Procurement Exemption (in accordance with 4.6 of the Procurement Procedure)This exemption form is to be used for activities where the requester is not obtaining the minimum quotations required under the Procurement Policy between $50,000- $350,000. Engagements >$350k require Strategic Procurement to facilitate the exemption process. Please email procurement@unsw.edu.au. If your requirement is deemed as high risk but the value is below $350k, Procurement is able to review and assist you in completing this document to ensure it meets policy requirements.

1. Overview

Name of Activity [insert]

Reference number(s) [insert]

Brief background overview [insert]

Estimated engagement value

(incl whole of life costs, based on term of engagement)

$ (AUD) (excl GST)Funding source

(Code or Grant number)[insert]

Overall project budget amount

Confirmation that budget is available

$

Yes/NoContract type

[insert name of contract type or purchase order]

Faculty & School; or

Division & Department[insert initiating area]

Length of contract/engagement

(incl extensions)

Initial term: [insert]

Extension period(s): [insert]

Estimated benefit

Note, 3-5% is benchmark against estimation

Cost reduction (% or $) Cost avoidance (% or

$) N/A

Financial year Choose an item.

Business representative [insert name and position] Procurement Risk Choose an item.

Budget Owner [insert name and position] Exemption Requestor [insert name and position]

Procurement Exemption ($50k- $350k) 1

2. Approvals

Status Name Position Signature Date Comments

Submitted by

Supported/Not Supported

Approved/Not ApprovedNote:

This document requires financial delegation (DOA) at this stage in the process By signing this document, you confirm that you understand your duties and obligations to the

University with respect to identifying actual, perceived or potential conflicts of interest between your personal interest or duties to other parties. Should a conflict arise, you will disclosure of all relevant facts and circumstances and complete a Disclosure Statement and notify your supervisor, manager or head of faculty/department promptly after becoming aware of a conflict.

2a) Procurement Review Choose an item.

Commentary: <insert details>

3. Preliminary Exemption Details Should you answer ‘yes’ to any of the following questions, please contact procurement@unsw.edu.au for a representative to review this document and provide feedback.

Procurement may or may not endorse the requirement, dependent on the conditions, however the final approval will be at the discretion of the Financial Delegate for $50k- $350k.

Is this engagement considered to be high risk, or could it cause reputational or financial loss to UNSW? <insert details>

Is this engagement part of a staged or multi phased project/activity? <insert details>

If yes, is the project cost including all phases intended to exceed $350,000. <insert details> If yes, please contact procurement@unsw.edu.au prior to completing this form

Does the activity have any dependencies that are critical and that should be noted? <insert details>

Is the engagement for software or related to cloud/hosted services? <insert details>

a) does the output(s) from the engagement result in the creation of intellectual property or proprietary rights, where a limited number or singular supplier can maintain or transfer certain rights (commonly seen in IT engagements)

b) would the same supplier(s) want to have the opportunity to bid for subsequent phase or activities that relate to the output of services/works in the future?

Note, this is commonly seen in professional services where the outputs of the initial engagement directly are used as the scope for future engagements. Often this causes a conflict of interest that must be identified and managed appropriately when engaging the initial supplier.

<insert details>

<insert details>

Procurement Exemption ($50k- $350k)2

4. Exemption Details (refer to section 4.6 of Procurement Procedure)If you wish to proceed outside of the procurement Policy this section will guide you to provide relevant justifications against the item (4) of ICAC Principles. Direct negotiation considerations should be reviewed and can be found by visiting https://www.fin.unsw.edu.au/unsw-suppliers

Exemption strategy Choose an item.

Project Information/Key Considerations <include high level scope requirements and specific outcomes sought>

Statement of requirement Choose an item.

Have you already obtained a quotation from the supplier(s) who you wish to engage? Choose an item.

Have you use the Request for Quotation template to obtain proposals from supplier(s)

Choose an item.If you have not received a quotation, you are required to do so prior to Financial Delegate approval of this document

Insert the name of the supplier(s) who you wish to contract with, or list the supplier(s) who you wish to invite to quote

<insert details>

Have you considered social return and/or indigenous suppliers? If not please visit supplynation.com.au to search the directory, and contact procurement@unsw.edu.au for more information on a range of social providers

<insert details>

Have you considered local suppliers? It is important that local and small to medium business’s, within the local Sydney district or within the state and nationally are considered

<insert details>

Who are other suppliers who you have contacted or compared the successful supplier(s) to?

<insert brief market analysis relating to supplier(s) invited>

Have you considered any alternatives to this product or service?

<insert details>

Can the service or product be readily delivered by competitors?

<insert details>

Does the supplier own something that would limit UNSW from contracting with other parties? This could mean rights to IP, proprietary information etc?

<insert details>

Do you have access to clear documentation for establishing a financial benchmark – e.g. rate card, existing panel arrangement, existing contract, expert advice, previous and recent market test?

<insert details>

Describe how UNSW is still able to obtain value for money through a limited test of the market?

Have you performed cost-benefit analysis or similar study?

Have you obtained an independent estimate of the price or financial consideration?

Are you considering an “open book” relationship with the supplier for greater transparency on the breakdown of costs including sub-contractor and consultant costs?

<insert details>

<insert details>

Procurement Exemption ($50k- $350k)3

Have any suppliers expressed interest in the supply of the goods or services who are not being invited to submit (and therefore have the potential to challenge the process)?

<insert details>

Are you procuring an international goods purchase? If yes, please contact procurement@unsw.edu.au to discuss international shipping and freight requirements prior to engaging the supplier.

<insert details>

Have Conflict of Interest Declaration forms for all individuals involved in this engagement been completed?

<enter any declared conflicts and specify any attachments>

Download form at https://www.fin.unsw.edu.au/services/procurement/templates

Can you ensure segregate duties and confirm that there are no conflicts of interest in relation to the procurement approach?

<insert details>

Have you considered any UNSW Supplier or UNSW Panel Supplier to perform the requirement?

You can find UNSW suppliers by visiting https://www.fin.unsw.edu.au/unsw-suppliers

<insert details>

Can you ensure that the decision to enter into direct or limited negotiations and the reasons for it are recorded within this document or other documents that are saved in an appropriately records managed location

You can review record management requirements at https://www.fin.unsw.edu.au/policies

<insert details>

Did you conduct an evaluation where other individuals assessed one or more quotations? Please attach or embed any quotation assessment

<insert details>

You agree to send the quotation and agreed contract with the successful supplier for any engagements to the value of $150k> to procurement@unsw.edu.au to meet GIPA reporting requirements

<insert details>

For GIPA information, please visit https://www.fin.unsw.edu.au/gipa-reporting

Procurement Exemption ($50k- $350k)4

5. Risk Assessment

Have you engaged Finance for a financial assessment and Treasury for any hedging requirements if the supplier(s) is/are from overseas? <insert text>

Can you ensure that the specifications have not been developed to favour a specific supplier or are too specific such as to limit other supplier(s) interest? <insert text>

Can you confirm that the decision-making process is well documented and aligns to UNSW objectives and financial delegations? <insert text>

Can the procurement activity cause adverse media attention? Can this procurement activity impact academic courses, research activity or staff? If yes, ensure that appropriate level of sign-off is received

<insert text>

Do you intend to use a contract or a standard purchase order? <insert text>

If your intent is to use a contract. Is it a standard UNSW precedent contract or a supplier’s contract? If non-standard is being used, you should engage with Legal.

<insert text>

Can you confirm that the Intellectual Property will remain the property of UNSW? <insert text>

Can you ensure that the members of evaluation team have the knowledge and skills to carry out the required tasks and support the selection of the preferred supplier?

<insert text>

Can you ensure that members of the evaluation team and other related stakeholders are clear on their roles and responsibilities? <insert text>

Can you confirm that all suppliers will receive the same level of information and that no suppliers have been receiving an unfair advantage? <insert text>

Can you confirm that all confidential information is kept secured? <insert text>

If you have a formal risk assessment, please attach to this document or state N/A or Attached

You can download a copy of the assessment template by visiting https://www.fin.unsw.edu.au/services/procurement/templates

N/A or Attached

Procurement Exemption ($50k- $350k) 5

6. Assessment of Quotation(s)

[include details of the assessment you have conducted to validate value for money outcomes for UNSW]

[copy and paste below the quotation within this document]

7. Attachments

[list any attachments relevant or that should be read with this document]

Procurement Exemption ($50k- $350k) 6