continue to
     maintain a VfM database which may be used by other CoPEs for this purpose. The
     database allows nominated users to record savings/gains as they are identified.




                                               29
        8. Procurement Policy & Performance Branch: Contact Details


8.1 If you would like any further information on any of the areas covered within this guide you
     can contact Central Procurement Directorate by e-mailing Procure.Policy@dfpni.gov.uk
     or by writing to us at:
               Central Procurement Directorate
               Procurement Policy & Performance Branch
               2nd Floor East
               Clare House
               303 Airport Road West
               Belfast
               BT3 9ED


8.2 You can also contact us directly via the contact details provided below.


Name                            E-mail Address                       Telephone Number
Ivan Millen                     ivan.millen@dfpni.gov.uk             028 9081 6487 (76487)
Alan Hamilton                   alan.hamilton@dfpni.gov.uk           028 9081 6518 (76518)
Susan Dornan                    susan.dornan@dfpni.gov.uk            028 9081 6855 (76855)
Karen Taylor                    karen.taylor@dfpni.gov.uk            028 9081 6351 (76351)




8.3 If you require further information in relation to the reporting of grants expenditure which is
     sent out with the Procurement Expenditure survey, please contact David McCullough
     (email: David.McCullough@dfpni.gov.uk)




                                                 30
                                                                                                                                                             Annex 1
                                                           Summary of Management Information

EU Statistics on Public Procurement by Contracting Authorities
Commissioned By                       Date of     Date of           Period of        Detail Required                                 Reporting Mechanism
                                      Request     Return            Return

Information compiled by PPPB          April       July              Calendar         Above Threshold Contracts:                      Excel spreadsheet issued to Permanent
on behalf of HM Treasury &                                          Year             Breakdown of all contracts awarded by each      Secretaries and side copied to named
OGC as a legislative                                                                 contracting Authority. Information requested:   contact(s) in CoPE/Department for
requirement and to be                 (Set by     (Set by           (01 Jan – 31      Contract Title                                completion.
provided to the European              OGC/EC)     OGC/EC)           Dec)              Supplies, Services or Works Contract
                                                                                                          1
Commission (EC).                                                                      SME, SEE, VOC                                 Departments to collect individual returns
                                                                                                    2
                                                                                      CPV Code                                      from the bodies for which they are
                                                                                      Contract Value                                responsible and return them via e-mail to
                                                                                      Award Procedure:                              procure.policy@dfpni.gov.uk by the stated
                                                                                         - Open; Restricted; Competitive             return date.
                                                                                              Dialogue; Negotiated
                                                                                         - Justification for Negotiated              Below and above threshold - A composite
                                                                                              Procedure                              return is required for Departments and
                                                                                      Supplier Nationality                          any of their Agencies unless they appear
                                                                                      If a Framework                                as a separate entity under Schedule 1 of
                                                                                         Note: Above threshold – All Contracting     the Public Supply Contracts Regulations.
                                                                                         Authorities to complete the survey –
                                                                                         including Departments and Agencies,         Above threshold - Separate returns are
                                                                                         NDPBs, Local Authorities etc                required for each contracting authority,
                                                                                                                                     including NDPBs, local authorities, NHS
                                                                                     Below Threshold Contracts:                      bodies, relevant Education Boards and
                                                                                      Total value of contract awarded:              Registered Social Landlords / Housing
                                                                                        - For Supplies, Services and Works           Associations.
                                                                                                                       1
                                                                                        - To SMEs, SEEs and VOCs
                                                                                      Total number of contracts awarded:
                                                                                        - For Supplies, Services and Works
                                                                                                                       1
                                                                                        - To SMEs, SEEs and VOCs
                                                                                        Note: Below threshold – only those who
                                                                                        are explicitly named as Schedule 1
                                                                                        Bodies need to complete this survey ie
                                                                                        Departments and Agencies only
                                                                                        combined as a single return.


      1
          (SME) Small Medium Sized Enterprise   (SEE) Social Economy Enterprise    (VOC) Voluntary or Community Sector
                                                                                        31
EU Statistics on Public Procurement by Utilities
Commissioned By                          Date of             Date of             Period of           Detail Required                                            Reporting Mechanism
                                         Request             Return              Return

Information compiled by PPPB             April               July                Calendar            Above Threshold Contracts:                                 Excel spreadsheet issued to Permanent
on behalf of HM Treasury &                                                       Year                Breakdown of all supplies, services and                    Secretaries and side copied to named
OGC as a legislative                                                                                 works contracts awarded by each utility.                   contact(s) in Department for completion
requirement and to be                    (Set by             (Set by             (01 Jan – 31        Information requested:                                     and return to PPPB.
provided to the EC.                      OGC/EC)             OGC/EC)             Dec)                 Supplier Nationality
                                                                                                      Supplies, Services or Works Contract                     One return per utility is required.
                                                                                                                    2
                                                                                                      CPV Code                                                 Department representatives should collate
                                                                                                      Award Procedure:                                         the responses from the appropriate
                                                                                                         - Open; Restricted; Negotiated                         utilities and return them via e-mail to
                                                                                                         - Justification for Negotiated                         procure.policy@dfpni.gov.uk by the stated
                                                                                                             Procedure                                          return date.
                                                                                                      Contract Value

                                                                                                     Below Threshold Contracts:
                                                                                                      Total value of all supplies, works and
                                                                                                        Part A services & contracts awarded by
                                                                                                        each utility.




      2
          CPV codification system is used to be consistent with practice in other EU member states and because the use of CPV codes in statistical returns is a requirement for contracts awarded under the
          consolidated procurement Directive, implemented 31 January 06.




                                                                                                        32
Annual Survey of Departmental Procurement Expenditure and Grants Expenditure
Commissioned By                Date of        Date of     Period of      Detail Required                                  Reporting Mechanism
                               Request        Return      Return
Procurement Expenditure        June           August      Financial      Breakdown of each Department’s annual            Excel template issued to Finance
Procurement Board to provide                              Year           procurement expenditure by CPV                   Directors and side copied to named
                                                                               2
detailed information on                                                  code /category and details spend being           contact(s) in Departments for completion.
Departmental Public                                       (01 Apr – 31   influenced by a CoPE.
Procurement Expenditure.                                  Mar)                                                            Departmental representatives should
Informs policy development                                                                                                collate the responses from their Agencies,
/implementation, satisfies                                                                                                NDPBs and Public Corporations and
NIAO and PSG requirements                                                                                                 forward one composite return via e-mail to
and for publication in                                                                                                    procure.policy@dfpni.gov.uk by the stated
Procurement Board Annual                                                                                                  return date.
Report.
Grants Expenditure             June           August      Financial      Breakdown of each Department’s grants            Included in the above template
Procurement Board in                                      Year           expenditure by CPV and category for
response to the Northern                                                 construction contracts over £250k.
Ireland Audit Office                                      (01 Apr – 31
Modernising construction                                  Mar)
Report.

PROCUREMENT PLANS
Commissioned By:               Date of        Date of     Period of      Detail Required                                  Reporting Mechanism
                               Request        Return      Return
Programme for Government       Early March/   March and   2010 - 2011    Procurement Plans are intended to                Departments to complete procurement
(PSA 21.5) – Procurement       August         September                  demonstrate how procurement can be used          plan template, give approval to release (if
Plans                                                                    to contribute to Departmental efficiency gains   required to the Committee for Finance
                                                                         including specific measures to assist in the     and Personnel) and forward to CPD.
                                                                         delivery of PfG commitments and the
                                                                         integration of equality and sustainable
                                                                         development considerations. The plans will
                                                                         also help to focus the attention of
                                                                         Departments on planned procurement spend
                                                                         (Annex 8)




                                                                           33
NI SUSTAINABLE PROCUREMENT ACTION PLAN
Commissioned By:               Date of        Date of     Period of   Detail Required                                 Reporting Mechanism
                               Request        Return      Return
A target in the Sustainable    Early March/   March and   6 months    High level progress against actions assigned    Departments to complete (with CoPE
Development Strategy for NI.   August         September               to Departments and CoPEs in the plan.           input). Issued to Perm Secs. Used to
                                                                                                                      provide updates to the Procurement
                                                                                                                      Board.
PROCUREMENT BOARD STRATEGY
Commissioned By:               Date of        Date of     Period of   Detail Required                                 Reporting Mechanism
                               Request        Return      Return
Procurement Board              Early March/   March and   6 months    Progress against targets specified in the       Departments to complete (with input from
                               August         September               Strategy. In addition to a brief update, an     CoPEs). Issued to Perm Secs. Used to
                                                                      indication of progress being achieved to be     provide updates to the Procurement
                                                                      reflected using the traffic light system.       Board.

CoPE ACTION PLAN
Commissioned By:               Date of        Date of     Period of   Detail Required                                 Reporting Mechanism
                               Request        Return      Return
A target in the NI SPAP        Early March/   March and   6 months    High level progress against actions.            Copies of plans may be requested by
                               August         September                                                               CPD. Progress on individual plans should
                                                                                                                      reflect CoPE progress against specific
                                                                                                                      actions in the NI SPAP. May be supplied
                                                                                                                      to Committee for Finance and Personnel.
SUSTAINABLE DEVELOPMENT CONSIDERATIONS IN CONTRACTS
Commissioned By:               Date of        Date of     Period of   Detail Required                                 Reporting Mechanism
                               Request        Return      Return
May be requested by            Early March/   March and   6 months    Number of contracts awarded which               Issued to CoPEs to complete. May be
Procurement Board;             August         September               incorporate sustainable development             supplied to Committee for Finance and
Committee for Finance and                                             considerations and outcome (based on the        Personnel
Personnel.                                                            three pillars). CPD to issue information note
                                                                      on information requirements in the near
                                                                      future.




                                                                        34
                                                                            Annex 2


                          Northern Ireland Bodies Covered By Schedule 1
                           To The Public Supply Contracts Regulations


Northern Ireland Assembly Commission
Northern Ireland Court Service
   Coroners Courts
   County Courts
   Court of Appeal and High Court of Justice in Northern Ireland
   Crown Court
   Enforcement of Judgements Office
   Legal Aid Fund
   Magistrates' Courts
   Pensions Appeals Tribunals
Department for Employment and Learning
Department for Regional Development
Department for Social Development
Department of Agriculture and Rural Development
Department of Culture, Arts and Leisure
Department of Education
Department of Enterprise, Trade and Investment
Department of the Environment
Department of Finance and Personnel
Department of Health, Social Services and Public Safety
Office of the First Minister and Deputy First Minister
Northern Ireland Office
  Crown Solicitor's Office
   Department of the Director of Public Prosecutions for Northern Ireland
   Forensic Science Laboratory of Northern Ireland
   Office of the Chief Electoral Officer for Northern Ireland
   Police Service of Northern Ireland
   Probation Board for Northern Ireland
   State Pathologist Service




                                                    35
                                                                                                 Annex 3


                                         Categories of Service

                                                 PART A
Category              Services

1.    Maintenance and repair of equipment, including vehicles, ships and aircraft.

2.    Transport by land, including armoured car services and courier services but not including
      transport of mail and transport by rail.

3.    Transport, by air but not transport of mail.

4.    Transport of mail by land, other than by rail, and by air.

5.    Telecommunications services other than voice telephony, telex, radiotelephony paging and
      satellite services.

6.    Financial services:

      (a) Insurance services.

      (b) Banking & investment services other than financial services in connection with the issue,
          sale, purchase or transfer of securities or other financial instrument, and central bank
          services.

7.    Computer and related services.

8.    R&D services where the benefits accrue exclusively to the contracting authority for its use in the
      conduct of its own affairs and the services are to be wholly paid for by the contracting authority.

9.    Accounting, auditing and bookkeeping services.

10.   Market research and public opinion polling services.

11.   Management consultancy services and related services, but not arbitration and conciliation
      services.

12.   Architectural services: engineering services and integrated engineering services: urban
      planning and landscape architectural services: related scientific and technical consulting
      services: technical testing and analysis services.

13.   Advertising services.

14.   Building-cleaning services and property management services.

15.   Publishing and printing services on a fee or contract basis.

16.   Sewerage and refuse disposal services: sanitation and similar.



                                                     36
                                                                                                                                       Annex 4

                 EU Statistics on Public Procurement by Contracting Authorities Template
                                             Above Threshold
                                 SPREADSHEET FOR EU STATISTICS RETURNS
                   Authority Name   - -
                   Name of person completing
                   form
                   email address
                   Below Threshold Amounts (Schedule 1 bodies only)                Please click on link below
                   Supplies - £                                                    for explanation of fields
                   Works - £
                   Services - £                                                                    Information
                                   ref no. - OGC use only

                   Above threshold contracts (all
                   authorities)
                                                                      Open         Negotiated
                                                                    Restricted     Justification      If a
                                                                      Comp                                                   Does the supplier
                                     Supply          CPV             Dialogue          see         Framework                 belong to any of
                                      Work           Code           Negotiated     information        put                      these groups
                                                                    (State O,R C                                 Contract
Contract Title      Nationality      Service   (one per contract)       or N)                          F          Value     SME    SEE     VOC




                                                               37
                                                                                                      Annex 4
                            EU Statistics on Public Procurement by Contracting Authorities Template
                                                         Below Threshold
             EU STATISTICS ON PUBLIC PROCUREMENT BY CONTRACTING AUTHORITIES
           FOR CONTRACTS AWARDED BELOW THRESHOLD DURING CALENDAR YEAR xxxx

CONTRACTING AUTHORITY's NAME:

CoPE:




  BELOW THRESHOLD CONTRACTS ONLY                 BELOW THRESHOLD CONTRACTS ONLY


(I) TOTAL VALUE OF CONTACTS AWARDED:          (ii) TOTAL NUMBER OF CONTACTS AWARDED:


FOR SUPPLIES:                      £          FOR SUPPLIES:

FOR WORKS:                         £          FOR WORKS:

FOR SERVICES:                      £          FOR SERVICES:



TO SMEs:                           £          TO SMEs:

TO SEEs:                           £          TO SEEs:

TO VOCS:                           £          TO VOCS:




                                                              38
                                                                                                                                           Annex 5

                                       EU Statistics on Public Procurement by Utilities Sector Template


                                         Spreadsheet for Utilities Return – for calendar year xxxx
Utility Name      - -
Name of person completing form
email address

                                                                                                                                      Please click on link
                                                                                                                                                    below
Below Threshold Amounts (All Utilities)                                                                                          for explanation of fields
Supplies - £                                                                                                                           Information
Works - £
Services - £                                                        ref no. - OGC use only
Above threshold contracts (relevant utilities only) - see information tab
below
                                                                                                                        If a
                                                Supply                                  Open         Negotiated      Framework           Total
                                                 Work               CPV               Restricted     Justification      put             Contract
                                                                                                       (where no
                 Nationality                    Service             Code              Negotiated         OJEU)          F                Value £




                                                                            39
                                                                                                      Annex 6
                                           Procurement Expenditure Template

                PROCUREMENT EXPENDITURE FOR THE FINANCIAL YEAR

                     (Procurement Expenditure on Supplies, Services and Works)

Organisation:
                                                                           Procurement
                                                                        Expenditure derived
 CPV Codes                           Items                                  through a         TOTAL
                                                                           CoPE   Non-CoPE    SPEND
                                                                           £000     £000       £000

     150        Food stuffs
     150          Food Products and Beverages
     159          Bottled Water
     157          Animal Feedstuffs

     799        Facilities Management
     555          Catering Services
     393          Catering Equipment
     909          Cleaning Services
     797          Security Services
     427          Laundry / Dry Cleaning

     180        Clothing and Accessories
     182           Uniforms
     182           Protective Wear

     330        Medical/Surgical Equipment and Supplies
     331          Medical and Laboratory Devices
     336          Pharmaceutical Articles
     331          Medical Consumables

     240        Chemicals/Reagents


                                                           40
                                                              Annex 6
713   Energy
093     Electricity
092     Petroleum, Natural Gas, Oil and associated products
091     Gas Oil
091     Heating Oil

426   Plant and Machinery including tools and equipment

450   Construction/Maintenance Services
452     New Construction
500     Repair, Maintenance and Installation Services
700     Real Estate Services

390   Furniture and Fittings

300   Office Machines and Supplies
302      Printers
301      Photocopiers
301      Other Office Machines
301      Desktop Supplies and Consumables
302      Information and Computer Technology Equipment
301      Paper
301      General Office Supplies

640   Postal & Telecoms Equipment and Supplies
325     Telecom Equipment
642     Telecom Services
641     Postage & courier services

221   Publications
799     Fees & Subscriptions

500   Repair/Maintenance Services
503     Information and Computer Technology
501     Plant Vehicles Equipment

795   Printing/Reprographic Services


                                                        41
                                                               Annex 6
340   Transportation Equipment
341      Vehicles
345      Boats
346      Trains
347      Aircraft
343      Spare parts

600   Transport and Travel Services
601      Land Transport Services
606      Water Transport Services
604      Air Transport Services
635      Travel Agency Services

703   Rental, Leasing or Hire Services
703     Non residential property renting or leasing services
703     Residential property renting or leasing services

661   Financial Services
665      Insurance
661      Banking
792      Accountancy/Audit
661      Debt Recovery

749   Consultancy Services
721     Information and Computer Technology
791     Legal
794     Management
794     PFI/PPP Advice
715     Construction Related
805     Training

730   Research and Development

794   Public Relations (including Events/conferences)

793   Advertising

796   Recruitment and Personnel Services
                                                        42
                                                               Annex 6

650   Public Utilities (excluding “Rates and Water Charges”)

907   Environmental Services
900     Waste Disposal

703   Land


      Other Expenditure (please specify item)

033   Livestock




                                                    43
                                                                                                                 Annex 6




                                            Grants Procurement Expenditure

              GRANTS PROCUREMENT EXPENDITURE FOR THE FINANCIAL YEAR

                 (Grants Procurement Expenditure on Construction projects above £250k)

Department:


                                 Items
                                                       New Construction                           Category
Agency/Body              Contract / Project Title           £000           Refurbishment £000   (1,2,3,4 or 5)




                                                            44
                                                                                                           Annex 7
                                        VFM Data Collection Form


          Project/Contract
          Title:
PROJECT




          Project/Contract Type(Goods, Supplies & Services or Works)
          Department:                                    Contract Start Date:
          *Contract Award Date                           Contract End Date:
          Contract Value PA:                             No. Months:
          Tot. Contract Value:                           Buyer Name:

          Category                                            SubCategory
          Initial Costs   Actual Costs 08/09 Gain             09/10 Gain       10/11 Gain         Future Year
                                                                                                  Gains
          £              £            £             £               £                             £
          Supplier Name:
          Explanation of how gains were calculated and detail of how VFM gains were
          achieved.
GAIN




          Category                                            SubCategory
          Initial Costs   Actual Costs 08/09 Gain             09/10 Gain       10/11 Gain         Future Year
                                                                                                  Gains
          £              £            £             £               £                             £
          Supplier Name:
          Explanation of how gains were calculated and detail of how VFM gains were
GAIN




          achieved.




          Completed By:                                               Verified By:
          Date:                                                       Date:
          Branch:                                                     Branch:
*Please ensure the contract award date is within this Spending Review i.e. between 01/04/2008 - 31/03/2011. If the
contract has been awarded outside of this date and a review has yielded gains, please enter the contract review date



                                                         45
                                                                             Annex 7
                                 VFM Data Collection Form

CATEGORY      SUB-CATEGORY                                     CLASSIFICATION CODE
Negotiating an improved deal with a supplier                            1
              Price Saving/Reduced Unit Price                          101
              Price Avoidance                                          102
              Better Terms – warranties or guarantees                  103
              Improved Quality                                         104
              Change in Specification                                  105
Aggregation & Collaboration                                             2
              Unit Price Reduction                                     201
              Better Terms – warranties or guarantees                  202
              Savings in Transaction Costs                             203
              Shortened Implementation Timescales                      204
              Improved Quality                                         205
Process or Transaction VFM Gains                                        3
              Sourcing                                                 301
              E-Tendering                                              302
              Procurement Card                                         303
              Electronic Catalogue and Ordering                        304
              Supply Chain Efficiency                                  305
              Order and Acknowledgement                                306
              Receipt Documentation and Internal Delivery or           307
              Installation
              Invoice Receipt Matching and Bill Payment                308
Project, Asset and Contract Management                                  4
              The Investment Costs                                     401
              The Process Management Cost                              402
              The Lifetime Operating or Servicing Costs                403
Low Value Calculator                                                    5
e-Procurement                                                           6




                                               46
                                                                                                                                      Annex 8

PROCUREMENT PLAN TEMPLATE (2009 – 2010)
Department Name:

Notes:

Please complete all of the sections below (numbered 1 to 7).
For Grants, please use the separate worksheet titled "Grants Only".
Place your mouse over cells with a red triangle in the top right corner to see tips for completion.

                                                                     1
1. Supplies, Services and Works Contracts above the EU threshold to be awarded/procured 2010 - 2011
Name of Contract                                Subject matter Approx         CoPE       Indicative start Anticipated   Please indicate
                                                ie Supplies,   Value          Involved   date of          date of award   which PSA
                                                Works or       (£000)                    procurement                    target is being
                                                Services                                 process²                        addressed (if
                                                                                                                          applicable)




                                                                         47
                                                                                                                                         Annex 8

2. For the period 2010 - 2011, please provide an indication of the aggregate value of "Below EU Threshold" contracts
                                       Supplies £
                                         Works £
                                       Services £

3. In the box below, please provide, at a high level, the specific measures the Department is taking to integrate Economic, Social and
Environmental objectives (this is a requirement under PSA 21.5)




4. In the box below, please provide a brief statement how the Best Value for Money gains derived from the procurement spend
(including cash and non-cash gains) and how VfM gains derived will contribute to the Department's Efficiency Delivery Plan




5. In the box below, please provide, at a high level, the specific measures addressing how the Department’s procurement processes
will be used to assist in the delivery of the most economically advantageous outcomes (this is a requirement under PSA 21.5)




6. In the box below, please provide a brief statement of how the Department proposes to achieve a collaborative approach for common
procurement items and cross-departmental impact from relevant procurement projects/programmes




                                                                              48
                                                                                                                                         Annex 8


7. Contracts in future years (2011 - 2012)

Future Years - If appropriate, please provide     Subject matter Approx         CoPE         Indicative start Anticipated   Please indicate
an indication of any contracts above the EU       ie Supplies,   Value          Involved     date of          date of award which Public
threshold your Department anticipates             Works or       (£000)                      procurement                        Service
awarding over the period 2011- 2012.              Services                                   process²                         Agreement
                                                                                                                            (PSA) target is
                                                                                                                                 being
                                                                                                                             addressed (if
                                                                                                                              applicable)




Footnotes:
1
 The 2010 EU threshold for Supplies and Services is £101k and £3.9m for Works (construction)
The 2010 EU threshold for Supplies and Services is £313k and £3.9m for Works (construction) for Utilities
2
 This is to facilitate planning of anticipated procurements eg to allow consideration of resources required,
workloads, timescales etc. It is not the commencement date of the contract. Where the process has started,
please insert "Already commenced".

                                                                          49
                                                                                                                             Annex 8



PLEASE USE THIS SPREADSHEET FOR GRANTS ONLY

Department Name:

Please complete both of the sections below.
Place your mouse over cells with a red triangle in the top right corner to see tips for completion.

1. Works contracts above £3.9m to be awarded 2010 - 2011


Name of Works Contract                          Approx         CoPE          Indicative start Anticipated     Please indicate
                                                Value of Works Involved      date of          date of award which Public Serice
                                                contract (£m)                procurement                    Agreement target is
                                                                                      1                     being addressed (if
                                                                             process
                                                                                                                applicable)




                                                                   50
                                                                                                                                        Annex 8

2. Works contracts in future years (2011 - 2012)

Future Years - If appropriate, please provide      Approx         CoPE           Indicative start Anticipated     Please indicate
an indication of any works contracts above         Value of works Involved       date of          date of award     which Public
£3.9m your Department anticipates awarding         contract (£m)                 procurement                     Service Agreement
over the period 2011- 2012.                                                               1                     (PSA) target is being
                                                                                 process
                                                                                                                   addressed (if
                                                                                                                     applicable)




Footnotes:

1
 This is to facilitate planning of anticipated procurements eg to allow consideration of resources required,
workloads, timescales etc. It is not the commencement date of the contract. Where the process has started,
please insert "Already commenced".



                                                                        51
                                                       Annex 9



                 Key Account Managers (KAMs)


      Customer            KAM               Contact
                                           Telephone
                                            Number
DARD               Roy Mitchell        028 9081 6215

DCAL               Jeff Rea            028 9081 6290

DE                 Stanley Simpson     028 9081 6213

DEL                Stanley Simpson     028 9081 6213

DETI               Dave Glover         028 9081 6218

DFP                Tom Gilgunn         028 9081 6217

DHSSPS             Tom Gilgunn         028 9081 6217

DOE                Roy Mitchell        028 9081 6215

DRD                Dave Glover         028 9081 6218

DSD                Gary McCandless     028 9081 6216

OFMDFM             Gary McCandless     028 9081 6216

SIB                Jeff Rea            028 9081 6290

N I Assembly       Gary McCandless     028 9081 6216

PSNI               Gary McCandless     028 9081 6216

Prisons            Roy Mitchell        028 9081 6215




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