LMS
Part 3
Procurement and Contract Procedure Rules
CONTENTS
1. Introduction
2. Definitions
3. General
1.
Compliance with
Legislation and StandardsRequirements
4.
NOT
USED
5. Form of Contract
6. Signature/Sealing of Contracts
7. Bonds and Liquidated Damages
8.
Quotation & Best Value
Processeses
9.
BidProcesss
1.
Post Bid Negotiations and
Clarification
10.
11.
Above ThresholdTender Process
1.
12.
Options for Above Threshold
Process
1.
13.
Receipt and Opening of Above Threshold
Tenders
1.
14.
Above Threshold Tender Evaluation and
Acceptance
1.
15.
Certification of
Contracts
1.
16.
Exceptions to Procurement and Contract Procedure
Rules
1.
17.
Compliance, Contract Register and Forward Procurement
Plan
1.
18.
NOT USED
11.
19.
Contract Management
12.
20.
Training for Procurement and Contract
Management
13.
21.
Declaration of
Interests
14.
22.
GrantProcesss
1.
23.
Hiring and Engaging
Staff
15.
24.
Capital Expenditure
16.
25.
Leasing Agreements
The LMS Scheme specifies that Schools are required to abide by these Procurement and Contract Procedure Rules on purchasing, tendering and other contracting matters, including the requirement to assess in addition, where relevant, the health and safety and competence of Contractors taking account of the Council’s policies and procedures on these matters.
These Rules are made by North Yorkshire Council on the advice of the S151 Officer in consultation with the Monitoring Officer under the LMS Scheme. The LMS Financial procedure Rules shall be applied in conjunction with these Rules.
1.
1.
Introduction
1.1.
1.1
These Rules form part of the overall control
framework within which Schools operate. They aim to facilitate
sound, innovative service delivery by setting out best practice for
the administration of all procurement and contract management
matters, ensuring a high quality of procurement and contract
management information, robust procurement and contract management
and enabling good decision making. They should not be viewed as a
barrier to executive action and are constantly kept under review to
ensure that they remain relevant to the day-to-day activities of
Schools, and contribute to the delivery of value for
money.
1.2. References in these Rules to:-
(a) any legislation include a reference to any amendment or re-enactment of such legislation;
(b) the value of any Contract or Grant are to the total estimated value payable (including VAT where applicable) over the full period of the Contract or Grant including any options or extensions to the Contract or Grant;
(c) the Headteacher, S151 Officer and the Monitoring Officer shall be taken to include such Officers as are designated by those officers to undertake the duties and responsibilities set out in these Rules.
2. Definitions
2.1. These terms will have the following meanings in the Procurement and Contract Procedure Rules:-
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Best Value Process Form |
means the form to be completed to capture the rationale for not seeking bids in accordance with Rule 8.6. |
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Central Digital Platform |
means the online system established by the Minister for the Cabinet Office and which may be accessed on https://www.gov.uk/find-tender |
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Centralised Procurement Authorities |
means a contracting authority that is in the business of carrying out procurement for or on behalf of, or for the purpose of the supply of goods, services or works to, other contracting authorities. |
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Concession |
means a contract for the supply, for pecuniary interest, of works or services to a contracting authority where- (a) At least part of the consideration for the supply is a right for the supplier to exploit the works or services, and (b) Under the contract the supplier is exposed to a real operating risk. |
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Contract |
means any agreement, excluding a Grant, made between the School and any other person which is intended to be legally enforceable and involves the acceptance of an offer made by one party to commit itself to an action or series of actions and subject to the exceptions in Rule 3.2. |
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Contract Register |
means the register of Contracts maintained by the School as set out in Rule 17.6. |
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Contracting Authorities |
means a public authority which is wholly or mainly funded out of public funds, or subject to public authority oversight and does not operate on a commercial basis. |
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Council |
means North Yorkshire Council. |
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CPV |
means the common procurement vocabulary which is a single classification system for public procurement to help identify goods, services and works. |
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E-tendering system |
means the School’s chosen online procurement platform used to publish opportunities and receive supplier submissions for consideration or an approved alternative. |
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Elected Member |
means an elected member of North Yorkshire Council or co-opted member on a Council committee. |
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Electronic Signatures |
means an advanced electronic signature which is:
(i) uniquely linked to the signatory; and
(ii) capable of identifying the signatory; and
(iii) created using means that the signatory can maintain under his/her sole control; and
(iv) linked to the data to which it relates in such a manner that any subsequent change of the data is detectable.
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Goods |
means those goods that have a CPV Code starting with 0 up to and including 44 or 48. |
|
Governing Body |
means the Governing Body of a School. |
|
Grant |
means a sum of money awarded by the School to third parties. |
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Headteacher |
means the Headteacher of a School. |
|
Leasing Agreement |
means a contract for the provision of finance to enable goods or services to be obtained and where ownership in those goods does not automatically pass to the School at the end of the contract period. |
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Light Touch Contract |
means those services covered by the CPV Codes set out Table 2 of Schedule 1 of the Procurement Regulations 2024. |
|
Monitoring Officer |
means North Yorkshire Council’s appointed Monitoring Officer. |
|
Officer |
means a School employee or other authorised agent. |
|
PA2023 |
means the Procurement Act 2023. |
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PCR2015 |
means the Public Contracts Regulations 2015. |
|
Person |
means any individual, partnership, company, trust, other local authority, Government department or agency. |
|
Responsible Officer |
means the Officer who is responsible for the procurement and/or management of a Contract. |
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Rules |
means these LMS Procurement and Contract Procedure Rules. |
|
S151 Officer |
means North Yorkshire Council’s appointed S151 Officer. |
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Services |
means those services that have a CPV Code starting with 50 up to and including 98. |
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Supplier |
means a person or entity with whom the School has a contract. |
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Threshold Amounts |
means the thresholds amounts for a contract of a type referenced to in Schedule 1 of the Procurement Act 2023. |
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Waiver Request Form |
means the prescribed form to be completed when requesting a waiver in accordance with Rule 9.14 |
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Works |
means any of the activities within the CPV Code listed in the Procurement Regulations 2024 under Schedule 3. |
Above Threshold
Process means the procurement process to be
followed where the estimated whole life value of a Contract exceeds
the relevant WTO GPA Threshold
Above Threshold
Tender means a tender submitted as part of an Above
Threshold Process
Best Value
Form
means the form to be completed to capture the
rationale for not seeking bids in accordance with Rule
8.4
CM
means the Contract Manager who is responsible for the contract
management role on behalf of the School
Concession
means as defined in Regulation 3(4) of the Concession
Contracts Regulations 2016
Contract
means any agreement, excluding a Grant, made
between the School and any other person which is intended to be
legally enforceable and involves the acceptance of an offer made by
one party to commit itself to an action or series of actions and
subject to the exceptions in Rule
2.2
Contracts
Finder
means the web-based portal as described in Chapters 7 & 8 of
the Public Contracts Regulations 2015
Contract
Register
means the register of Contracts maintained by the School as set out
in Rule 17.8
Contractor
means a person or entity with whom the School
has a contract
Council
means North Yorkshire
Council
Electronic
Signatures
means an advanced electronic signature which
is:
uniquely linked to the signatory;
and
capable of identifying the signatory;
and
created using means that the signatory can
maintain under his/her sole control; and
linked to the data to which it relates in such a
manner that any subsequent change of the data is
detectable.
E-Sourcing system
means the School’s chosen E-sourcing
system or an approved alternative
FrameworkAgreement means
an agreement
with one or more contracting authorities and one or more economic
operator which establishes an arrangement
for:
(i)
multiple orders to be placed with one Contractor (a single supplier
framework), or
(ii)
a framework of multiple Contractors to engage in further
competitions or direct award (a multiple supplier
framework)
Governing
Body
means the Governing Body of a School.
Grant
means a sum of money awarded by the School to
third parties
Headteacher
means the Headteacher of a
School.
Internal
Audit
means the School’s appointed internal
auditors
ITB
means an Invitation to Bid
ITQ
means an Invitation to Quote
ITT
means an Invitation to
Tender
Leasing
Agreement
means a contract for the provision of finance to
enable goods or services to be obtained and where ownership in
those goods does not automatically pass to the School at the end of
the contract period
LDSO
means a Legal and Democratic Services
Officer
MEAT
means the Most Economically Advantageous
Tender
Member
means an elected member of North Yorkshire
Council or co-opted member on a Council
committee
Monitoring Officer
means North Yorkshire Council’s appointed
Monitoring Officer
Officer
means a School employee or other authorised
agent
Participant
means a person or entity participating in a procurement process,
who has expressed an interest in tendering for a Contract or who
has tendered for a Contract
PSBO
means Public
Sector Buying Organisation
PCR
means the Public Contracts Regulations
2015
Person
means any individual, partnership, company,
trust, other local authority, Government department or
agency
Property
Contract
means a contract which creates an estate or
interest in land or buildings
Responsible
Officer
means the Officer who is responsible for the
procurement and/or management of a Contract
Rules
means these LMS Procurement and Contract
Procedure Rules
Scheme of
Delegation
means a record of all duties and responsibilities as delegated
under these Rules which is to be maintained by each
School
S151 Officer
means North Yorkshire Council’s appointed
S151 Officer
Services or Supplies
means as defined
in Regulation 2 of the PCRs
Social and Other
means those services defined as such in
Schedule 3 of
Specific
Services
the PCRs
SQ
means the Selection Questionnaire
WTO GPA Threshold
means the current
threshold above which the PCR’s apply, currently
£213,477.00 (Incl. VAT) for services and supplies
£663,540.00 (Incl. VAT) for social and other specific
services and £5,336,937.00 for works (Incl.
VAT)
Waiver Request
Form
means the prescribed form to be completed when
requesting a waiver in accordance with Rule
16.5
Works
means as defined in Regulation 2 of the
PCRs
1.2 These
Rules form part of the overall control framework within which
Schools operate. They aim to facilitate sound, innovative service
delivery by setting out best practice for the administration of all
procurement and contract management matters, ensuring a high
quality of procurement and contract management information, robust
procurement and contract management and enabling good decision
making. They should not be viewed as a barrier to executive action
and are constantly kept under review to ensure that they remain
relevant to the day-to-day activities of Schools, and contribute to
the delivery of value for money.
1.3
References in these Rules to:-
(a)
any legislation (e.g. Act,
Statutory Instrument, WTO requirement) include a reference to any amendment or
re-enactment of such legislation;
(b)
the value of any Contract or Grant are to the total estimated value
payable (including VAT where applicable) over the full period of
the Contract or Grant including any options or extensions to the
Contract or Grant;
(c)
the Headteacher, S151 Officer and the Monitoring Officer shall be
taken to include such Officers as are designated by those officers
to undertake the duties and responsibilities set out in these
Rules.
3.
2.
General
3.1.
2.1
These
Rules are made by North Yorkshire Council on the advice of the S151
Officer (in consultation with the Monitoring Officer) under the LMS
Scheme. The Council recognises the complexity of some of these
Rules and Schools are therefore encouraged to seek the support
available from the Procurement and Contract Management Service
(01609-533450, procurement@northyorks.gov.uk).
3.2.
2.2
These
Rules do not applyapply to all Grants and Contracts
in which the Schoolare the supplier (i.e. Trading) or to Contracts
that are of the kind listed in Schedule 2 of the PA2023. This
includes the following types of Contracts:for Works, Supplies, Services or Social and Other Specific Services
but do not apply to:-
(a)
contracts of employment;
(b)
property contracts (which are covered by the Property Procedure
Rules); and
(c)
financial instruments (including, but without limitation, shares,
bonds, bills of exchange, future or options contracts) (which are
covered by the Financial Procedure Rules).
a) Vertical (“Teckal”) Arrangements
b) Horizontal (between Contracting Authorities) Arrangements
c) Land & building (Refer to the Property Procedure Rules)
d) Broadcasting
e) Electronic Communications Services (within the meaning given in section 32 and 151 of the Communications Act 2003)
f) Alternative dispute resolution which includes arbitration, mediation or conciliation services or any other similar services
g) Legal Services relating to judicial proceedings, notary where mandated by law or in relation to an order of the court or tribunal
h) Financial Services related to the lending of money, investment services or provision of services by the Bank of England (Refer to the Financial Procedure Rules)
i) Employment
j) Research & Development services
3.3.
2.3
The
S151 Officer (in consultation with the Monitoring Officer) shall
regularly review the application and effect of these Rules and
shall propose such updated Rules to the Executive Members for
Children & Young People as the S151 Officer may consider
appropriate. The S151 Officer welcomes feedback on the operation of
these Rules to ensure that they both remain effective and relevant
to the day-to-day operational activities of Schools.
2.4 NOT
USED
2.5 NOT
USED
2.6 NOT
USED
3.4.
2.7
The
Headteacher shall ensure that all documentation relating to
Contracts, Grants and procurement processes is retained in
accordance with the School’s Records Retention and
Destruction Schedule.
3.5.
2.8
Where
the School has awarded a contract to any person to supervise or
otherwise manage a contract on its behalf such a person shall be
required to comply with these Rules as if they were an Officer of
the School.
3.6.
2.9
Wherever
appropriate procurement shall be undertaken using the
standard documentsapplying to SQ’s, ITT’s or
ITBs.
Wherever alternative documents are to be used they must be approved
by the Headteacher.
3.7. Where appropriate the School reserves the right to mandate a minimum yearly turnoverthat suppliers are required to have which will not exceed twice the estimated contract value.
2.10 NOT
USED
3.8.
2.11
Where
the School is procuring in partnership with another contracting
authority who are the
lead
procurer, the School will follow the lead procurers Procurement and
Contract Procedure Rules or equivalent.
3.9. Officersmust comply with the award procedures and transparency requirements as defined in the relevant legislation (e.g. PCR2025, PA2023) and in line with these Rules.
2.12 Where the total
Grant or Contract value is within the values in the first column of
Tables 1-4, below, the award procedure in the second column
must be followed.
3.10.
2.13 Where a
proposed procurement includes two or more types of provision (i.e.
Goods, Services
or and Works) the value shall be based
on the provision that characterises the main subject of the
Contract in question.
2.14 NOT
USED
Table 1: Goods
and Services (excluding Social & Other Specific
Services)
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Table 2: Works &
Concessions
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Table 3: Social & Other Specific
Services
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Table 4: Grants
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4.
3.
Compliance
with Legislation and
StandardsREQUIREMENTS
ADHERENCE TO THESE RULES
4.1. Officers must comply with the award procedures and transparency requirements as defined in the relevant legislation (e.g. PCR2025, PA2023) and in line with these Rules.
4.2. Every Officer shall comply with these Rules and any unauthorised failure to do so may lead to disciplinary action.
4.3. The Headteacher shall be responsible for monitoring adherence to these Rules.
4.4. The Headteacher shall take all such steps as are reasonably necessary to ensure that Officers within their School are aware of and comply with these Rules.
LEGISLATION AND STANDARDS
4.5.
3.1
Every
Contract and Grant shall comply with all relevant applicable
legislation and government guidance.
4.6.
3.2
Where
relevant, every Contract shall specify that materials used, goods
provided, services supplied or works undertaken (as the case may
be) shall comply with applicable standards.
4.7.
3.3
In
consultation with the Monitoring Officer (or delegate), Headteachers shall
ensure that the School has the legal power to enter into any
Contract or Grant and that in
respect of all Contracts and
Grants, regardless of whether they involve the
procurement or provision by the Schoolof Works, Supplies or Services Headteachers
shall ensure that no Contract shall be entered into which is ultra
vires.
4.8.
3.4
In
respect of grounds and buildings the School shall at all
times:-
(a) Follow the guidance issued by the Council’s Property Service and any other guidance from the Council on the management of risk and health and safety and security matters;
(b) Act on the instructions of the Council as “landlord” (this does not apply to Voluntary Aided Schools);
(c) Follow statutory requirements on Health and Safety, Construction (Design and Management) Regulations, Asbestos, Building Regulations, Planning Approval and other statutory and regulatory requirements;
(d) Be responsible for any loss arising from a failure to follow the advice of the Council as “landlord” (this does not apply to Voluntary Aided Schools);
(e) Seek the consent of the
Council’s Strategic Planning Team to proposed building work
whatever the source of funds. This must be done through the
completion of the Project Proposal Form which is available in the
School Premises area of the CYPS Info site or can be requested
from ampsuitability@northyorks.gov.uk,
where schools can also request any advice or guidance which may be
required.
(e)
CONTRACT REGISTER
17.6 The School shall maintain a Contract Register the purpose of which is to record key details of all Contracts with an aggregate value of £5,000 exclusive of VAT or more.
17.7 All Responsible Officers will notify the Headteacher of any Contract awarded above £5,000 exclusive of VAT. The Responsible Officer will use the format prescribed by the Headteacher and report this information quarterly.
17.8 The Headteacher shall ensure that:-
(a) all relevant Contracts (including those Contracts to which Rule 16 applies) are entered onto the Contract Register; and
(b) the Contract Register is maintained by entering new Contracts onto it and removing expired Contracts from it in line with the School’s Records Retention and Destruction Schedule.
4.
POWERS AND KEY DECISIONS – NOT USED
5.
5.
Form of
Contract
5.1.
5.1
Every
contract shall be evidenced in writing (by the use of a purchase
order, exchange of correspondence or other written medium). A
signed Contract must be in place on or before the service
commencement date, unless otherwise agreed by the Headteacher or
Governing Body.
5.2.
5.2
Wherever
appropriate, and for all
Contracts exceeding £30,000 including VAT in value, such
written agreementscontracts shall be made on the
basis of terms and conditions agreed by the Monitoring Officer
(or delegate). Such terms and
conditions may be incorporated into standard order conditions. The
School may accept different terms and conditions proposed by a
Contractor Supplier provided that the advice
of the Monitoring Officer (or delegate) as to their effect has been
sought and considered.
5.3.
5.3
The
written form of agreement must clearly specify the obligations of
the School and the Contractor and shall include:-
(a)
the work to be done or the Suppliesgoods or , Sservices or Social and
Other Specific Services to be provided
(b) the standards which will apply to what is provided
(c) the price or other consideration payable
(d) the time in which the Contract is to be carried out
(e) the remedies which will apply to any breach of Contract.
6.
6.
Signature/Sealing
of
Contracts
6.1.
6.1
Every
written Contract or Grant must be either signed or sealed in
accordance with this Rule.
6.2. All contracts below the threshold amounts can be signed by the Headteacher (or by an Officer authorised by the Headteacher to sign on the Headteacher’s behalf.
6.3. All contracts above the threshold amounts must be signed by the Headteacher (or by an Officer authorised by the Headteacher to sign on the Headteacher’s behalf) AND the Monitoring Officer (or by an Officer authorised by the Monitoring Officer to sign on his behalf).
6.4. If the contract is to be sealed instead,only the Monitoring Officer (or a Legal and Democratic Services’ Officer authorised by the Monitoring Officer) may seal a Contract on behalf of the School, in each case being satisfied that there is appropriate authority to do so. Where agreed by the Monitoring Officer, electronic Deed may be executed by the Monitoring Officer or a Legal and Democratic Services’ Officer using the Council’s chosen electronic deeds execution system.
6.5.
The Monitoring
Officer (or an Officer authorised by the Monitoring Officer) will
determine whether a Contract must be signed or sealed.
6.6.
6.2
The Headteacher
and
such of his staff as he may designate are authorised to sign any
such contract or Grant.
6.7.
6.3
The
Monitoring Officer(or
delegate) also authorises such
Contracts or Grants to be signed as outlined
in Rule 2.12 and Tables 1-4 provided
thatby
authorised officer where:-
(a) appropriate authority exists for the School to enter into the Contract, and
(b) the Contract is either:-
(i) in a nationally recognised form, or
(ii) a standard form prepared or approved by the Monitoring Officer, or
(iii) is otherwise in a form approved by the Monitoring Officer; and
(c) any variations to approved forms of Contract must themselves be approved by the Monitoring Officer (or delegate), whether they are affected by amending the Contract itself or by correspondence
6.4 Only the
Monitoring Officer (or a Legal and Democratic Services’
Officer (LDSO) authorised by the Monitoring Officer) may seal a
Contract on behalf of the School, in each case being satisfied that
there is appropriate authority to do so. Where agreed by the
Monitoring Officer, electronic Deed may be executed by the
Monitoring Officer or a LDSO using the Council’s chosen electronic
deeds execution system.
1.1.
6.58
Signatures may be affixed to a Contract either using physical,
handwritten means or an Electronic Signature, as appropriate and in
accordance with UK law.
6.6
Electronic Signatures may only be affixed using the Council’s
chosen electronic signature system or an approved alternative, as
agreed by the Headteacher.
6.8.
6.7
The
use of Electronic Signatures is not permitted in circumstances
where:
(a) the Contract is to be sealed (except where Rule 6.4 applies);
(b) a physical handwritten signature needs to be filed;
(c) there is a proviso in the Contract which prevents the use of an Electronic Signature;
(d) the Contract may need to be enforced in a jurisdiction where Electronic Signatures are not accepted;
(e) the Contract needs to be notarised.
6.9. The Headteacher shall ensure that no Contract or Grant agreement is entered into which is ultra vires.
7.
7.
Bonds and Liquidated
Damages
7.1.
7.1
Where
appropriate, the School shall consider whether to include provision
for the payment of liquidated damages by a Contractor Supplier for breach of
Contract.
7.2.
7.2
Where
considered appropriate by the School, the Contractor Supplier will be required to
provide a parent company guarantee / performance bond to secure the
performance of the Contract. Such performance bonds should provide
for a sum of not less than 10% of the total value of the contract
or such other sum as the S151 Officer considers
appropriate.
7.3 NOT
USED
8.
8.
QUOTATION& BEST VALUE
PROCESSES Quotes
SINGLE QUOTATION PROCESS
8.1. Where the estimated value of a Contract is less than or equal to £5,000 excluding VAT (taking into account the whole life cost of the Contract, including extensions and/or variations) a single quote can be obtained.
8.2. A single quote cannot be accepted where the value exceeds £5,000 excluding VAT. If the value of the quote exceeds £5,000 excluding VAT three quotes must be obtained or the best value process completed in accordance with Rules 8.3 to 8.8.
MINIMUM THREE QUOTES & BEST VALUE PROCESS
8.3. Where the estimated value of a Contract is above £5,000 excluding VAT, and less than or equal to £30,000 including VAT (taking into account the whole life cost of the Contract including extensions and/or variations) a minimum of three quotes should be sought.
8.4. A minimum of one quote must be from a Small and Medium Enterprise (SME), Voluntary, Community or Social Enterprise (VCSE) or local supplier based within North Yorkshire, unless this is not possible due to the nature of the market.
8.1 Where
the estimated value of a Contract is £30,000 inclusive of VAT
or less (taking into account the whole life cost of the Contract,
including extensions and/or variations) a minimum of three quotes
should be sought. There is no requirement to use the E-Sourcing
system.
8.2
NOT USED
8.5.
8.3
It is
the Responsible Officer’s responsibility to keep a record of
quotes sought for audit purposes and to demonstrate best value has
been achieved.
8.6. Under exceptional circumstances, the Contract may be directly awarded using the best value process as long as sufficient justification is given for not undertaking a competitive quotes process. It is the Officer’s responsibility to complete the Best Value Process Form which captures the rationale for not seeking a minimum of three quotes and captures the outcome of the process as a record.
8.7. A minimum three quotes or best value process cannot be accepted where the value exceeds £30,000 including VAT. If the value exceeds £30,000 including VAT for this process the bid process must be followed in accordance with Rule 9.
8.8. All contracts entered into via this process will be published on the School’s contract register. The responsible officer will notify the Headteacher of any contract awarded above £5,000 (excluding VAT).
EXCEPTIONS TO THE QUOTATION / BEST VALUE PROCESS
8.9. The quotation or best value processes does not need to be followed in the following circumstances:
(a) purchases via a public contract which has been established either by the School or by another public sector body or consortia (including, but not limited to Centralised Procurement Authorities) and where such arrangements are lawfully accessible to the School; or
(c) the instruction of Counsel by the Monitoring Officer; or
(d) where funding is received by the School, either in its own right or as an accountable body, and the terms of such grant or other external funding state that it must be applied in accordance with those terms when entering into a contract.
8.10. The Responsible Officer will be responsible for Headteacher of any exemptions used in Rule 8.9. The requirement to publish a record on contracts register will still apply to exemptions.
8.4 If three
quotes are not sought, the Contract may be directly awarded using
the Best Value Form. It is the
Responsible
Officer’s responsibility to
complete the Best Value
Form.
9.
9.
BID PROCESSS
9.1.
9.1
If
the estimated value of a contract exceeds
£30,000
inclusive
of VAT
but
is less than the appropriate
WTO GPA
ThresholdAmounts,
bids
must be invited from all potential
Contractors
Suppliers.in accordance
with
Rule 2.12,
Tables 1-3.
9.2. A bid cannot be accepted where the value meets or exceeds the relevant Threshold Amount. If the value of the bid meets or exceeds the relevant Threshold Amounts the tender process must be followed in accordance with Rule 10.
PUBLICATION
9.3. As a minimum all bids must be advertised on an e-tendering system.
9.4. All suppliers shall be provided in all instances with identical information (including the evaluation criteria details) and instructions.
1.1.
A
notice
advertising the opportunity shall be published
through the E‑Sourcing System and on Contracts Finder and, if
considered appropriate, a local newspaper and a suitable
professional or trade journal or website. The form of advertising
shall take into account the value, location and subject matter of
the Contract. The notice shall specify brief details of the
Contract, how the ITB documents may be obtained and the closing
date for receipts of
bids by the
School.
VARIANT BIDS
9.2
All potential Contractors invited to
submit
bids shall be provided in all instances
with
identical
information and
instructions.
9.5.
Where
considered appropriate, Schools may permit potential Contractors
who have been invited to submit bids under Rule 9.1 to also
submit variant bids (i.e. bids which do not comply with some or all
of the requirements of the primary bid). The same opportunity to
submit variant bids must be given to all potential ContractorsSuppliers.
RECEIPT OF BIDS
9.6.
9.3
A
written bid may only be considered if
before the deadline date and
time:-
(a)
it has been received electronically through the Ee-Sourcing tendering Systemsystem, or
(b) (where permitted in exceptional circumstances) it has been received in a sealed envelope marked “Bid” and indicating the subject matter of the bid and
(c)
it has been opened after the expiry of the deadline for submissions
and at the same time as other bids for the same subject matter in
the presence of at least two Officers authorised to open
bids.
POST BID NEGOTIATIONS
9.7.
10.2
Post
bid negotiations with
selected
Participantssuppliers
shall only be carried out
where:-
(a) post tenderbidnegotiations
are permitted by law; and
(b) the Headteacher in consultation with the Governing Body considers that added value may be obtained; and
(c) post bid negotiations are conducted by a team of suitably experienced Officers approved by the Headteacher and who have been trained in post bid negotiations; and
(d) a comprehensive, written record of the post bid negotiations is kept by the Responsible Officer; and
(e) a
clear record of the added value to be obtained as a result of the
post bid negotiations is incorporated into the Contract with the
successful ParticipantSupplier.
9.8.
10.3
Rules 10.1 and
10.29.7
shall not operate to prevent clarification of
all or part of any bid to the extent permitted by law and where
such clarifications are sought the provisions of
Rules 109.27
(c) and 10.2(d) shall apply, except
that the word “clarification” shall be substituted for
the word "negotiation" in these
Rules.
1.1.
9.4
Before bids with a value in excess of
£30,000 inclusive of VAT are requested the evaluation
criteria must be recorded in writing in the SQ and/ITB documents.
The evaluation criteria must be identified and the weighting
between price and quality established and stated in the request for
bids sent to participants.
1.1.
9.5
If a bid other than the lowest or the most
economically advantageous bid is to be
accepted, the written approval of the Chair of the
Governing Body shall be sought and obtained before the bid is
accepted.
CONTRACT AWARD
1.1.
9.6 A bid
cannot be accepted where the value exceeds the
relevant WTO GPA Threshold
If the value of the bid exceeds the
relevant WTO GPA Threshold
the Headteacher must seek tenders in accordance
with Rules 11 and 12.
9.9.
9.7
Before
a
Contract is awarded after a bid
exercise such steps shall be taken by the Responsible
Officer as are reasonably necessary (having regard to the subject
matter, value, duration of the Contract and other relevant factors)
to complete a risk assessment of the potential Contractor’s Supplier’s financial
stability.
9.10. All contracts entered into via this process will be published on the School’s Contracts Register.
1.1.
9.8 Bids may
be altered only in accordance with Rule
10.
9.11.
9.9
Where
a Contract is terminated within the first 6 months of the Contract
commencement date, the School may award the Contract to the second
placed supplier, provided that this demonstrates Best Value and
with agreement from the Headteacher, in consultation with the
Governing Body.
1.1.
9.10 The evaluation of
bids shall be carried out by a panel of suitably qualified Officers
who are considered appropriate having regard for the subject matter
and value of the Contract.
10. POST BID
NEGOTIATION AND CLARIFICATION
EXCEPTIONS TO THE BID PROCESS
9.12. The bid process does not need to be followed in the following circumstances:-
(a) purchases via public contract which have been established either by the School or by other public sector bodies or consortia (including, but not limited to PSBOs) and where such framework agreements are lawfully accessible to the School. Contracts awarded from such Framework Agreements shall be awarded in accordance with the provisions of that Framework Agreement; or
(b) the instruction of Counsel by the Monitoring Officer; or
(c) where funding is received by the School, either in its own right or as an accountable body, and the terms of such grant or other external funding state that it must be applied in accordance with those terms when entering into a contract; or
(d) purchases at public auctions (including internet auction sites, e.g. eBay) where the School is satisfied that value for money will be achieved; or
(e) the purchase of Goods, Works or Services which are of such a specialised nature as to be obtainable from one Supplier only; or
(f) repairs to or the supply of parts for existing proprietary machinery or plant where to obtain such supplies from an alternative supplier would invalidate the warranty or contractual provisions with the existing supplier; or
(g) Light Touch Contracts where the service is of a specialist or personal nature and where service users must be involved in the selection of the Supplier and where the School considers it inappropriate for bids to be invited, or
(h) the service is currently supplied by a Supplier to the satisfaction of the Headteacher, is considered to be offering value for money and where the foreseeable disruption to services cannot justify the bid process; or
(i) in relation to Pilot schemes for a proof of contract/trialling a product or area of innovation.
(j) Contracts where the School deems that for reasons of extreme urgency brought about by unforeseeable events unattributable to the School, the timescales for obtaining bids cannot be met. A written record shall be signed and dated by the Chair of the Governing Body, whenever this Rule applies.
9.13. Where any of the exceptions set out in Rule 9.12 above are applied a written record shall be signed, dated and kept. The Headteacher shall maintain a register of all recommendations made under this Rule.
9.14. For exceptions that fall outside the circumstances listed in Rule 9.12, a request for a waiver can be made to the Headteacher and Chair of the Governing Body using the Waiver Request Form prescribed by the S151 Officer which shall specify the reasons for the request. The Headteacher shall maintain a register of all waivers made under this Rule.
9.15. The requirement to publish a record on contracts register will still apply to all exemptions.
10.1 Post bid
negotiations may not be undertaken where the value of the Contract
exceeds the relevant WTO GPA
Threshold. If the
value of the bid exceeds the relevant
WTO GPA
Threshold, the School must invite tenders in
accordance with Rules 11 and 12.
10.2 Post bid
negotiations with selected Participants shall only be carried out
where:-
(a) post tender
negotiations are permitted by law; and
(b)
the Headteacher in consultation with the Governing Body considers
that added value may be obtained; and
(c)
post bid negotiations are conducted by a team of suitably
experienced Officers approved by the Headteacher and who have been
trained in post bid negotiations; and
(d) a
comprehensive, written record of the post bid negotiations is kept
by the Responsible Officer; and
(e) a
clear record of the added value to be obtained as a result of the
post bid negotiations is incorporated into the Contract with the
successful Participant.
10.3 Rules 10.1 and
10.2 shall not operate to prevent clarification of all or part
of any bid to the extent permitted by law and where such
clarifications are sought the provisions of Rules 10.2(c) and
10.2(d) shall apply, except that the word
“clarification” shall be substituted for the word
"negotiation" in these Rules.
10.
11.
ABOVE
THRESHOLD TENDERPROCESSS
COMPETITIVE TENDERING PROCEDURES
10.1. Where the estimated value of the Contract meets or exceeds the relevant Threshold Amounts(see Rule 10.2), Tenders must be invited and awarded in accordance with the competitive tendering procedures of the PA2023 which are:
a) A single-stage tendering procedure without a restriction on who can submit tenders (an “Open procedure”), or
b) Such other competitive tendering procedure as the Schoolconsiders appropriate for the purpose of awarding a contract (a “competitive flexible procedure”).
10.2. The Threshold Amounts are as follows for the various types of contract inclusive of VAT:
a) Light Touch Contract - £663,540
b) Concession Contract - £5,372,609
c) Works Contract - £5,372,609
d) Contract for the supply of goods orservices - £214,904
PUBLICATION
10.3. Prior to publication of a Tender, a preliminary market engagement notice should be published on the Central Digital Platform followed by a mandatory tender notice to initiate the supplier invitation to the opportunity. Associated tender documents must also be published alongside the tender notice on the School’s e-tendering system, or an appropriate alternative system as agreed by the Headteacher,which must include the details of the evaluation process.
10.4.
11.4
All Participantssuppliers
invited to
submit Above Threshold Tenders shall be provided
in all instances with identical
instructions (including the evaluation criteria
details) and information.
VARIANT TENDERS
1.1.
11.1 Where the estimated
value of the for Contracts exceed the
WTO GPA Threshold, Above Threshold
Tenders shall be invited and awarded in
accordance with the PCRs and as prescribed in Rule 11 and
12.
General Requirements
11.2 Before an Above
Threshold Tender is requested the evaluation criteria to be applied
to the Above Threshold Tender must be recorded in writing in the SQ
and/or ITT document. The evaluation criteria must be identified and
the weighting between price and quality established and stated in
the SQ and/or ITT sent to Participants.
11.3 Irrespective of the
procurement process being undertaken a notice must be published on
the Find a Tender Service system and Contracts Finder, where
possible this should be through the E-Sourcing system, or an
appropriate alternative system as agreed by the
Headteacher.
11.4 All Participants
invited to submit Above Threshold Tenders shall be provided in all
instances with identical instructions and
information.
10.5.
11.5
Where
considered appropriate, the School may permit Participants suppliers to submit variant
Above Threshold Tenders (i.e.
tenders which do not comply with some or all the requirements of
the primary tender). The same opportunity to submit variant
Above Threshold Tenders shall be
given to all Participantssuppliers. Variant Above Threshold
Tenders shall only be considered if the Participant supplier also submits a compliant
primary tender.
RECEIPT AND OPENING OF TENDERS
10.6.
13.1
A written above Threshold
Tender may only be considered if before the deadline date and
time:-
(a)
it has been received electronically through the
E‑SourcingtenderingSystem, or (where permitted in exceptional
circumstances, and subject to agreement by the Headteacher) it has
been received electronically through an appropriate alternative
method, such as a secure email
inbox; or
(b)
(where
permitted) under Regulation
84(h)) it has been received in hard copy in a sealed
envelope marked “Above
Threshold Tender” and indicating the subject
matter of the Above
Threshold Tender, and the identity of the Participantsuppliercannot be ascertained from the tender
envelope.; and
(a)
(subject to
Rule 13.4) it has been received by the Above Threshold
Tender closing date and time.
10.7.
13.6
If an Above Threshold Tender
is received after the specified closing date and time it may not be
considered unless the Headteacher is satisfied that the
Above Threshold Tender was
submitted electronically or posted or otherwise dispatched in
sufficient time to be delivered before the specified time but that
delivery was prevented by an event beyond the control of the
Participantsupplier.
10.8.
13.2
The Headteacher (or a person designated by them) shall be responsible for the reception and
safe custody of Above
Threshold Tenders until they are
opened.
10.9.
13.3
Allbove
Threshold Tender submissions, whether electronic or hard copy, must be
opened at the same time, in an auditable way, by an independent
Officer.
10.10.
13.4
Where circumstances permitted
, under
Regulation 84(h) of the PCRs and Above
Thresholdany Tenders that are returned in hard copy
format shall have a written record
of
the Tenders received which shalwill be maintained by the Headteacher, of the Above Threshold Tenders
received. Such a record shall include the date and
time of Above Threshold Tender
opening, the identity of the Officer(s) present, the identities of
Participantssuppliers
and the tendered sums (where readily
ascertainable).
13.5 Above Threshold
Tenders submitted in hard copy must be opened at the same time and
in the presence of the Headteacher (or a person designated) or,
where the Procurement and Contract Management Services is
undertaking the procurement, the Monitoring Officer (or an Officer
designated).
EVALUATION
10.11.
11.6
The
evaluation of the Above
Threshold Tender submissions shall be carried out by
Officers who are considered appropriate having regard for the
subject matter and value of the Contract.
10.12.
11.7
All
procurements Tender processes undertaken in accordance with Rule
11 shall have a minimum of 3 appropriate
Officers to undertake the evaluation process. The evaluation
process will include:
· Individual evaluation assessment and scoring (where required)
· Consensus marking exercise
·
Independent
review, (where required)
·
Moderation by the
evaluation panel, (where required).
1.1.
11.8
All evaluation panel members must have completed
appropriate evaluation training prior to completing any evaluation
process.
CONTRACT AWARD
10.13. The Schoolmay award a contract to a supplier that submits the most advantageous tender in a competitive tendering procedure.
10.14. Before entering into a contract resulting from a competitive tendering procedure, an assessment summary must be sent to each supplier that submitted an assessed tender in line with Section 50 of the PA2023. A contract award notice must then be published on the Central Digital Platform which sets out the intention to award and instigates the mandatory 8 working day standstill period (where applicable).
10.15. All contracts entered into will be published on the School’s contract register and a contract details notice must be published on the Central Digital Platform. If the contract is £5,000,000 or above, a redacted copy of the contract must also be published with at least 3 key performance indicators.
11.8 All evaluation
panel members must have completed appropriate evaluation training
prior to completing any evaluation process.
10.16.
11.9
Where
a Contract is terminated within the first 6 months of the Contract
commencement date, the School may award the contract to the second
placed supplier with agreement
from
the Headteacher in consultation with the Chair of the Governing
Body, provided that this demonstrated Best Value and none of the
original award criteria has changed.
EXCEPTIONS TO THE TENDER PROCESS
12. OPTIONS
FOR ABOVE THRESHOLD TENDERS
12.1 The School shall
identify which of the following Above Threshold Tender Procedures
shall be used to invite tenders for Contracts with a value in
excess of the relevant WTO GPA
Procurement Threshold:
(i)
the Open Procedure (as prescribed by Regulation
27)
(ii)
the Restricted Procedure (as prescribed by Regulation
28)
(iii) the
Competitive Procedure with Negotiation (as prescribed by Regulation
29)
(iv) the
Competitive Dialogue Procedure (as prescribed by
Regulation 30)
(v)
the Innovation Partnership Procurement (as prescribed by
Regulation 31)
(vi) use of
the Negotiated Procedure without prior publication (as prescribed
by Regulation 32)
(vii) Social and
Other Specific Services (Light Touch Regime) (as prescribed by
Regulations 74‑76)
and such identified process shall be used for
the invitation of Above Threshold Tenders in accordance with the
requirements of the PCR’s.
12.2 The School shall
also identify which of the following techniques and instruments
which can be used for Electronic and Aggregated
Procurements:
(i)
Framework Agreement (as prescribed by Regulation
33)
(ii)
Dynamic Purchasing System (as prescribed by Regulation
34)
(iii)
Electronic auctions (as prescribed by Regulation
35)
(iv)
Electronic catalogues (as prescribed by Regulation
36)
13. receipt
and opening of ABOVE THRESHOLD tenders
13.1 A written above
Threshold Tender may only be considered
if:-
(a)
it has been received electronically through the
E‑Sourcing System, or (where permitted in exceptional
circumstances, and subject to agreement by the Headteacher) it has
been received electronically through an appropriate alternative
method, such as a secure email inbox; or
(a)
where permitted under Regulation
84(h)) it has been received in hard copy in a sealed
envelope marked “Above Threshold Tender” and indicating
the subject matter of the Above Threshold Tender, and the identity
of the Participant cannot be ascertained from the tender envelope;
and
(a)
(subject to Rule 13.4) it has been
received by the Above Threshold Tender closing date and
time.
13.2 The Headteacher (or
a person designated) shall be responsible for the reception and
safe custody of Above Threshold Tenders until they are
opened.
13.3 Above Threshold
Tenders, whether electronic or hard copy, must be opened at the
same time, in an auditable way, by an independent
Officer.
13.4 Where permitted
under Regulation 84(h) of the PCRs and Above Threshold Tenders are
returned in hard copy format a written record shall be maintained
by the Headteacher, of the Above Threshold Tenders received. Such a
record shall include the date and time of Above Threshold Tender
opening, the identity of the Officer(s) present, the identities of
Participants and the tendered sums (where readily
ascertainable).
13.5 Above Threshold
Tenders submitted in hard copy must be opened at the same time and
in the presence of the Headteacher (or a person designated) or,
where the Procurement and Contract Management Services is
undertaking the procurement, the Monitoring Officer (or an Officer
designated).
13.6 If an Above
Threshold Tender is received after the specified closing date and
time it may not be considered unless the Headteacher is satisfied
that the Above Threshold Tender was submitted electronically or
posted or otherwise dispatched in sufficient time to be delivered
before the specified time but that delivery was prevented by an
event beyond the control of the
Participant.
14. ABOVE
THRESHOLD Tender EVALUATION AND
Acceptance
14.1
The Responsible Officer shall
evaluate Above ThresholdTenders using the evaluation criteria
published in accordance with Rule
11.2.
14.2 Before a Contract
is awarded the School shall, determine whether it is proportionate
and appropriate to complete a risk assessment to ascertain the
financial stability of the successful Participant. The risk
assessment shall take into account the subject matter, complexity,
duration, value and any other such factors as may be deemed to be
relevant.
14.3 On completion of
the evaluation of the Above Threshold Tenders received and once all
internal approvals have been obtained, the School shall write to
all Participants informing them of the outcome of the Above
Threshold Tender evaluation and providing feedback on the content
of their submission, in accordance with Regulation 55 of the
PCR’s.
14.4 The School shall
wait a minimum of ten days (15 days if not sent electronically)
from the date of issue of the letters notifying the Participants of
the result of the evaluation before completing the Contract with
the successful Participant, except where not required for example
for call-offs under an existing Framework.
14.5 The School shall
send for publication a Contract Award Notice to Find a Tender
Service stating the outcome of the procurement procedure no more
than 30 days after the award of the
Contract.
15.
Certification of Contracts
– NOT USED
16.
Exceptions to PROCUREMENT
AND Contract procedure rules
16.1 A School does not
need to invite bids in accordance with Rule 9 in the
following circumstances:-
(a)
purchases via Framework Agreements which have been established
either by the Council or by other public sector bodies or consortia
(including, but not limited to PSBOs) and where such framework
agreements are lawfully accessible to the School. Contracts awarded
from such Framework Agreements shall be awarded in accordance with
the provisions of that Framework Agreement;
or
(b) the instruction of
Counsel by the Monitoring Officer; or
(c)
where funding is received by the School, either in its own right or
as an accountable body, and the terms of such grant or other
external funding state that it must be applied in accordance with
those terms; or
(d)
purchases at public auctions (including internet auction sites,
e.g. eBay) where the School is satisfied that value for money will
be achieved; or
(e)
the purchase of Supplies, Works, Services or
Social and Other Specific Services
which are of such a specialised nature as to be
obtainable from one Contractor only; or
(f)
repairs to or the supply of parts for existing proprietary
machinery or plant where to obtain such supplies from an
alternative supplier would invalidate the warranty or contractual
provisions with the existing supplier; or
(g)
Social or Other Specific Services Contracts
where:-
(i)
the service is currently supplied by a Contractor to the
satisfaction of the School, is considered to be offering value for
money and where the foreseeable disruption to service users cannot
justify the invitation of further bids, or
(ii)
the service is of a specialist or personal nature and where service
users must be involved in the selection of the Contractor and where
the School considers it inappropriate for bids to be invited,
or
(iii) where
the School is satisfied that the urgency of the need for the
service prevents the invitation of bids in which case consideration
shall be given to the duration of that service;
or
(h)
Contracts where the School deems that for reasons of extreme
urgency brought about by unforeseeable events unattributable to the
School, the timescales for obtaining bids cannot be met. A written
record shall be signed and dated by the Chair of the Governing
Body, whenever this Rule applies.
16.2 Where any of the
exceptions set out in (d) to (h) above are applied a written
record shall be signed, dated and kept. The Headteacher shall
maintain a register of all recommendations made under this
Rule.
16.3 The School does not
need to invite Bids in relation to Pilot schemes, where below WTO
GPA threshold, in relation to proof of concept / trialling a
produce or are of innovation.
10.17.
16.4
A School does not need to invite Above
ThresholdThe Tenders
in accordance with Rule 11 and
12process does
not need to be , in
the followed in
the following circumstances:
(a)
purchases via
a public contract or dynamic market
Framework Agreements which
have has been established either by the Council School or by other public sector
bodies or consortia (including, but not limited to
Centralised Procurement
AuthoritiesPSBO’s) and where
such Framework Aagreements are lawfully accessible
to the School. Contracts
awarded from such Framework Agreements shall be awarded in
accordance with the provisions of that Framework Agreement. Where
appropriate Officers should apply a minimum 10 day standstill
period for all call-off Contracts awarded under an existing
Framework Agreement. This is not mandatory but is deemed best
practice; or
(b)
where Section 41 (Direct Award in special
cases), Section 42 (Direct award to project life, etc) or Section
43 (Switching to direct award) of the PA2023
applies:.
(i) Regulations 12
or 72 of the PCRs apply; or
(ii) any other specific
exclusions as set out in the PCRs apply;
and the Monitoring Officer, the Headteacher and
Chair of the Governing Body are in agreement. A
written record shall be signed and dated whenever this Rule applies
and the Headteacher shall maintain a register of
such
written records.
Waivers
16.5 Specific exceptions
to these Rules are permitted in such other circumstances as the
Headteacher and Chair of the Governing Body may
agree.
16.6 Requests for
waivers shall be made using the Waiver Request Form prescribed by
the S151 Officer which shall specify the reasons for the
request.
16.7 The Headteacher
shall maintain a register of all waivers made under this
Rule.
16.8 Specific exceptions
to Rule 22.4 are permitted in such other
circumstances as the S151 Officer and the Monitoring Officer may
agree.
1.
17.
COMPLIANCE, CONTRACT
REGISTER AND FORWARD
PROCUREMENT
PLANS
1.1.
17.1
Every Officer shall comply with these Rules and
any unauthorised failure to do so may lead to disciplinary
action.
1.1.
17.2
The Headteacher shall be responsible for
monitoring adherence to these Rules.
17.3 NOT
USED.
1.1.
17.4
The Headteacher shall take all such steps as are
reasonably necessary to ensure that Officers within their School
are aware of and comply with these Rules.
17.5 NOT
USED.
17.6 The School shall
maintain a Contract Register the purpose of which is to record key
details of all Contracts with an aggregate value of £5,000
exclusive of VAT or more.
17.7 All Responsible
Officers will notify the Headteacher of any Contract awarded above
£5,000 exclusive of VAT. The Responsible Officer will use the format
prescribed by the Headteacher and report this information
quarterly.
17.8 The
Headteacher shall ensure that:-
(a)
all relevant Contracts (including those
Contracts to which Rule 16 applies) are entered onto
the Contract Register; and
(a)
the Contract Register is maintained by entering
new Contracts onto it and removing expired Contracts from it in
line with the School’s Records Retention and Destruction
Schedule.
Contracts Finder
17.9 When a Procurement
leading to a Contract in excess of £30,000 including VAT is
awarded the School shall ensure that such information as is
prescribed in the PCRs is published on Contracts
Finder.
18. GATEWAY
PROCESS REPORTS INCLUDING NOTIFICATION OF SECTION 151 OFFICER
AND MONITORING OFFICER – NOT USED
11.
19.
CONTRACTMANAGEMENT
11.1.
19.1
The
Responsible Officer shall take all such steps as are appropriate to
monitor and review the performance of the Contract, having regard
to its value, nature, duration and subject matter. As part of the
monitoring and review process the Responsible Officer shall
maintain adequate records of Contract performance and details of
review meetings with the ContractorSupplier. Such relevant records and details shall
be made available to School’s appointed Internal
Audit whenever required.
1.1.
19.2
Where appropriate the Responsible Officer
involved in contract management shall have received a level of
formal training commensurate with the nature of the
contract.
CONTRACT MODIFICATIONS – BELOW THRESHOLD CONTRACT
19.3 NOT
USED
Contract Variation
11.2.
19.4
Contracts with a
value below the relevant WTO GPA ThresholdAmount may be varied or
extended or novated in accordance
with the terms of that Contract. Any proposed variations
outside the scope of which have the effect of materially
changing the Contract must be approved by the
Monitoring Officer or
delegate, whether or
not they are affected by amending the Contract itself or by
correspondence.
11.3. Where a below threshold contract awarded under the PA2023 is modified and the modified value exceeds the relevant Threshold Amount it will be considered a “convertible contract” and will subject to the PA2023. Convertible contracts may be varied or extended in accordance with the terms of that Contract and/or as outlined in Section 74 of the PA2023. Approval must be sought approved by the Monitoring Officer or delegate. If a “convertible contract” is £5,000,000 or above (including VAT), a redacted copy of the contract must be published.
CONTRACT MODIFICATIONS – ABOVE THRESHOLD CONTRACT
11.4.
19.5
Contracts with a value in excess of the relevant
WTO
GPAAbove Thresholdcontracts awarded under the
PCR2015 may be varied or
extended in accordance with the terms of that Contract and/or as outlined in
Regulation 72 of the PCR2015s. Approvals must be sought by the
Headteacher and Governing Body.
11.5. Above Threshold contracts awarded under the PA2023 may be varied or extended in accordance with the terms of that Contract and/or as outlined in Section 74 of the PA2023. Approvals must be sought by the Headteacher and Governing Body. If the contract is £5,000,000 or above (including VAT), a redacted copy of the variation contract must also be published.
CONTRACT TERMINATION
11.6.
19.6
If an
Officer requires a Contract which
exceeds the financial values stated in Rule 18.2
to be terminated then this must be
done in accordance with the terms of the Contract and in accordance with the
PCRsPCR2015/ PA2023, where applicable.
Approvals must be sought by the Headteacher and Governing
Body.
11.7. Where an above Threshold Amount contract awarded under the PA2023 has expired, the Responsible Officer must notify the Headteacher in order to ensure a contract termination notice is published in accordance with the PA2023.
12.
20.
TRAININGFOR PROCUREMENT
AND CONTRACT
MANAGEMENT
12.1.
20.1
Where
appropriate any Officer involved in procurement activities shall
have received a level of formal training commensurate with the
nature of the procurement activity being undertaken.
12.2. Where appropriate the Responsible Officer involved in contract management shall have received a level of formal training commensurate with the nature of the contract.
13.
21.
DECLARATIONOF
INTERESTS
13.1.
21.1
A
Conflict of Interest declaration must be completed by all officers involved in any bid or tender
process.by all
members of the evaluation panel upon commencement of the
project. A Confidentiality Agreement or Declaration
form must also be completed by any members officers involved in the procurement process
including of the
evaluation panel who are not directly employed by the School,
unless there are alternative appropriate confidentiality provisions
within the persons appointment documents (such as a consultancy
agreement)any who are
not directly employed by the
School.
13.2.
21.2
If it
comes to the knowledge of an
Elected Member, Responsible Officer or other Officer
that a Contract or Grant
Agreement in which they have an interest (determined
in accordance with the Elected Members’ and/or
Officers’ Code of Conduct as appropriate) has been or is
proposed to be entered into by the
Council, they shall immediately give written notice to
the Headteacher.
14.
22.
GRANTPROCESSS
OVERVIEW
14.1.
22.1
A
grant is a sum of funds for a specific purpose. Under a grant
agreement, the funder makes a payment
to
the recipient for a specific purpose. The recipient is not obliged
to deliver any goods or services to the funder. The School may
grant-fund third party organisations for example to help deliver
community cohesion or to provide complementary activities.
Responsible
Officers should
in consultation with the Council’s Procurement and Contract
Management Service and Monitoring Officer understand if the Grant
is subject to the PCRsPA2023.
COMPETITIVE GRANT PROCESS
14.2.
22.2
A
competitive grants process should be completed and subsidy control
law complied with. Where
appropriate, the
opportunity should be advertised on the E-Sourcing tendering system.
SUBSIDY REQUIREMENTS
14.3. For all grant related processes subsidy control law must be complied with and any grant awarded over £100,000 which is a subsidy must be added to the Subsidy Database.
GRANT MANAGEMENT
22.3 NOT
USED.
14.4.
22.4
The
Responsible Officer shall take all such steps as are appropriate to
monitor and review the delivery of the grant agreement, having
regard to its value, nature, duration and subject
matter. As part
of the Grant monitoring and review process the Responsible Officer
shall maintain adequate records of delivery and details of review
meetings with the grant recipient.
GRANT PROCESS EXEMPTIONS
14.5. Specific exceptions to Rule 14 are permitted in such other circumstances as the S151 Officer and the Monitoring Officer may agree.
23. HIRING
AND ENGAGING STAFF
23.1 Where an Officer is
hiring or engaging a staff member who is not on the School’s
payroll there is a legal requirement to determine whether it is the
responsibility of the School to deduct tax and national insurance
at source, in accordance with the requirements of the Social
Security Contributions (Intermediaries) Regulations 2000, as
amended (IR35).
SCHOOL SPECIFIC RULES
15.1.
24.1
Governing Bodies are permitted to use their budget share to meet
the cost of capital expenditure on School premises. The annual
Devolved Formula Capital allocation to the School
must be used in accordance with any rules and conditions specified
as a condition of the award of the grant and can only be used for
capital expenditure.
15.2.
24.2
A Governing Body shall provide timely information, as required by
the S151 Officer, for the allocation,
monitoring, accounting and claiming of grant in respect of any and
all other capital funding allocated or devolved to the
School.
15.3.
24.3
The School may accumulate its Devolved Formula Capital over no more
than a three year rolling
period to use on a project of a value greater than its annual
allocation; that is, the current financial year plus the previous
two. Any unused Devolved Formula Capital Grant which is older than
this is subject to clawback by the Department for
Education.
16.
25.
LEASING AGREEMENTS
16.1.
25.1
As the nature of these Leasing Agreements may conflict with the
Council’s position regarding
the application of Government capital expenditure controls any
such agreements
must meet the
following criteria:
a) The agreement must not allow the School to become the owner of the equipment; in other words, the School cannot buy the equipment at any stage from the lessor.
b) The duration of the agreement must be short enough for the estimated value of the equipment at the end of the agreement period to be at least 10% of its initial cost. This condition must be specified in the agreement. An agreement for a large, heavily used photocopier, for example, should probably not exceed three years.
c) The agreement must not give the School an automatic right to continue with the lease at the end of the agreement period. However, if the Governing Body wishes to extend the agreement this can be arranged subsequently at an open market rental.
d) Any sale proceeds arising from the disposal of equipment is payable to the leasing company and not to the School.
e) The new lease cannot be used to settle any outstanding debt on a previous lease arrangement.