evaluation process overview

7/30/2019 Evaluation Process Overview

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Evaluation Process Overview

Health Estates Investment GroupConstruction Procurement PolicyBranch

July 2011


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Objective To provide an overview of the PQQ/

Tender Evaluation Process

To ensure that all personnel are aware of their role in the process


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Evaluation Process The evaluation of PQQs and Tenders is a crucial stage in the

procurement process

It is essential that those engaged in procuring goods, services or works ensure that the evaluation of its tenders is in accordance with:

a) Applicable international and national

rules that regulate the procurementprocess ie The Public Contracts Regulations 2006b) Northern Ireland Public Procurement

Policyc) Probity Standards


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Evaluation Panel All members of the Evaluation Panel must adhere to the principles underlying probity

and act in a manner consistent with Northern Ireland Public Procurement Policy, thePrinciples of Public Life and the NICS Code of Ethics.

Size, make up and experience of the Panel must reflect the scale and complexity of the activity to be evaluated , including the degree of specialist input consistent withthe nature of the procurement.

Evaluation Panel must have a minimum of three members and at least one member should be a CoPE Representative. The Panel must have a Chair person.

All Panel Members must sign a Conflict of Interest Declaration and panel memberswho are not public servants may be required to enter into a Confidentiality

Agreement.

A person with any external personal, professional or monetary interests in the tendersthey are being asked to evaluate cannot remain on the Panel.


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Principles of Public Life (1)SELFLESSNESS

Holders of public office should act solely in terms of the public interest. They should

not do so in order to gain financial or other material benefits for themselves, their family, or their friends.

INTEGRITYHolders of public office should not place themselves under any financial or other obligation to outside individuals or organisations that might seek to influence them inin the performance of their official duties.

OBJECTIVITYIn carrying out public business, including making public appointments, awardingcontracts, or recommending individuals for rewards and benefits, holders of publicoffice should make choices on merit.

ACCOUNTABILITY

Holders of public office are accountable for their decisions and actions to the publicand must submit themselves to whatever scrutiny is appropriate to their office.


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Principles of Public Life (2)OPENNESS

Holders of public office should be as open as possible about all thedecisions and actions that they take. They should give reasons for their decisions and restrict information only when the wider public interest clearlydemands.

HONESTYHolders of public office have a duty to declare any private interests relatingto their public duties and to take steps to resolve any conflicts arising in away that protects the public interest.

LEADERSHIPHolders of public office should promote and support these principles byleadership and example.

These principles apply to all aspects of public life.


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Guiding Principles of Northern Ireland Public ProcurementPolicy (1)

ACCOUNTABILITY: effective mechanisms must be in place in order to enable Departmental Accounting Officers and their equivalents in other public bodies to discharge their personalresponsibility on issues of procurement risk and expenditure.

COMPETITIVE SUPPLY: procurement should be carried out by competition unless there areconvincing reasons to the contrary.

CONSISTENCY: suppliers, should, all other things being equal, be able to expect the same generalprocurement policy across the public sector.

EFFECTIVENESS: public bodies should meet the commercial, regulatory and socio-economic goals of government in a balanced manner appropriate to the procurement requirement.

EFFICIENCY: procurement processes should be carried out as cost effectively as possible.

FAIR-DEALING: suppliers should be treated fairly and without unfair discrimination, includingprotection of commercial confidentiality where required. Public bodies should not imposeunnecessary burdens or constraints on suppliers or potential suppliers.


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Guiding Principles of Northern Ireland Public ProcurementPolicy (2)

INTEGRATION: in line with the statutory duties on equality of opportunity and sustainable

development and the Executives policy on joined up government, procurementpolicy should pay due regard to the Executives other economic, social andenvironmental policies, rather than cut across them.

INTEGRITY: there should be no corruption or collusion with suppliers or others.

INFORMED DECISION-MAKING: public bodies need to base decisions on accurateinformation and to monitor requirements to ensure that they are being met.

LEGALITY: public bodies must conform to European Community and other legalrequirements.

RESPONSIVENESS: public bodies should endeavour to meet the aspirations,expectations and needs of the community served by the procurement.

TRANSPARENCY: public bodies should ensure that there is openness and clarity onprocurement policy and its delivery.


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Role of ChairpersonThe role of the Chairperson is to:

Ensure panel members are appointed who have the necessary knowledge, skills,competency and availability to carry out the evaluation

Ensure panel members have no conflict of interest at all stages of the process andthat the appropriate conflict of interest declarations/confidentiality agreements arecompleted

Ensure all evaluation documents, including all evaluation comments, justifications,marks, and amendments are fully documented, signed off and dated by both thepanel members and the Chairperson

Ensure due cognisance is taken of the professional procurement advice provided bythe CoPE

Conduct a moderation exercise, if required

Be available to support with debriefing of unsuccessful Applicants/tenderers


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Role of Panel MembersThe role of a Panel Member is to:

Evaluate, in an open, proportionate and transparent manner each submission for evidence of howthe submission meets the requirements of the selection/award criteria and to score the submissionin accordance with the details contained in the PQQ/Tender Documents

Confirm that they have no conflict of interest at all stages of the process and that they havecompleted the appropriate conflict of interest declaration/confidentiality agreement

Ensure that they sign off and date all evaluation documents, including all evaluation comments, justifications, marks, and amendments

Ensure due cognisance is taken of the professional procurement advice provided by the CoPE

Contribute to a moderation exercise, if required

Be available to support with debriefing of unsuccessful Applicants/tenderers


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Evaluating the Submissions (1) Panel members must be competent evaluators:

- The Contracting Authority has a statutory duty to the tenderer to comply withthe Procurement Directives and Contract Regulations which regulate theprocurement process

- All procurements are subject to the principles of the EC Treaty, in particular equality, non-discrimination, mutual recognition, proportionality andtransparency

- Incompetence or failure to follow a fair process may lead to the tender processbeing subject to judicial proceedings resulting in the award being set aside,thereby incurring additional costs and delays.

- Where such an incident occurs as a result of an action which is known to beunlawful or carried out with indifference to the consequences by a member of the evaluation panel, the officer involved could be accused of misfeasance or malfeasance in public office, which is an indictable offence that can result inthe officer being made personally liable for damages and costs awarded to aninjured party.


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Evaluating the Submissions (2)

Misfeasance- A term used to describe an act that is legal but performed

improperly.

Malfeasance- The commission of an act that is unequivocally illegal or

completely wrongful .


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Competence and Fairness Requirements (1)1. Appropriate Knowledge panel members must have an understanding

and ability to exercise judgement in:

- regulatory environment and policy surrounding public procurement- use of electronic system where appropriate- requirements of the specification- contents of each offer - criteria and weightings for evaluation- evaluation process

2. The Process panel members should:- ensure strict adherence by the bidders to the instructions given- communicate material changes in the evaluation process

simultaneously to all tenderers before the closing date for receipt- assess bids independently of each other and assign their own

individual scores (all bids should be marked by at least twoevaluators)


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Competence and Fairness Requirements (2)2. The Process (contd) panel members should:

- use a common approach based on standard mark sheet and guidance- use the evaluation criteria and weightings detailed in the documentation- Take care to preserve the equity of treatment between tenderers and to fully understand

and document the reasons for all decisions leading to selection and rejection of bids and/or the award of the contract

3. Relevant Considerations panel members should take into account:- all relevant considerations related to each offer including:

- the tenderers responses to all other information thattenderers were required to supply

- any variant bids offering economic advantage to the Client(where permitted)

4. Irrelevant Considerations panel members should NOT take into account:- any irrelevant considerations related to each offer including:

- anything outside the published selection/award criteria or informationrequested

- anything at award stage which has been evaluated at selection/shortlistingstage


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Competence and Fairness Requirements (3)5. Conflicts of Interest panel members should

- not accept gifts or hospitality from tenderers and avoid contact with tenderers during the evaluation

process. Note: All contact with tenderers during the evaluation process must be handled by CPD/CoPE- Discuss any possible conflict of interest or issue of bias with the Chairperson the Chairperson willdecide on an appropriate course of action

6. Evidence of Probity panel members must mark according to strictly defined scoring mechanism/markingscheme

- Speculation or suspicion or the personal knowledge of a panel member must not be used

7. Confidentiality each bid should be viewed as commercially confidential information

- The contents of bids should not be disclosed to any party outside the formal evaluation process

8. Commenting during the Tender Evaluation Process panel members should not discuss any element of thetender evaluation process with work colleagues or any other party

- the Chairperson of the panel (through CPD or CoPE) is the only permitted route for commenting to outside parties


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Recording of Evaluation Scores

- Panel members must record individual scores against relevantcriteria, with substantiating notes. These notes will provide anaudit trail and form the basis of any debrief.

- A separate set of scores may be taken where presentations formpart of the process. This score should be added to the score for the written submission. Contracts must never be awarded solelyon the basis of presentations.

- The Chairperson conducts a moderation procedure, producing ascore sheet of agreed, average or accumulated scores, inaccordance with the procedure set out in the PQQ/tender documents. This is circulated to the panel for review. This willassist with feedback to unsuccessful applicants/tenderers, and

identify any inconsistencies in marking or errors.


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Panel Meetings

- The panel may meet to discuss and agree the

outcomes of the initial marking process and finaliserecommendations. The Chairperson will prepare aformal record of all discussions and decisions taken atpanel meetings.

- The Contracting Authority ie the HSC Trust or PublicSafety Body will not reconsider the judgement of theEvaluation Panel. The sole ground on which anappeal may normally be made is one of improper procedure. Only if investigation reveals a manifestirregularity in the process will the scores be examined.