Route 3 Introduction

Route 3 is designed for use by Procurement Officers.  If this does not apply to you, please contact your Procurement Function or Centre of Expertise.

This route of the Procurement Journey provides guidance for regulated procurements for goods and services at the OJEU threshold and above.  

The Procurement Journey does not cover works procurements or contracts that cover "utilities" e.g. running tramways.  This is the case whether the elements of the contract cannot be separated, or are separable but is the main subject matter of the contract.

Contract Notice, Procurement Documents and Contract Award Notice

Contract Notice 

Contract Notices should be used to advertise all Route 3 procedures. The only exception to this are:

  • Use of the negotiated procedure without prior publication (only available in strictly defined and exceptional circumstances)
  • In a Restricted Procedure, or Competitive Procedure with Negotiation, sub-central organisations can use a Prior Information Notice (PIN) if certain information is set out in the PIN. A sub-central Organisation is any Organisation which does not belong to Central Government or National Health Services.

The Contract Notice must contain the minimum and specific requirements for your procurement exercise. Indicative Budget

You may choose to indicate:

  • the available budget for delivering the service in question,
  • specify the outcomes desired and
  • invite providers to submit proposals for achieving the outcomes within the resources available.

Stating an indicative budget ensures that bidders' tenders for delivering the service are affordable. This may be appropriate if, for example, a procurement exercise fails and the organisation moves to negotiation with suppliers. In other circumstances, stating an indicative budget may make it difficult for an organisation to assess that the service represents value for money. Establishing a Timetable for the Procurement Process

This is particularly important if there is an expectation that suppliers will submit consortia bids to allow discussions between suppliers to take place.

 

All Contract Notices must be published on Public Contracts Scotland (PCS). 

PCS is the national advertising portal which provides suppliers with free access to contract opportunities. It guides you:

  • through the process of creating a Notice on its website and
  • automatically creates a Notice on the Official Journal of the European Union (OJEU).

If using PCS-T or the ESPD (Scotland) word document,  you must set out the specific requirements and minimum standards for your procurement.  These must be relevant and proportionate and included in your Contract Notice (or the PIN if that is being used as a call for competition).This is not necessary if using the online ESPD (Scotland) Module on PCS as the relevant information is contained within this module.

You will receive a PCS alert after you have submitted the Contract Notice for publication on PCS.  This alert will include your PCS identification number.  You will also receive a separate mail from Tender Electronic Daily (TED) with your temporary OJEU reference number.

Once your Notice is published in the OJEU, TED will send you a  permanent OJEU publication number.  You must retrospectively your online ESPD (Scotland) with this permanent OJEU number if using the PCS Module.

Contract Notices must set out the information in Part C of Annex V of the 2014 EU Public Procurement Directive (as provided for in PCS). Accessing the Procurement Documents

You Contract Notice must contain details of how bidders can access your procurement documentation.

From the date you publish your Notice you must make your Procurement Documents available:

  • on the internet
  • in unrestricted and full direct access form
  • free of charge

The Regulations define ‘procurement documents’ very widely.  This includes all documents related to the procurement i.e. including technical specifications, terms and conditions and tender documents to be used at subsequent stages

In practical terms, it is not always possible to have all documents available at the start of your procurement exercise.   Only in an Open Procedure are you required to have  the ITT available from the outset.  For all other procedures you must provide sufficiently precise information.  This will allow bidders to understand the nature and scope of your requirement and decide whether to request to participate.

PCS-T Publication Procurement documents must not be published in PCS-Tender until either:

  1. the EU Publications Office confirms the OJEU notice has been published or
  2. 48 hours (2 working days) have elapsed since the EU Publications Office confirmed receipt of your notice

The procurement documents should be published in PCS-Tender on the same day of whichever of the above events occurs first. Prior Information Notice (PIN)

All Organisations may give advance notice of planned procurements.  This is done through the publication of a Prior Information Notice (PIN) which is not used as a means of calling for competition.

Publication of Procurement Documents 

1.1 Publication of Contract Notices

All Contract Notices must be published on Public Contracts Scotland (PCS). 

PCS is the national advertising portal which provides suppliers with free access to contract opportunities. It guides you:

  • through the process of creating a Notice on its website and
  • automatically creates a Notice on the Official Journal of the European Union (OJEU).

If using PCS-T or the ESPD (Scotland) word document,  you must set out the specific requirements and minimum standards for your procurement.  These must be relevant and proportionate and included in your Contract Notice (or the PIN if that is being used as a call for competition).This is not necessary if using the online ESPD (Scotland) Module on PCS as the relevant information is contained within this module.

You will receive a PCS alert after you have submitted the Contract Notice for publication on PCS.  This alert will include your PCS identification number.  You will also receive a separate mail from Tender Electronic Daily (TED) with your temporary OJEU reference number.

Once your Notice is published in the OJEU, TED will send you a  permanent OJEU publication number.  You must retrospectively your online ESPD (Scotland) with this permanent OJEU number if using the PCS Module.

Contract Notices must set out the information in Part C of Annex V of the 2014 EU Public Procurement Directive (as provided for in PCS).

1.2 Accessing the Procurement Documents

You Contract Notice must contain details of how bidders can access your procurement documentation.

From the date you publish your Notice you must make your Procurement Documents available:

  • on the internet
  • in unrestricted and full direct access form
  • free of charge

The Regulations define ‘procurement documents’ very widely.  This includes all documents related to the procurement i.e. including technical specifications, terms and conditions and tender documents to be used at subsequent stages

In practical terms, it is not always possible to have all documents available at the start of your procurement exercise.   Only in an Open Procedure are you required to have  the ITT available from the outset.  For all other procedures you must provide sufficiently precise information.  This will allow bidders to understand the nature and scope of your requirement and decide whether to request to participate.

PCS-T Publication Procurement documents must not be published in PCS-Tender until either:

  1. the EU Publications Office confirms the OJEU notice has been published or
  2. 48 hours (2 working days) have elapsed since the EU Publications Office confirmed receipt of your notice

The procurement documents should be published in PCS-Tender on the same day of whichever of the above events occurs first.

 

Contract Award 

Contract Award Readiness Checklist

Before a Procurement Officer awards a contract they should check the following points:

Action

Checked?

Who was involved in the tender award process?  Have there been any changes in staff from those involved during the tender evaluation?

 

Did any of the tenderers drop out of the process and decide not to proceed with the tender?  Consider if an unknown agreement was made.

 

Review the list of proposed suppliers/sub-contractors to be used by the successful bidder?  Did these organisations also bid directly for the tender exercise?  Such circumstances can lead to a pre-determined outcome as it would be irrelevant who was awarded the work.  This may identify cartel operating.

 

 

 

 

 

Blank rows are provided for your use e.g. to add additional checklist items.

 

QUICKFIRE GUIDE Recommendation Report Contents

The report should contain reference to the following:

  • Summary of the process to date
  • Ensure any decisions for supplier disqualification have been fully documented and that the paperwork is available for inspection
  • Recommendation of award & request for approval
  • Selection Stage evaluation results (if not contained within previous report)
  • Technical & commercial evaluation (including any whole life costing) together with details of any clarifications conducted benefits and savings available
  • Details of any risks still present and mitigation plans
  • Sustainability considerations (life-cycle costing, social, economic and environmental)
  • Cyber Security Considerations
  • Considerations in relation to Community Benefits in procurement exercises equal or greater than £4M
  • Details on how the tender outcome will meet the requirements identified in the Commodity/Service Strategy

Once you have obtained approval you can notify both the successful and unsuccessful tenderers of the outcome, and they should be notified as soon as possible.

 

Information provided to tenderers must, where applicable, include the grounds for any decision:

Consideration must also be given to PlanningSustainable Procurement and Risk Management throughout this stage of the Procurement Journey.

 

Using PCS

Using PCS

If uploading Procurement Documents to PCS (Advertising) file size restrictions  apply.  These are:

  • 10Mb per document a maximum of 40Mb for the Procurement Officer; and
  • 10Mb per document with a maximum of 30Mb for the Supplier

If you are using PCS-Tender, attachments cannot be added to the Contract Notice on PCS Advertising. You must add your documents to PCS-Tender.

Using PCS-Tender

Using PCS-Tender 

If you use PCS Tender you must provide:

  • the relevant reference numbers for the specific procurement and
  • set  time limits for the receipt of tenders (bearing in mind statutory minimums).

 

Mixed Procurement Exercises

Mixed procurements that contain any activity within the scope of the Defence and Security Regulations or the Utilities Directive  must  refer to their relevant legislation. Such procurement exercises do not come under the guidance of the Procurement Journey.

Where a procurement consists of a mix of activities:

Route 3 is not intended to replace training and it is assumed that individuals will have been trained in:

  • the Procurement Reform (Scotland) Act 2014 and any other legislative requirements
  • the procurement cycle and
  • any applicable local procurement policies, guidelines and governance arrangements

The main objectives of this route are:

  • To provide a step-by-step guide to conducting a procurement exercise for goods and services
  • To provide a set of guides and templates that can be used to collate and analyse the data required when conducting the procurement exercise
  • To standardise the public sector procurement process across organisations
  • To highlight the minimum legal and policy obligations involved at each stage of the process

Before beginning Route 3, please consider the following:

Good procurement is not just about buying well but it's often about buying less or, indeed, not buying at all.

Depending on the specifics of your procurement exercise,  the types of questions you might ask of stakeholders before starting your procurement could include:

  • Have alternatives to procuring been considered and ruled out?
  • Do you have a budget?
  • Is there a robust documented business case supporting this procurement?
  • Will this expenditure stand up to public scrutiny?
  • Has Procurement been involved in the development of the business case? 
  • Procurement can: cost options; enable flexibility; minimise risk; and/or inform decisions regarding the way forward?
  • Are you aware of opportunities to buy your specific requirements through existing collaborative contracts?  If som do you know how to access them?
  • Can you use output information from you Organisation's use of the Prioritisation Tool 
  • For Care and Support Services, when considering continuing an existing service the Flowchart to Help Decision Making for the Continuation of an Existing Service provides additional guidance.
  • For Care and Support Services, please also refer to Specific Considerations and Rules for C&SS Contracts.

Consideration must also be given to Planning, Sustainable Procurement and Risk Management  throughout the Journey.

Purchases of goods and services are the subject of Freedom of Information requests.

Please be aware that where the term 'commodity' is used within the Procurement Journey this can equally refer to categories and/or services.

Please note that, other than on the final contract, there is no legal requirement for a "wet" signature at any point of the procurement process.

You should use Lessons Learned from previous contracts/procurement exercises to inform your new strategy. As you progress through the Journey you should constantly re-inform your strategy with any new information.

There are natural break points within the Procurement Journey.  These can be used as review points for sign off and approval to proceed to the next stage of the process.

Quickfire Guide

Quickfire Guide

Procurement Exercise Review and Approval

Suggested review and sign off points are:

  • At project initiation
  • After initial Opportunity Assessment
  • For approval of strategy, including budget
  • For contract management approach
  • For approval of Procurement Documents
  • At Contract Award stage
  • At implementation stage

Throughout the Journey you will see reference to these sign off points at the relevant sections with supporting documents.

Any approval and review of the project plan should be subject to your organisation's governance arrangements.

Any documents you need are listed below

You are now ready to Begin Route 3 of the Procurement Journey.

Please ensure this guidance is used in conjunction with the internal governance, policies and procedures for your Organisation.