UNIVERSITY OF ESSEX
PURCHASING REGULATIONS
CONTENTS
6.1
6.2
6.3
6.4
6.5
6.6
6.7
6.8
6.9
6.10
6.11
6.12
6.13
6.14
6.15
6.16
6.17
6.18
6.19
6.20
6.21
6.22
INTRODUCTION
VALUE FOR MONEY
AGGREGATION
APPROVED SUPPLIERS
REGISTER OF INTERESTS
PURCHASING POLICY SUB-COMMITTEE
COMMODITY ADVISORY GROUP
CONTRACTS FOR GOODS AND SERVICES
CENTRAL STOCK SERVICE
FINANCIAL IRREGULARITY
ETHICAL CODE
RESEARCH GRANTS
DISTRIBUTION OF PURCHASING REGULATIONS
TENDERING FOR GOODS, SERVICES, BUILDING CONTRACTS OR CONSTRUCTION
WORKS
PLACING OFFICIAL ORDERS
GOODS/SERVICES RECEIVED
COMPLETION OF BUILDING CONTRACTS AND OTHER CONSTRUCTION WORKS
INVOICES
DISPOSAL OF SURPLUS EQUIPMENT
RECYCLING
ADVICE REGARDING PURCHASING REGULATIONS
SUSTAINABLE PROCUREMENT POLICY
APPENDIX A - PURCHASING POLICY SUB-COMMITTEE
APPENDIX B - COMMODITY ADVISORY GROUP
APPENDIX C - ETHICAL CODE
APPENDIX D – REQUEST TO ACCEPT SINGLE SOURCE TENDER/QUOTATION DOCUMENT
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UNIVERSITY OF ESSEX
PURCHASING REGULATIONS
6.1
Introduction
All staff involved in the purchase of goods, services, building contracts or
construction works have an obligation to conform to these regulations.
6.2
Value for Money
Personnel with responsibility for procurement should take into account the ‘value
for money’ approach regarding each purchase decision, rather than price as the
only major consideration prior to placing an official order. Whole life costing
may be used to minimise the cost of a product over its lifetime. It must be
implemented for purchases above £10,000 in value.
6.3
Aggregation
Where there are a number of regular contracts they should be aggregated
wherever this will maximise the purchasing power of the University.
6.4
Approved Suppliers
All official orders should be placed with suppliers which have been approved in
accordance with the registers maintained by the University.
6.5
Register of Interests
Staff with authority to enter into financial commitments on behalf of the
University must ensure that they do not purchase products from a supplier or a
potential provider of goods and or services if they have commercial interests or
close relatives in that organisation.
6.6
Purchasing Policy Sub-Committee
The Purchasing Policy Sub-Committee is responsible for advising the University
Steering Group on Procurement Procedures, Purchasing Regulations and the
classification of commodities purchased by the University. Refer to Appendix A,
regarding the terms of reference and the membership of the Sub-Committee.
6.7
Commodity Advisory Group
The Commodity Advisory Group is responsible for the evaluation of potential
contracts and products. The group also determines the stock profile and assists
Users regarding the purchase, storage and distribution of goods. Refer to
Appendix B, regarding the terms of reference and the membership of the Group.
3
6.8
Contracts for Goods and Services
The Deputy Director of Estate Management (Purchasing) will provide details of
contract arrangements to users via the Central Purchasing Unit web pages.
Maximum use should be made of the contracts by staff who are responsible for
procurement activities.
6.9
Central Stock Service
Where products are available from stock they should be requisitioned in
accordance with the pre-printed requisition (Form No. EO47b) and the stock
catalogue. Maximum use should be made of the stock service.
6.10
Financial Irregularity
If members of the Council or staff become aware or suspect that a financial
irregularity has occurred or is occurring, they must report the matter
immediately to the Director of Finance directly or via the Head of their
Department/Section.
If the Director of Finance suspects a criminal involvement, or it is in any way a
disciplinary offence, the Registrar and Secretary must be informed. Action will
then be taken in the best interest of the University and in accordance with the
University’s disciplinary procedures if appropriate. The Audit Committee will be
notified of the situation, plus all actions taken to correct and prevent a
recurrence.
All staff members have the right of direct access to the Head of Internal Audit if
they consider it is warranted.
6.11
Ethical Code
Staff involved in procurement activities will comply with the code of ethics as
shown at Appendix C.
6.12
Research Grants
The Purchasing Regulations are also applicable to the procurement of equipment
funded from Research Grants. Quotations may be obtained prior to submission of
grant proposals - if the grant application is successful, the thresholds in 6.14.6
apply.
6.13
Distribution of Purchasing Regulations
The Deputy Director of Estate Management (Purchasing) will ensure that updated
copies of the regulations are available to staff who are responsible for
requisitioning and/or purchasing activities within the University.
6.14
Tendering for Goods, Services, Building Contracts or Construction Works
4
6.14.1
Existing Contracts
Where the commodity to be purchased is subject to a contract which has
been let by an Agency, Purchasing Consortium, or a University, a
confirmation quotation may be obtained instead of inviting competitive
tenders.
6.14.2
Single Source Supply
In exceptional circumstances a single source of supply may be
appropriate to meet a particular specification. Personnel responsible for
the acquisition of products should ensure that the ‘Request to accept a
Single Source Tender/Quotation Document’ is fully completed, including
reference to the ‘Category for Exemption’. Refer to Appendix D.
6.14.3
Obligation to obtain Quotations/Tenders
It is an obligation to obtain quotations/tenders where the potential value
of a purchase meets or exceeds the specified levels as detailed in 6.14.6,
except where 6.14.1 and 6.14.2 above are applicable. It is not
permissible to avoid the tendering procedure by issuing multiple orders.
6.14.4
Rental and Service Contracts
The contract period should be used to calculate the projected cost in
respect of rental agreements or service contracts. If the contract period
is not known the potential contract value should be based upon the
estimated cost over a four year period or advice should be sought from
the Deputy Director of Estate Management (Purchasing).
6.14.5
Non-Acceptance of Quotations/Tenders
The University reserves the right not to accept any tender including the
lowest.
6.14.6 Thresholds
The approach to the market place to obtain prices (offers) is determined
by the estimated value of the purchase as detailed below:
5
GOODS AND SERVICES
VALUE
APPROACH
£1 - £499
Price List
Telephone
(Prices should be obtained by referring to the Supplier’s
Price List or by telephone)
£500 - £1999
* Single written quotation
£2,000 - £24,999
* Two/Three written quotations
£25,000 +
* Three/Four Tenders
£130,000 +
* Three/Four tenders + comply with the European
Supplies/Services Directive
The above values exclude VAT.

Additional quotations/tenders may be obtained to the minimum number
highlighted above.
CONSTRUCTION (BUILDING) WORKS
VALUE
APPROACH
Up to £3,000
Single written quotation direct form contractor (no
formal enquiry from U of E). Contract let on U of E T &
C’s.
£3,001 - £10,000
Formal quotation enquiry and description of work from U
of E to two contractors. Contract let on U of E T & C’s.
£10,001 - £25,000
Formal quotation enquiry and description of work from U
of E to three contractors. Contract let on U of E General
Conditions of Contract for Minor Works.
£25,001 - £150,000
Formal tender enquiry and detailed specification from U
of E to three contractors. Contract let on JCT minor
works form of building contract or appropriate
alternative.
£150,001 - £500,000
Formal tender enquiry and detailed specification from U
of E to four contractors. Contract let on JCT
6
intermediate form of building contract or appropriate
alternative.
£500,001 +
Formal tender enquiry and detailed specification from U
of E to minimum of four contractors. Comply with
European Works Directive where value of contract is in
excess of £3,000,000. Contract let on JCT standard form
of building contract or appropriate alternative.
The above values exclude VAT, and apply to named or nominated sub-contracts.
6.14.7 Written Quotations
a) Written quotations should be obtained on the standard “Enquiry for
Quotation” form where possible. The document is available from the
Central Purchasing Unit.
b) The University’s terms and conditions are referred to as a basis for the
quotation and a copy attached for information.
c) Any special terms and conditions of the potential contract are referred
to in the document.
d) Quotations are obtained from approved suppliers in accordance with
the registers maintained by the University.
e) A pre-addressed envelope for the return of the quotation is enclosed,
clearly stating the quotation number, product range, closing date and
time for the receipt of the offer by the University, except for
electronic responses.
f) Where the lowest quotation is not accepted the reasons are clearly
stated on an accompanying report for future audit examination.
g) The successful supplier has their offer formally accepted by an official
purchase order.
h) The unsuccessful supplier is informed and where applicable the value
of all quotations received declared to them without disclosing the
identity of the tenderers.
6.14.8
Tender Procedure (General)
a)
The tendering process should be implemented in accordance with
the applicable threshold as detailed in 6.14.6 utilising the appropriate
form of documentation.
7
Standard tender documentation is available from the Central
Purchasing Unit and comprises of the following sections:
Letter to Supplier
Invites a supplier to tender for a potential contract. The letter should
incorporate a return date and time for the receipt of a tender by the
University.
Specification
It should describe the product and be comprehensive and accurate.
Form of Offer
To incorporate brief details of the product(s) and should enable each
potential supplier to enter their offer i.e. price(s), terms etc. This must
identify whether the offer price is inclusive or exclusive of VAT.
Terms and Conditions
The University’s terms and conditions should be incorporated within the
tender documentation as appropriate i.e.
-
General Conditions of Purchase for Goods.
-
General Conditions of Purchase for Services.
-
General Conditions for Building Work or specific professional
standard terms (as defined in 6.14.6).
-
Special terms and conditions applicable to individual contracts.
Certificate of Bona Fide Offer
To confirm that an offer is made in good faith.
Contract Award Criteria
The contract award criteria should be included in the tender
documentation and must not be amended following publication of the
tender. The contract must be let in accordance with the award criteria
(the award criteria is only applicable to contracts which fall within the
European Directive).
b) Tenders should be sent to approved suppliers in accordance with the
registers maintained by the University.
8
c) A pre-addressed envelope for the return of the tender must be
enclosed, clearly stating the tender number, product range or project,
closing date and time for receipt by the University.
d) The tenders must be opened in the presence of not less than three
personnel of whom one must be the Director of Finance or a member
of his staff and the budget holder or their representative, where
appropriate.
e) The tender documentation returned by a supplier should indicate if
additional information is attached and if applicable, should be signed
by the tender panel when opened, along with any other documents
attached.
f) A summary of tenders received should be completed and signed and
dated by the tender panel who should also initial the significant parts
of the tender where appropriate.
g) When the lowest of any tender is not accepted the reasons should be
clearly stated on an accompanying report for future audit
examination.
h) The Finance Section should be requested to make an enquiry to
establish the ‘Financial Security’ of the potentially successful tenderer
if this has not been undertaken in the previous six months. (12 months
for building contracts.)
i) The successful tenderer should have their offer formally accepted by
an Official Order.
j) The unsuccessful tenderers should be informed and where applicable
the value of all tenders received declared to them without disclosing
the identity of the tenderers.
k) The European Procurement Directives will apply to potential contracts
where the anticipated value exceeds the thresholds detailed in 6.14.6.
Details of the advertising and the award procedure should be obtained
from the Deputy Director of Estate Management (Purchasing).
l) Full details of contracts awarded during each calendar year in
accordance with the European Procurement Directives must be
submitted to the Higher Education Funding Council via the Deputy
Director of Estate Management (Purchasing).
m) An allowance must be made for the time scales involved in
implementing the European Procurement Directives. A time scale of
approximately 3/4 months should be allowed for this process, prior to
the acquisition of the goods or services.
6.14.9
Tender Procedure (Services)
9
In addition to the Tender Procedure (General) (6.14.8), the following
requirements are applicable to tenders for services:
a) The period and objectives of the service should be clearly stated.
b) Confirmation whether the potential contract includes or excludes
labour, materials, plant or equipment that is necessary for the service
specified.
c) Definition of service, items, site etc. and the manner and expected
standards to which the service should be carried out, including time
factors relevant to the service.
d) The right of the University to vary the contract.
e) Confirmation whether the contractor can or cannot assign or sub-let
all or any part of the contract.
f) Payment/Settlement terms, plus warranties or reserve of payment
until completion.
g) Statutory obligations of both parties regarding safety, insurance and
indemnities.
6.14.10 Tender Procedure (Building Contracts and other Construction Works)
In addition to the Tender Procedure (General) (6.14.8) the following
requirements are applicable to tenders for Building Contracts and other
construction works.
a) The tender documentation must be drawn up by University personnel
responsible for the project or by an external professional consultant
on the advice of the Director of Estate Management. Care should be
taken at the design stage and in the preparation of drawings,
specifications and bills of quantities to avoid the likelihood of
alterations, variations and consequent additional expense being
incurred during the course of work. If the architectural fees are not
included in the tender documentation of a potential contract, they
should be subject to a separate tendering exercise under ‘Services’ as
detailed in 6.14.9.
b) The Form of Building Contract to be used for a project shall normally
be determined by the Director of Estate Management. For projects
for which a Building Sub-Committee has been appointed that Building
Sub-Committee shall recommend the contract form to Council on the
advice of the Director of Estate Management and any relevant
professional adviser on that project.
10
c) Where the estimated value of work is in the region of £250,000 or
more the Vice-Chancellor or his nominated representative will also be
present when tenders are opened. Where tenders are opened for
work on a project for which a Building Sub-Committee has been
appointed, the Chairperson of the Building Sub-Committee, or a
member nominated by him will normally be present, as may the
Project Architect and Quantity Surveyor.
d) In the case of tenders received for projects for which a Building SubCommittee has been appointed, details of the tenders submitted will
be reported to Development Committee, together with a
recommendation from the Sub-Committee or from the Chairperson
acting on its behalf, on action to be taken by them. Development
Committee in turn will recommend appropriate action to Council.
e) On receipt of approval from Council for a tender to be accepted, the
Director of Estate Management will normally notify the successful
tenderer, or instruct the Project Architect or Consultant concerned to
notify the successful tenderer and draw up formal contract
documents for signing as appropriate.
f) The Director of Estate Management or his deputy will issue an Official
Order to the successful tenderer.
g) Publicity related to proposed projects must be approved by the
Director of Estate Management or his nominated deputy.
6.15
Placing Official Orders
All goods, services, building contracts and construction works must be supplied
against official orders to the University. Orders for building works and associated
electrical, mechanical service installation and maintenance must be placed by
the Estate Management Section, except in the case of some minor maintenance
works to student residential accommodation, which may be placed direct by the
Accommodation Office.
Personnel responsible for procurement should ensure that:
a) Where the Central Purchasing Unit is responsible for raising an official order
the product(s) should be requisitioned on Form No. EO47c.
b) Official orders which are raised manually or electronically (excluding goods
and services purchased on the internet) should be consecutively numbered
and incorporate the University’s terms and conditions printed on the reverse
side. Orders which are submitted by facsimile should be accompanied by a
separate copy of the University’s terms and conditions.
c) Each official order should include the following information:
-
Full address of supplier
11
-
Delivery address
Invoice address
Date
Specification
Quantity
Price
Delivery Time
Reference to tender/quote/price list etc. to confirm acceptance of offer
Budget code
Signature of authorised member of staff.
d) Official orders which are compiled manually should comprise of 3 parts as
follows:



Part 1 - Supplier
Part 2 – Originators File and Invoice Clearance
Part 3 – Central Stores (for goods delivered via Central Stores)
Where a computerised purchasing system is operative in Departments,
Sections or Centres (except the Central Purchasing Unit) official orders
should comprise of 2 parts as given below:


Part 1 - Supplier
Part 2 – Central Stores, unless direct delivery from the supplier to the
originating department is required in which case Part 2 should be retained
by the originator.
Computerised official orders that are raised by the Central Purchasing Unit should
comprise of 2 parts as follows:


Part 1 – Supplier
Part 2 – Customer’s Copy
e) Where goods or services are purchased via the internet, a copy of the screen
should be printed and signed by an approved person and retained on the orders
file for future reference.
f) Where a commitment is in excess of £150,000 the purchase order must be
routed via the Deputy Director of Estate Management (Purchasing) for
approval, except for building/construction projects which have already been
pre-approved by Budget Sub-Committee.
g) A division of duties should be maintained regarding staff that are responsible
for the authorisation of official orders and invoices.
6.16
Goods/Services Received
Personnel responsible for the receipt of goods/services should ensure that:
12
a) On receipt of a product and/or a service, the delivery note should be signed
and dated. A copy of the delivery note should be retained at the point of
receipt of the goods and/or services. Where deliveries are effected direct to
a Department/Section and the official order was raised by the Estate
Management Section the original delivery note should be sent to the Central
Stores.
b) Where an authorised member of staff is unable to immediately identify the
actual quantity received, they should sign and date the delivery note and
endorse it ‘unexamined’.
c) Goods should be checked for quantity and quality upon receipt and following
the completion of a service the quality should be reviewed to ascertain
whether it meets the original specification. Any variation should normally be
notified to the supplier within a maximum of 24 hours of delivery of goods or
completion of a service.
d) If goods are received damaged the Courier and the Supplier should be notified
by telephone and in writing within 24 hours of delivery.
e) At the point of receipt the ‘Delivery Note Number’ the ‘Quantity Received’
and the ‘Date of Receipt’ should be entered onto a copy of the Official Order.
f) Copies of delivery notes should be retained for the current year and the last
full financial year, for Audit purposes.
g) Where delivery notes are not received, the copy order should be signed by the
person receiving the goods or services to confirm delivery and retained for
inspection.
6.17
Completion of Building Contracts and Other Construction Works
The following will apply for building contracts and other construction works.
a) A set of the contract documents will be held by the Contractor and the
relevant professional adviser, if appointed. The second set, or a copy, will be
held by the Director of Estate Management.
b) The expenditure of any contingency sum on a contract shall be at the
discretion of the University’s Project Officer. On projects for which a Building
Sub-Committee has been established this shall be the Director of Estate
Management acting on the advice of the relevant professional adviser.
c) Payments on projects for which a Building Sub-Committee has been established
shall be authorised by the Director of Estate Management supported by the
Quantity Surveyor’s Valuation Certificate. In all other cases authorisation for
payment shall be by the Director of Estate Management or the Deputy Director
of Estate Management (Facilities) on advice from the relevant Project Officer
13
that the declared value of work has been satisfactorily completed. The
amount of any retention shall be identified in the contract documentation.
d) The handover procedures for Building and Construction projects shall be
identified in the relevant contract documentation.
6.18
Invoices
Personnel responsible for authorising invoices for payment should ensure that:
a) The supplier’s invoice can be matched to an official purchase order number
issued by the University.
b) Where the invoice value matches the order value, the invoice should be
authorised for payment. It is essential that the following information is
incorporated on an invoice by the Department/Section responsible for
approving the commitment of University funds:




Order number
Budget Code
Value of invoice
Signature authorising payment
Where the value of an invoice does not match the order value the matter
should be resolved by the person responsible for originating the purchase
order.
6.19
Disposal of Surplus Equipment
Equipment which is surplus to a Department or Section must be disposed of in a
manner which provides the greatest income to the University and must be
undertaken as follows:
a) Each Head of Department or Section shall nominate a member of their staff to
be responsible for the disposal of equipment.
b) Items shall be valued realistically by comparison with trade sources.
c) Where an item is valued in excess of £500, permission for disposal must be
given by the Director of Finance or his nominee.
d) Upon disposal the relevant item must be removed from the equipment
inventory.
e) Persons responsible for disposal of equipment, who also are in a position to
make the decision as to whether an item is to be disposed of, can only buy
such an item if permission to do so is given by the Director of Finance, unless
it is purchased at auction.
14
f) For any mechanical or electrical equipment whether donated or sold, an
electrical safety check must be undertaken by the University’s Maintenance
Department. The cost will be charged against the value realised by the sale,
or in the case of a donation charged to the donor. In addition, an indemnity
form must be signed by the recipient to indemnify the University against
future operational condition or potential misuse.
g) A record must be maintained of all disposals. Each entry should detail the
item, how disposed of, value of or cost of disposal and to whom, if
appropriate. Each entry should be countersigned by the Head of
Department/Section.
h) Permission should be sought from the Pro-Vice-Chancellor (Resources) to
donate items of any value, on a goodwill basis, to other Educational or
Charitable Institutions.
i) Disposal of equipment should be undertaken in accordance with the following
options:
-
Offer to other Departments within the University.
-
Offer for sale in the “Wyvern” publication.
-
Advertise on the web.
-
Advertise for sale on a sealed bid basis.
-
Sell or trade into a supplier or dealer at a realistic value.
-
Notify to the convenor of the relevant Southern University Purchasing
Consortium Commodity Group, if likely to be of use to another Institution.
-
Offer for sale by Auction. (Organisation of an auction must be undertaken
by the Deputy Director of Estate Management (Purchasing).
j) Scrap metals will be collected together by the Estate Management Section and
disposed of to a scrap dealer when there is sufficient quantity to warrant
collection. Once any costs have been deducted the balance of money shall be
paid into the Vice Chancellor’s Student Hardship Fund.
6.20
Recycling
Any recycling project should be registered with the Director of Estate
Management. Income received from any such project should be used to fund the
operation and any surplus credited to the cost of other waste disposal projects.
The Estate Management Section will keep a record of such initiatives and the
source of funding - Departments/Sections which generate such surplus through
new recycling initiatives shall be able to identify the other project(s) they wish to
support. Records should be kept of all transactions.
15
6.21
Advice Regarding Purchasing Regulations
Advice in respect of the implementation of these regulations may be obtained
from the Deputy Director of Estate Management (Purchasing), Room 6.016.
6.22 Sustainable Procurement Policy
The University aims to ensure that its procurement activities meet the diverse needs of
students, staff, the economy and society both now and in the future, and it will achieve
this through:Exploring opportunities for reuse and recycling of materials, and reduction of
consumption, as appropriate.
1. Minimising the environmental impact of the procurement process wherever possible,
including reductions in transport, deliveries and packaging.
2. Where added value can be demonstrated using local suppliers when appropriate.
3. Working with key suppliers to reduce environmental risk and spread sustainability
improvements through the supply chain. This will include:
Avoiding products with particularly harmful substances

Preferential procurement for products with high recycled content, that are
biodegradable or are Fairly Traded wherever possible

Buying energy efficient products wherever possible

Buying products using recognised labelling schemes

Encouraging suppliers to adopt environmentally sensitive policies and
procedures, and to achieve environmental credentials

Monitoring supplier performance against environmental Key Performance
Indicators wherever possible.
4. Ensuring that environmental criteria are, as far as legally practicable, considered in
the contract award process.
5. An emphasis on whole life costing and environmental impact for any goods and
services to be purchased, including

operating costs including energy, water usage and maintenance

end of life processes including decommissioning and disposal.
6. Complying with all relevant environmental legislation.
7. Educating both internal buyers and suppliers concerning the University's sustainable
objectives, which include minimising waste, preserving natural resources, reducing
the University’s carbon footprint and promoting resource efficiency.
16
APPENDIX A
University Procurement Strategy Group
Membership 2009/10
Appointed Member
Mr Hugh Barrett (Chair)
Ex Officio Members
Head of Department, Department of Biological Sciences
Director of Finance
Director of Estate Management
Director of Information Systems
Deputy Director of Estate Management (Purchasing)
Faculty Manager, Faculty of Science and Engineering
Procurement Manager (Secretary)
Terms of Reference
The University Procurement Strategy Group will advise the University Steering Group on:
1. Development of the Procurement Strategy.
2. Recommendations for improvements in processes and value for money on all
external non-pay spend
3. Amendments that may be required to the Purchasing Regulations from time to
time.
4. Procurement procedures for goods and services in the light of the Purchasing
Regulations.
5. Goods and services which are purchased against single source quotations/tenders,
summarised by department, value and reason for exemption.
6. The classification of goods and services purchased by the University into the
following categories:
a) those items that are to be purchased centrally or under centrally organised
arrangements;
b) those items that are to be purchased on a co-ordinated basis by one
department on behalf of all others;
c) all other items to be purchased by individual departments and sections in
conformity with the University’s Purchasing Regulations.
The Central Purchasing Unit will work to minimise b) and c), and maximise the
commitment to national/regional contracts where appropriate and the
negotiation of local contracts.
7. Matters connected with purchasing policy and practice referred to it from
Finance & Strategy Committee and the University Steering Group.
17
8. Receive advice from and assign projects to the Commodity Advisory Group.
9. Receive reports on the performance of the Central Purchasing Unit from the
Deputy Director of Estate Management (Purchasing).
APPENDIX B
COMMODITY ADVISORY GROUP
Membership
Deputy Director of Estate Management (Purchasing) (Chair)
Help Desk & Purchasing Manager - Information Systems Services
External Relations Manager - External Relations
Financial Accountant – Finance Section
Dept. Superintendent - Biological Sciences
Dept. Superintendent - Electronic Systems Engineering
Dept. Superintendent - Computer Science
Systems Administrator - Management Information Systems
Chief Technician - Psychology
U G Administrator (first year) - Economics
Graduate Administrator - Government
Finance Manager - Students Union
Central Stores Supervisor – Estate Management
Purchasing and Contracting Supervisor – Estate Management
Secretary – Careers Advisory Service
Deputy General Manager – Catering Service
Academic Administrator – East 15
Accommodation Advisor – Accommodation Section
Terms of Reference
1. To review the contracts which are let by the Southern Universities Purchasing
Consortium and for the Group to agree and implement those which the University
will support.
2. To agree the product profile that will be held within the Central Stores and to add
and withdraw products according to their usage.
3. To agree product ranges which are appropriate for contracting by the University and
to undertake product adjudication and evaluation of tenders to meet the
requirements of Users.
4. To review and/or resolve any operational matters regarding the purchase, storage
and distribution of goods.
18
APPENDIX C
ETHICAL CODE
Staff should follow the guidance set out below:
a) Declaration of Interest - Any personal interest which may impinge or might
reasonably be deemed by others to impinge on a persons impartiality in any matter
relevant to his or her duties should be declared, in accordance with the University’s
policy.
b) Confidentiality and Accuracy of Information - The confidentiality of information
received in the course of duty should be respected and should never be used for
personal gain. Information given in the course of duty should be true and fair and
never designed to mislead.
c) Competition - While bearing in mind the advantages of maintaining a continuing
relationship with a supplier, any arrangement which might in the long-term prevent
the effective operation of fair competition should be avoided.
d) Business Gifts - Business gifts, other than items of very small intrinsic value such as
business diaries or calendars should not be accepted. Occasionally representatives
may wish to express their thanks for co-operation provided by University staff over a
particular issue, such thanks may be in the form of an item which has a modest
value. It is recommended that the item be donated to a charity or the
Department/Section may wish to organise a raffle from which the proceeds will be
given in support of a recognised and declared charity. Advice on such procedures
should be sought from the Deputy Director of Estate Management (Purchasing) to
avoid any misunderstanding.
e) Hospitality - Modest hospitality is an accepted courtesy of a business relationship.
However, the recipient should not allow him or herself to reach a position whereby
he or she might be, or might be deemed by others to have been influenced in making
a business decision as a consequence of accepting such hospitality. The frequency
and scale of hospitality accepted should not be excessive. A record of hospitality
should be kept within the Department/Section.
f) When it is difficult to decide between what is and is not acceptable in terms of gifts
or hospitality, the offer should be declined or advice sought from the member’s
superior.
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APPENDIX D
UNIVERSITY OF ESSEX
TO:
Deputy Director of Estate Management (Purchasing) / Procurement Manager
FROM:
DATE:
REQUEST TO ACCEPT SINGLE SOURCE TENDER / QUOTATION
NAME OF DEPARTMENT/SECTION/CENTRE
SPECIFICATION OF REQUIREMENTS (including quantity)
CATEGORY FOR EXEMPTION FROM COMPETITIVE TENDER / QUOTATION REQUIREMENTS (See
reverse for categories)
ADDITIONAL INFORMATION TO SUPPORT REQUEST
DETAILS OF OFFER
Supplier
……………………………………………..
Price (excluding VAT)
………………………………
SIGNATURE OF SUBMITTING MANAGER
……………………………..……..
RECOMMENDED FOR APPROVAL
SIGNATURE OF DEPUTY DIRECTOR
OF ESTATE MANAGEMENT (PURCHASING) OR
PROCUREMENT MANAGER
……………………………………
APPROVED/NOT APPROVED
SIGNATURE OF DIRECTOR OF FINANCE
…………………………………...
20
CATEGORIES FOR EXEMPTION FROM THE UNIVERSITY’S REQUIREMENTS TO SEEK COMPETITIVE TENDERS/QUOTATIONS FOR GOODS AND
SERVICES
The Purchasing Regulations do not require the invitation of competitive tenders or
quotations for the supply of goods or services (including the sale of goods by auction) or
for the execution of works in one or more of the following circumstances:
(i)
Such goods, services or works are obtainable only from one source and in the
opinion of the Deputy Director of Estate Management (Purchasing) or
Procurement Manager, no reasonably satisfactory alternative is available: in
this case a formal written estimate of the expenditure and agreement by the
supplier to the conditions of contract shall be first obtained.
(ii)
The price is wholly controlled by trade organisations or government order and
in the opinion of the Deputy Director of Estate Management (Purchasing) or
Procurement Manager no reasonably satisfactory alternative is available: in
this case a formal written estimate of the expenditure and agreement by the
supplier to the conditions shall be first obtained.
(iii)
The goods or services to be supplied or the work to be executed constitute an
extension of an existing contract, or to ensure technical continuity.
(iv)
They consist of urgent repairs to buildings (which shall include land) or plant
necessary to safeguard life, limb or necessary to maintain effective services in
the event of fire, subsistence, storm, flood or other emergency: in all
circumstances the Director of Estate Management, (or other Directors or
Heads of Department as appropriate) may obtain the necessary goods and
services or order the necessary works to be put in hand immediately and
he/she shall report to the next meeting of the Finance Committee of the
University if the expenditure is not otherwise provided for.
An exemption should not be sought where the anticipated cost is likely to exceed the
levels of the European Directives, with the exception of those contracts let in
accordance with the “negotiated” procedure.