PROCUREMENT: POLICIES AND PROCEDURES · Procurement Policy, Version 2.0 ... CHECKLIST FOR THE REVIEW AND APPROVAL OF A ... authority as SLaM’s SOs and SFIs

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Procurement Policy, Version 2.0 – November 2012

PROCUREMENT: POLICIES AND PROCEDURES

Version: 2.0

Ratified By: Trust Executive

Date Ratified: 21st November 2012

Date Policy Comes Into Effect: 1st January 2013

Author: Tom Medhurst, Head of Procurement

Responsible Director: Nick Dawe, Interim Director of Finance

Responsible Committee: Trust Executive

Target Audience: All staff at all levels

Review Date: January 2014

Equalities Impact Assessment Assessor: Abim Olowe Date: July 2012

HRA Impact Assessment Assessor: Tom Medhurst Date: Oct. 2012

Procurement Policy, Version 2.0 – November 2012 Page 1 of 25

Document History

Version Control

Version No.

Date Summary of Changes Major (must go to an exec meeting) or minor changes

Author

1.0 08.10.2008 N/A N/A G. Heafield

2.0 21.11.2012 Update on policy and change of procurement limits and related procedures as well as inclusion of contract sign off limits.

Major T. Medhurst

Consultation

Stakeholder/Committee/ Group Consulted

Date Changes Made as a Result of Consultation

Business Managers July 2012 No changes

Equalities and Human Rights Group

July 2012 Minor changes

Senior Finance Managers Oct 2012 No changes

Head of Contracts and Systems Design

Dec 2012 Changes to cover the inclusion and sign off of Healthcare and commissioning contracts

Plan for Dissemination of Policy

Audience(s) Dissemination Method Paper or

Electronic

Person Responsible

All Trust Staff Email Electronic TM

Business Managers meetings In person In person TM


Contents

Section Page

1. INTRODUCTION 3

2. DEFINITIONS 3 3. PURPOSE AND SCOPE OF THE POLICY 3 4. ROLES AND RESPONSIBILITIES 3 5. POLICIES 4 6. PROCEDURES: CONTRACT TENDERS/ QUOTATIONS 5

7. PROCEDURES: NON-PAY EXPENDITURE ON GOODS AND SERVICES – CHOICE, REQUISITIONING, ORDERING, RECEIPT AND PAYMENT

7

8. MONITORING COMPLIANCE 10 9. ASSOCIATED DOCUMENTATION 10 10. REFERENCES 10 11. FREEDOM OF INFORMATION ACT 2000 10

APPENDICES APPENDIX 1: TENDERING PROCEDURE 11 APPENDIX 2: SUMMARY OF PROCUREMENT LIMITS AND RELATED PROCEDURES FOR TENDERS AND QUOTES

13

APPENDIX 3: CONTRACT SIGNING LIMITS AND RELATED PROCEDURES FOR CONTRACT CONCLUSION

15

APPENDIX 4: EQUALITY IMPACT ASSESSMENT 16 APPENDIX 2: HUMAN RIGHTS ACT ASSESSMENT 23 APPENDIX 3: CHECKLIST FOR THE REVIEW AND APPROVAL OF A POLICY

25


1. Introduction

This document includes and updates requirements previously noted in SLaM’s Standing Orders (‘SOs’) and Standing Financial Instructions (‘SFIs’) and has the same level of authority as SLaM’s SOs and SFIs. Further information and guidance is available from SLaM’s Head of Procurement and from the following websites, which give guidance on the legal framework and link to relevant official documentation:

a) Government Procurement Service: http://gps.cabinetoffice.gov.uk/ b) The London Procurement Partnership: http://www.lpp.nhs.uk/. c) The Chartered Institute of Purchasing and Supply: http://www.cips.org/en/ d) EU procurement information: http://europa.eu/policies-activities/tenders-

contracts/index_en.htm e) DH website - NHS contracting information

2. Definitions

In this policy unless the context otherwise requires, the following terms shall have the following meanings: “stakeholders” includes SLaM’s members, SLaM’s service users, SLaM’s employees, SLaM’s local partners, regional and national government. “spend” shall mean all non-pay spend within SLaM. “contract” an agreement containing consideration between SLaM and another party “tendering” formally and competitively seeking responses from the market for SLaM requirements using formal tender documentation. “contract value” the value of expenditure of goods, services or works across the Trust including associated maintenance or spend on consumables for the life of the contract. For contracts with an uncertain period the contract value shall be measured by multiplying the annual Trust expenditure on the category of goods or services by four. “procurement” - the purchasing of goods and non healthcare services to support delivery of care across SLaM. “commissioning” - the purchasing of healthcare services to support or supplement the delivey of care across SLaM

3. Purpose and Scope of the Policy

The main purpose of the rules in this document is to ensure that all SLaM spend is managed in a way that ensures SLaM achieves:

Best possible value for all SLaM stakeholders

Abidance by European Union (EU) procurement law, EU regulations and the principles of EU regulations, Government guidelines, Department of Health guidelines, Standing Orders, Standing Financial Instructions, and other related policies.

The furtherance and support of SLaM’s strategic objectives

http://gps.cabinetoffice.gov.uk/

http://www.lpp.nhs.uk/

http://www.cips.org/en/

http://europa.eu/policies-activities/tenders-contracts/index_en.htm

http://europa.eu/policies-activities/tenders-contracts/index_en.htm


Ethical standards which as a minimum will be in accordance with the CIPS ethical code of conduct and SLaM’s gift policy.

Compliance with any overarching national requirements, such as the quality requirements flowing to subcontractors from the NHS standard contract.

4. Roles and Responsibilities

4.1 The Head of Procurement shall have ultimate responsibility for the implementation of this policy

4.2 Directors: have primary responsibility within their Directorates for ensuring that this policy is

adhered to in all respects and will ensure effective communication with managers with budgetary responsibility. Should there be any doubt with regard to the interpretation of the policy Directors should contact the Head of Procurement for further guidance on procurement and the Head of Contracts for guidance on commissioning healthcare services.

4.3 Business and Service Managers, Supervisors, and Team Leaders: are responsible and accountable to their line manager for the implementation this policy

within their area of responsibility. In particular this will include but not be limited to taking all reasonable steps to ensure the effective day to day management of this policy and that the contents of this policy is effectively communicated to all employees within their designated work environment.

4.4. All Staff employed by SLaM whether substantive or agency have a responsibility to be

properly conversant with the Procurement rules and regulations and guidance, any persons with budgetary responsibility must be aware of the impact of these rules and must abide by this policy when managing Trust spend.

4.5 Staff who breach this policy will be reminded of the policy and asked for an explanation

as to why the breach occurred. All breaches where appropriate will be reported to the Audit Committee.

5. Policies

5.1 Directives by the Council of the EU promulgated by the DH prescribing procedures for awarding all forms of contracts shall have effect as if incorporated in this document. In particular these Directives specify EU procurement thresholds, which SLaM cannot waive or alter. Contracts, the values of which exceed these thresholds are subject to the full European regulations. The thresholds (excluding VAT) applicable from 01 January 2012 to 31 December 2013 are: £113,057 for supplies and services contracts; and £4,348,350 for works contracts.

5.2 As a Foundation Trust SLaM is not bound by, but has regard to, the provisions of the

DH’s:

a) ‘Capital Investment Manual’ and ‘Estatecode’ as regards capital investment and estate and property transactions; and

b) ‘The procurement and management of consultants within the NHS’ as regards management consultancy contracts.

5.3 The Chief Executive is responsible for ensuring that SLaM can demonstrate best value

for money for all goods and services provided under contract or in-house. SLaM therefore awards contracts by obtaining and evaluating appropriate quotations or formal


tenders based on specifications or terms of reference prepared by or on behalf of SLaM. It is important to note that: a) Appendix 2 includes rules about whether quotations or tenders are required; b) Correct use of NHS or Government national contracts meets SLaM’s tendering

requirements and those of the European Union; c) All spend, unless otherwise agreed by Head of Procurement/Head of Contracts (for

healthcare commissioning) will be made, according to the following terms and conditions: - goods and services – Standard NHS terms and conditions of contract. - healthcare services - SLaM subcontract flowing down the the terms and

conditions of the current NHS standard contract - works and building services – NEC form of contract - where a contract is let under a framework the framework terms will prevail.

5.4 Waiver of formal tendering procedures in specific limited cases In exceptional circumstances formal tendering procedures may be waived, without

reference to the Chief Executive, but only:

a) in certain specific cases(noted below); and b) by those officers stated in Appendix 2 to whom powers have been so delegated by

the Chief Executive; and c) where it can be demonstrated that waiver is not being used to avoid competition, or

for administrative convenience, or to award further work to a consultant originally appointed through a competitive procedure; and

d) all waivers and the reasons for it are documented and reported to the Audit Committee.

5.5 The specific cases referred to above are where:

a) the supply is proposed under special arrangements negotiated by the DH, in which case those special arrangements must be complied with; or

b) the timescale genuinely precludes formal competitive tendering c) specialist expertise is required and is available from only one source.

6. PROCEDURES: CONTRACT TENDERS/QUOTATIONS 6.1 Tenders and quotations

Quotations and tenders will be let in accordance with total contract values and according to the limits and related procedures in Appendix 2 Except where otherwise required by 5.1 to 5.5, SLaM shall ensure that Trust requirements are where appropriate advertised and invitations to tender are sent to a sufficient number of appropriate and capable firms/individuals willing to provide a response to provide fair and adequate competition (see Appendix 2 for the minimum number of tenderers required) having regard to their capacity to supply the goods or materials or to undertake the services or works required. SLaM’s tendering procedures are summarised in Appendices 1 and 2. Quotations will be used for all contract values below the delegated limits identified in Appendix 2. All spend will be subject to competition either through an in house quotation process or through another body whose framework the Trust is enabled to use. Where it is decided that competitive tender or quotation is not applicable within the delegated limits and should be waived, the reasons should be documented and reported to the Audit Committee.


Quotations will be evaluated in the same way as tenders with regard to appropriateness and proportionality.

6.2 Private Finance Initiative (‘PFI’)

SLaM may consider PFI when considering capital procurement. When the BoD proposes, or is required, to use finance provided by the private sector the following should apply: a) the Chief Executive shall demonstrate that the use of private finance represents

value for money and genuinely transfers risk to the private sector; b) the BoD must specifically agree the proposal, having taken due account of Monitor’s

and other bodies’ reviews in line with Monitor’s paper entitled ‘Roles and responsibilities in the approval of NHS Foundation Trust PFI schemes’ (June 2007); and

c) the selection of a contractor/finance company must be on the basis of competitive tendering or quotations as appropriate.

6.3 Contracts

The Chief Executive shall nominate officers who variously:

a) oversee and manage each contract on SLaM’s behalf; b) have delegated authority levels for entering into contracts that have been identified in

Appendix 3. c) have power to negotiate for the provision of healthcare services with commissioners

of healthcare, in line with the requirements of the current NHS standard contract

All contracts let by the Trust will use standard NHS Terms and conditions of contract unless otherwise agreed by the Head of Procurement/Head of Contracts.

6.4 Disposals

Competitive tendering or quotation procedures shall not apply to the disposal of: a) any matter in respect of which a fair price can be obtained only by negotiation or sale

by auction as determined (or pre-determined in a reserve) by the Chief Executive or duly nominated officer;

b) obsolete or condemned articles and stores, which may be disposed of in accordance with SLaM policy;

c) items to be disposed of with a sale value reasonably estimated to be less than the relevant limit contained within the Scheme of Delegation;

d) items arising from works of construction, demolition or site clearance, which should be dealt with in accordance with the relevant contract; or

e) land or buildings concerning which DH guidance has been issued but subject to compliance with such guidance.

The Director of Finance and Corporate Governance shall prepare detailed procedures for the disposal of assets including condemnations, and shall ensure that these are notified to managers. When it is decided to dispose of a Trust asset, the relevant head of department or authorised deputy will determine the estimated market value of the item, taking account of professional advice where appropriate, and will advise the Director of Finance and Corporate Governance of that value. All unserviceable articles shall be: a) condemned or otherwise disposed of by an officer authorised for that purpose by the

Director of Finance and Corporate Governance; and b) recorded by the Condemning Officer in a form approved by the Director of Finance

and Corporate Governance which indicates whether the articles are to be converted,


destroyed or otherwise disposed of. All entries shall be confirmed by the countersignature of a second employee authorised for that purpose by the Director of Finance and Corporate Governance.

The Condemning Officer shall satisfy himself/herself as to whether or not there is evidence of negligence in use and shall report any such evidence to the Director of Finance and Corporate Governance who will take the appropriate action.

6.5 In-house services

Where the BoD (as advised by the Audit Committee and/or the Executive) determines that in-house services should be subject to competitive tendering, the following groups shall be set up: a) a specification group, comprising the Chief Executive or nominated officer(s) and

specialist(s); b) an in-house tender group, comprising a nominee of the Chief Executive and

appropriate technical support and; c) an evaluation group, normally comprising a specialist officer, a Procurement officer

or advisor and a representative of the Director of Finance and Corporate Governance. For services having a likely annual expenditure exceeding £1 million, a non-executive director should be a member of the evaluation team.

All groups should work independently of each other and individual officers may belong to more than one group, but no member of the in-house tender group may participate in the evaluation of tenders. The evaluation group shall make recommendations to the Governance Executive based on an objective analysis of the competitive tendering exercise. The Chief Executive shall nominate an officer to oversee and manage the contract on behalf of SLaM.

6.6 Joint finance arrangements

The BoD may confirm contracts to purchase from a voluntary organisation or a local authority using its powers under Section 28A of the NHS Act 1977. The BoD may confirm contracts to transfer money from the NHS to the voluntary sector or the health related functions of local authorities where such a transfer is to fund services to improve the health of the local population more effectively than equivalent expenditure on NHS services, using its powers under Section 28A of the NHS Act 1977, as amended by section 29 of the Health Act 1999 and shall comply with procedures laid down by the Director of Finance and Corporate Governance which shall be in accordance with these Acts. The BoD may choose to negotiate and agree section 75 contracts with local authorities in order to pool budgets in order to fund integrated teams with health and social care staff and respnsibilities.

7. PROCEDURES: NON-PAY EXPENDITURE ON GOODS AND SERVICES –

CHOICE, REQUISITIONING, ORDERING, RECEIPT AND PAYMENT 7.1 The requisitioner will requisition goods and services in accordance with the requisitioning

and ordering procedure. The requirement will be sent in the form of a requisition to the Procurement Department. The Procurement Department will then source the requirement using either an appropriate sourcing tool or information supplied with the requisition and according to current best practise and proceed to order.

7.2 All non pay spend shall be subject to an official Trust Purchase Order. The Trust will

operate a no PO no pay policy, the only exceptions will be the categories listed below: - Spend through the Staff Bank or Trust approved staffing agency.


- Spend through the Pharmacy Department - Spend issued through petty cash - Spend on authorised Purchase Cards issued by the Finance Department - Specific exceptions agreed in writing by the Director of Finance and Corporate

Governance. 7.3 A clear separation of duties should be observed when ordering goods and services. The

requisitioner should be different to the budget holder signatory who should in turn be different from the person confirming receipt of the goods. Department Heads should encourage separation of duties wherever practical.

7.4 The Director of Finance and Corporate Governance shall be responsible for the prompt

payment of accounts and claims. Payment of contract invoices shall be in accordance with contract terms, or otherwise, in accordance with national guidance.

7.5 The Director of Finance and Corporate Governance will:

a) prepare procedural instructions on the obtaining of goods, works and services. Detailed procedures relating to all aspects of purchasing and tendering are issued as a supplement in the ‘South London and Maudsley NHS Foundation Trust Systems Descriptions for Requisitioning, Ordering and Payment of Creditors’;

b) be responsible for the prompt payment of all properly authorised accounts and claims;

c) be responsible for designing and maintaining a system of verification, recording and payment of all amounts payable. The system shall provide for: - a list of directors/employees authorised to approve invoices by use of an

electronic receipting/approval system or by handwritten signature (including specimens of handwritten signatures where appropriate);

- certification that: i. goods have been duly received, examined and are in accordance with

specification and the prices are correct; ii. work done or services rendered have been satisfactorily carried out in

accordance with the order, and, where applicable, the materials used are of the requisite standard and the charges are correct;

iii. in the case of contracts based on the measurement of time, materials or expenses, the time charged is in accordance with the time sheets, the rates of labour are in accordance with the appropriate rates, the materials have been checked as regards quantity, quality, and price and the charges for the use of vehicles, plant and machinery have been examined;

iv. where appropriate, the expenditure is in accordance with regulations and all necessary authorisations have been obtained;

v. the account is arithmetically correct and; vi. the account is in order for payment;

- a timetable and system for submission to the Director of Finance and Corporate Governance of accounts for payment; provision shall be made for the early submission of accounts subject to cash discounts or otherwise requiring early payment; and

- instructions to employees regarding the handling and payment of accounts within the Finance Department and;

d) be responsible for ensuring that payment for goods and services is only made once the goods and services are received, (except as below regarding prepayments).

7.6 Prepayments are only permitted where exceptional circumstances apply. In such

instances: a) prepayments are only permitted where it can be reasonably demonstrated that the

financial advantages outweigh the disadvantages; b) the appropriate Executive Director must provide, in the form of a written report, a

case setting out all relevant circumstances of the purchase. The report must set out


the effects on SLaM if the supplier is at some time during the course of the prepayment agreement unable to meet the relevant commitments;

c) the Director of Finance and Corporate Governance will need to be satisfied with the proposed arrangements before contractual arrangements proceed (taking into account the rules in this document about entering into contracts) and;

d) the budget holder is responsible for ensuring that all items due under a prepayment contract are received and he/she must immediately inform the appropriate Director or Chief Executive if problems are encountered.

7.7 Official Orders:

a) must be uniquely identified by use of an internally approved process; b) must be in a form approved by the Director of Finance and Corporate Governance; c) must state SLaM's terms and conditions of trade; and d) must only be issued to, and used by, those duly authorised by the Chief Executive.

7.8 Managers and officers must ensure that they comply fully with the guidance and limits

specified by the Director of Finance and Corporate Governance and that: a) no order shall be issued for any item or items to any firm which has made an offer of

gifts, reward or benefit to directors or employees, other than: a. isolated gifts of a trivial character or inexpensive seasonal gifts, such as

calendars; b. conventional hospitality, such as lunches in the course of working visits; (see SLaM’s separate policy covering hospitality and gifts);

b) no requisition/order is placed for any item or items for which there is no budget provision unless authorised by the Director of Finance and Corporate Governance on behalf of the Chief Executive;

c) all goods, services, or works are ordered on an official order unless otherwise specified in this document;

d) verbal orders must only be issued very exceptionally - by an employee or employees designated by the Chief Executive and only in cases of emergency or urgent necessity. These must be confirmed by an official order and clearly marked ‘Confirmation Order’;

e) orders are not split or otherwise placed in a manner devised so as to avoid the financial thresholds or budgetary authorisations;

f) drugs, blood factors, X-ray contrast media and medical gases shall only be ordered via the Pharmacy Department. This includes free of charge items, clinical trial material and named patient drugs/special products, unless specifically authorised by staff duly delegated by the Head of Pharmacy;

g) purchase of all Information Technology (‘IT’) equipment must be approved by staff duly delegated by the Director of Information Strategy;

h) purchase of all equipment needing to comply with Health and Safety requirements, must be approved by staff duly delegated by the Health and Safety Risk Manager;

i) purchase of electrical equipment and battery operated equipment must be approved by the Health and Safety Risk Manager;

j) where goods are taken on trial or loan appropriate supplier indemnities are in place and under no circumstances will the trial or loan commit or be seen as committing SLaM to a future uncompetitive purchase;

k) changes to the list of directors/employees and officers authorised to approve invoices are promptly notified to the Director of Finance and Corporate Governance;

l) purchases from petty cash are restricted in value and by type of purchase in accordance with instructions issued by the Director of Finance and Corporate Governance;

m) petty cash records are maintained in a form as determined by the Director of Finance and Corporate Governance and;

n) all invoices are authorised and goods received documentation is provided in a timely manner, in order to facilitate prompt settlement of supplier accounts.

o) All works are approved by the Director of Estates, Facilities and Capital Planning.


8. Monitoring Compliance

What will be monitored i.e. measurable policy objective

Method of Monitoring

Monitoring frequency

Position responsible for performing the monitoring/ performing co-ordinating

Group(s)/committee(s) monitoring is reported to, inc responsibility for action plans and changes in practice as a result

Contract compliance

System reporting

Quarterly Head of Procurement

Finance

Purchase Order Compliance

System reporting

Quarterly Head of Procurement

Finance / Audit Committee

9. Associated Documentation

10. References

11. Freedom of Information Act 2000

All Trust policies are public documents. They will be listed on the Trusts FOI document schedule and may be requested by any member of the public under the Freedom of Information Act (2000).


APPENDIX 1: TENDERING PROCEDURE 1. Invitation to tender 1.1 All invitations to tender from SLaM shall be managed by the Procurement Department. If a conflict of interest exists between the tender and the Procurement Department the Chief Executive’s office shall nominate a representative who will conduct the tender process. 1.2 The Procurement Department shall maintain standard tendering procedures and documents in accordance with best practice and EU procurement law. 1.3 Tenders let for building and engineering works will be let in accordance with the Procurement tendering procedure, and NEC engineering and construction contract as authorised by the Director of Estates, Facilities and Capital Planning. 2. Receipt, safe custody and recording of formal tenders 2.1 All values referred to exclude VAT. 2.2 All formal tenders will be let using e-tendering and will remain closed until the closing date of the tender. Suppliers will be able to upload tendering documentation up until the closing date and time of the tender. It will be up to the supplier to ensure that this is done in plenty of time and with regard to any potential supplier side IT failure. Should the e-tendering facility not allow successful uploads of tendering documentation or should there be a fault with the system, a request may be submitted to the Procurement Department who will judge each request on its merits and according to current case law. A decision will be made in accordance with SLaM’s interests. The Head of Procurement’s decision in these instances will be final unless overruled by the Director of Finance and Corporate Governance. 3. Opening formal tenders 3.1 The e-tendering system will automatically open the tender once the closing date has passed. The tender responses can then be downloaded and assessed. 3.3 A permanent record will be kept on the e-tendering system of closing dates of all tenders, along with a full audit report of all activity. 3.4 All tendering activity and communications will be done through the e-tendering facility and will be used as a full audit check. No communications will be permitted outside of this facility; any bidders attempting to communicate with any staff in relation to the tender outside of the process may be disqualified from the process. 3.5 In the event that there is IT failure and it is not possible to use the e-tendering facility the procedure for returning and opening tenders will revert back to the previous version of the Procurement policy. 4. Admissibility and acceptance of formal tenders 4.1 Tenders will be let in accordance with EU regulations. Current case law will be used to determine course of action in ambiguous circumstances and legal advice may be sought where the Director of Finance and Corporate Governance requires further reassurance that the Trust is abiding by the regulations in full. 4.2 The minimum number of tenderers or minimum advertising requirement required to ensure adequate competition is as shown in Appendix 2. 4.3 If the minimum number of tenderers or the minimum advertising requirement is not achieved then a waiver must be completed and signed in the manner prescribed in this document. 4.4 A tender is considered and if appropriate accepted based on a duly prepared adjudication report, and according to the limits and conditions noted in Appendix 2. The resultant contract can be signed according to the delegated authority identified in Appendix 3.


4.5 Where only a single tender/quotation is received or sought SLaM shall, as far as practicable, ensure that the price to be paid is fair and reasonable. The use of single tenders/quotations should be strictly limited and in accordance with SLaM’s policy on waiver of formal tendering procedures in specific limited cases (section 4 in the body of this document) and with the limits and conditions noted in Appendix 2. 4.6 Any work that SLaM wishes to place with a Trust nominated sub contractor within a main tender specification will be regarded as a single tender and will be subject to the same process as in 4.5 above. 4.7 Where the form of contract includes a fluctuation clause all applications for price variations must be submitted in writing by the tenderer and shall be approved by the Chief Executive or nominated officer according to the delegated limits in Appendix 3. 4.8 SLaM may anticipate that the contract value will not exceed the relevant EU limit and thus may not apply the related EU tendering procedures. Application of the rules in this ‘Procurement: Policies and Procedures’ document may then show that the appropriate tender to be selected has a contract value exceeding the EU limit. In such cases the work must be re-tendered applying all the appropriate rules. For clarity, all invitations to tender should cover this possibility.

4.9 All tenders should be treated as confidential and should be retained for inspection

4.10 Unsuccessful suppliers will be offered a debrief by the tenderering team giving a full justification for the decision made. Debriefs for OJEU tenders will be done in accordance with the regulations.

5. Contract Management.

5.1 The originating department will be responsible for the management of the resultant contract to ensure compliance with the contractual arrangement and to ensure value for money.

5.2 In the event that the value of a contract has to be revised the Trust SFIs shall be adhered to.

5.3 Contracts let under NEC form of Contract shall adhere to the following:

- The procedure relating to early warnings and compensation events must be complied with at all times. Compensation events must be approved by the Director of Estates, Facilities and Capital Planning (or a designated deputy) and the Head of Procurement (or a designated deputy).


APPENDIX 2: SUMMARY OF PROCUREMENT LIMITS AND RELATED PROCEDURES FOR TENDERS AND QUOTES Important. This is a summary of limits and related procedures. Refer to the body of this document for the full rules, and in particular refer to paragraph 4.1 about the financial criteria for deciding whether the EU rules on advertising of contracts apply.

Contract value

excluding VAT/£

Addressee Opening tenders Minimum number

of willing and

capable Suppliers

asked to compete

Minimum level of

advertisement

Acceptance of tender Single tender

received

0 to 9,999 Procurement

Department

Procurement

Department 3 written quotations where appropriate

through e-quote tool

n/a

10k to 49,999 Procurement

Department

Procurement

Department

3 written quotations where appropriate

through e-quote tool

and contracts finder

Any relevant Director (2) A director and two

of DDoF, ADoF,

Supplies Manager

50k to 113,056 Procurement

Department

Procurement

Department

4 tenders SLaM & KHP &

contracts finder

website or

Constructionline

Any relevant Director

and Director of

Finance and

Corporate Governance

(2) A director and two

of DDoF, ADoF,

Supplies Manager

113,057 to 999,999 Procurement

Department

Procurement

Department

5 tenders OJEU (unless works

then Constructionline)

Any relevant Director

and Director of

Finance and


(2) Chief Executive

OR Director of

Finance and


1m to 4,348,349 Procurement

Department

Procurement

Department

5 tenders OJEU (unless works

then Constructionline)

(1) BoD 4 sub-group (1), (2) BoD 4 sub-

group

4,348,350+ Procurement

Department

Procurement

Department

5 tenders OJEU (1) BoD 4 sub-group (1), (2) BoD 4 sub-

group


NOTES/KEY (1) Report the matter to the next meeting of the Board of Directors (‘BoD’) (2) Report the matter to the next meeting of the Audit Committee (‘AC’) ‘Director’ means an Executive Director (‘ED’), a service director or a corporate director ‘Relevant director’ means a director for whom the tender relates to their delegated area of work (and for the purposes of this Appendix constitutes the ‘duly nominated officer’ noted in section 6 of this document) ED means Executive Director; NED means Non Executive Director DDoF means Deputy Director of Finance; ADoF means Assistant Director of Finance BoD 4 sub-group means a sub-group of the BoD including at least the: Chief Executive; Director of Finance and Corporate Governance; AC Chair; and one further person (a NED or the Trust Chair)


APPENDIX 3: CONTRACT SIGNING LIMITS AND RELATED PROCEDURES FOR CONTRACT CONCLUSION. Important. This is a summary of limits and related procedures. Refer to the body of this document for the full rules. Please note this appendix only applies once the relevant budget holder has signed off expenditure against the contract either in the form of a requisition or a formal Trust document as designated by the Head of Procurement. All contracts over 10,000GBP will be published in contracts finder.

Contract value excluding VAT/£k Sign off of contracts for expenditure by: Sign off of contracts for healthcare contracts

and local authority deeds by:

0 to 9,999 Procurement Manager CAG Director

10k to 49,999 Head of Procurement CAG Director

50k to 113,056 Head of Procurement (2) CAG Director

113,057 to 999,999 Director of Finance and Corporate Governance

(1), (2)

Any Executive Director (1), (2)

1m+ Chief Executive (1), (2) Chief Executive (1), (2)

Property and Deeds (excluding local authority

deeds as form of contracts for commissioning

healthcare services)

Trust Seal (1), (2) Trust Seal (1), (2)

NOTES/KEY (1) Report the matter to the next meeting of the Board of Directors (‘BoD’) (2) Report the matter to the next meeting of the Audit Committee (‘AC’) ‘Director’ means an Executive Director (‘ED’), a service director or a corporate director ‘Relevant director’ means a director for whom the contract relates to their delegated area of work (and for the purposes of this Appendix constitutes the ‘duly nominated officer’ noted in section 5 of this document) ED means Executive Director; NED means Non Executive Director BoD 4 sub-group means a sub-group of the BoD including at least the: Chief Executive; Director of Finance and Corporate Governance; AC Chair; and one further person (a NED or the Trust Chair)


APPENDIX 4: EQUALITY IMPACT ASSESSMENT

EQUALITY IMPACT ASSESSMENT

PART 1 – INITIAL SCREENING

SLaM wants to ensure that we provide accessible and equitable services that meet the needs of our diverse community and to meet the first principle of the NHS constitution – to provide comprehensive services available to all, paying particular attention to marginalised groups who are not keeping pace with the rest of society.

Under the Equality Act 2010 we are all protected from less favourable treatment or discrimination based on

age; disability; pregnancy and maternity; gender reassignment; race; religion / belief; sex; sexual orientation; marriage and civil partnership [but only in regards to the first aim – eliminating discrimination and harassment]. As an organisation we are legally obliged to consciously think about equality as part of the decision making process in the design, delivery and evaluation of our services and policy development/review. This is why we ask you to begin / conduct the EIA at the planning stage and in a group, using the screening tool as a prompt to the necessary conversations about the impact of your work on equality. (See guidance for further

information)

1. Name of the policy / function / service development being assessed?

Procurement: policies and procedures

2. Name of Lead person responsible for carrying out the assessment? (where there is a service change, this should be the individual with responsibility for implementing the change) [The EIA

should, wherever possible, be completed and considered in a group]

Lead: Tom Medhurst

Others involved:

e.g. staff, service users / service user consultants / carers / carers consultants:

3. Describe the main aim, objective and intended outcomes of the policy / function / service change/ development?

Aim: The aim of the Procurement policies and procedures is:


to include and update requirements previously noted in SLaM’s Standing Orders (SOs) and Standing Financial instructions (SFIs) and has the same level of authority as SLaM’s SO’s and SFIs.

Objectives: To ensure that the policy is adhered to in all respects and communicated effectively by Directors to those with managers with budgetary responsibility within their Directorates; Business and Service Managers, Supervisors, and Team Leaders implement the policy within their area of responsibility including the day to day management of the policy ensuring contents are effectively communicated to all employees; all staff employed by SLaM substantive or agency are properly conversant with the Procurement rules, regulations and guidance and if they have budgetary responsibility aware of the impact of these rules and abide by them when managing Trust spend.

Outcomes: To ensure that all SLaM spend is managed in a way that ensures SLaM achieves:

- Best possible value for all SLAM stakeholders

- Abidance with the relevant laws, guidelines, regulations and related policies

- To the furtherance and support of SLaM’s strategic objectives

- Ethical standards which as a minimum will be in accordance with the CIPS ethical code of conduct and SLaM’s gift policy.

4 (a). What evidence do you have and how has this been collected? [Please list the main sources of data, research and other sources of evidence reviewed to determine the impact on the equality groups, sometimes referred to as protected characteristics. Your data can include demographic data, access data, national research, surveys, reports; focus groups; information from your service?]

None

4 (b). Is there reason to believe that the policy / function / service development could have a negative impact on a group or groups?

YES / NO

Which equality groups may be disadvantaged / experience negative impact? [please base your answers on available evidence which can include for example key themes from the general feedback you receive via patient experience data (such as patient surveys; PEDIC); carer experience; complaints; PALS; comments; audits; specialist information - your personal knowledge and experience]


Age YES / NO

Disability YES / NO

Gender reassignment YES / NO

Pregnancy and maternity

Race YES / NO

Religion / Belief YES / NO

Sex YES / NO

Sexual orientation YES / NO

Marriage and civil partnership YES / NO

Others [that your service / policy is specifically aimed at (e.g. refugees, behavioural difficulties)

Group:………………………………… YES / NO


5. Have you explained your policy / function / service development to people who might be affected by it? (Please let us know who you have spoken to and the results of these conversations and

what actions/ developments/ changes have come out of them)

No

The procurement: policies and procedures are due to go out for consultation in the near future. The EIA will be updated following the consultation.

If ‘yes’ please give details of who you involved and what happened as a result.

6. If the policy / function / service development positively promotes equality please explain how?

N/A

7. From the screening process do you consider the policy / function / service development will have a positive or negative impact on equality groups? Please rate the level of impact and summarise the reason for your decision.

Positive: High Medium Low

(highly likely to promote (moderately likely to promote (unlikely to promote

equality of opportunity equality of opportunity and equality of opportunity

and good relations) good relations) and good relations)

Negative: High Medium Low

(highly likely to have a (moderately likely to have a (probably will not

negative impact) negative impact) have a negative impact)

Neutral: High (highly likely)

Reason for your decision:

The procurement: policies and procedures are unlikely to impact disproportionately on any group, they are a guide to ensure Trust staff are informed about and follow the correct procedures in their procurement activities.

Procurement are in the process of examining how they can use their functions to take forward the Trust equality agenda and following the process will revise the document as necessary .


Date completed: 5th July 2012 Print name: Tom Medhurst.

If the screening process has shown potential for a high negative impact you will need to carry out a full equality impact assessment


ACTION PLANNING The following action plan should summarise the proposed actions, setting out the timescale, lead individual and include details of any monitoring needed in the future to check that desired outcomes are reached.

Issue / Adverse impact identified

Proposed actions Responsible/ lead person

Timescale Progress

Please send an electronic copy of your completed assessment to:

1. [email protected] 2. Your Service Equality Lead

mailto:[email protected]


Appendix 5 – Human Rights Act Assessment

To be completed and attached to any procedural document when submitted to an appropriate committee for consideration and approval. If any potential infringements of Human Rights are identified, i.e. by answering Yes to any of the sections below, note them in the Comments box and then refer the documents to SLaM Legal Services for further review.

For advice in completing the Assessment please contact Paul Bellerby, Legal Services [[email protected]]

HRA Act 1998 Impact Assessment Yes/No If Yes, add relevant comments The Human Rights Act allows for the following relevant rights listed below. Does the policy/guidance NEGATIVELY affect any of these rights?

Article 2 - Right to Life [Resuscitation /experimental treatments, care of at risk patients]

No

Article 3 - Freedom from torture, inhumane or degrading treatment or punishment [physical & mental wellbeing - potentially this could apply to some forms of treatment or patient management]

No

Article 5 – Right to Liberty and security of persons i.e. freedom from detention unless justified in law e.g. detained under the Mental Health Act [Safeguarding issues]

No

Article 6 – Right to a Fair Trial, public hearing before an independent and impartial tribunal within a reasonable time [complaints/grievances]

No

Article 8 – Respect for Private and Family Life, home and correspondence / all other communications [right to choose, right to bodily integrity i.e. consent to treatment, Restrictions on visitors, Disclosure issues]

No

Article 9 - Freedom of thought, conscience and religion [Drugging patients, Religious and language issues]

No

Article 10 - Freedom of expression and to receive and impart information and ideas without interference. [withholding information]

No

Article 11 - Freedom of assembly and association

No

Article 14 - Freedom from all discrimination No


Name of person completing the Initial HRA Assessment:

Tom Medhurst

Date: 01/11/2012 Person in Legal Services completing the further HRA Assessment (if required):

Date:


Appendix 6 – Checklist for the Review and Approval of a Policy

This checklist must be used for self-assessment at the policy writing stage by policy leads and be completed prior to submission to an appropriate Executive Committee/Group for ratification.

Title of document being reviewed: Yes/No/ Unsure

Comments

1. Style and Format

Does the document follow The South London and Maudsley NHS Foundation Trust Style Guidelines? i.e.:

The Trust logo is in the top left corner of the front page only and in a standard size and position as described on the Intranet

Front page footer contains the statement about Trust copyright in Arial 10pt

Document is written in Arial font, size 11pt (or 12pt)

Headings are all numbered

Headings for policy sections are in bold and not underlined

Pages are numbered in the format Page X of Y

Yes

2. Title

Is the title clear and unambiguous? Yes

3. Document History

Is the document history completed? Yes

4. Definitions

Are all terms which could be unclear defined? Yes

5. Policy specific content

Does the policy address, as a minimum, the NHSLA Risk management Standards at Level 1 where appropriate

Yes

6. Consultation and Approval

Has the document been consulted upon? Yes

Where required has the joint Human Resources/staff side committee (or equivalent) approved the document?

N/A

7. Dissemination

Does the document include a plan for dissemination of the policy?

No This will be disseminated to all staff and will be available on the intranet

8. Process for Monitoring Compliance

Is it explicit how compliance with the policy will be monitored?

Yes

9. Review Date

Is the review date identified on the cover of the document?

Yes

10. References

Are supporting references cited? Yes

11. Associated documents

Are associated SLaM documents cited? Yes

12. Impact Assessments

Is an Equality Impact Assessment included as the appendix of the document?

Yes

Is a HRA Assessment included as an appendix Yes


Title of document being reviewed: Yes/No/ Unsure

Comments

of the document?

Documents

PROCUREMENT: POLICIES AND PROCEDURES · Procurement Policy, Version 2.0 ... CHECKLIST FOR THE REVIEW AND APPROVAL OF A ... authority as SLaM’s SOs and SFIs