Invest NI Funded Research Grants
- Procurement Procedures
Monday 8 December 2014
Participants
• Heather Hamilton, Deputy Director of Finance
• David Robinson, Head of Research Finance
• Jackie Glackin, Head of Procurement (Acting)
Content
• Welcome and introduction
-
Heather Hamilton
• Context and background
-
David Robinson
• Changes to procurement
-
Jackie Glackin
• Summary of requirements
-
Jackie Glackin
• Undertaking a Invest NI Tender
-
Jackie Glackin
• Sole Source Supplies
-
Jackie Glackin
• Summary
-
Heather Hamilton
• Questions
Welcome and Introduction
•
Communications in November 2014 to:
•
Changes in Procurement Procedures – Invest NI Funded Research
Grants
•
Series of Information Sessions for staff with ‘live’ Invest NI projects
•
Immediate effect
Heads of School
School Managers
Principal Investigators
Nominated Buyers
Research Funding From Invest NI
Context:
• 2013-14: 38 new grants awarded; value £4.9m
• 2013-14: research income of £4.7m
• Total portfolio of live 70+ grants; value £20.8m
Programmes included:
•
•
•
•
Grants for R&D
Proof of Concept Programme
Competence Centre
START Programme
Invest NI is an important source of funding for research at Queen’s
Reasons for the Changes in Procurement Procedures
•
Invest NI Funding - EU ERDF Programme for Northern Ireland known
as the EU’s Sustainable Competitiveness Programme (EUSCP).
•
ERDF expenditure must comply with CPD’s procurement policy and
procedures.
•
For NI, ERDF compliance is overseen by the Department of Enterprise,
Trade and Industry (DETI).
•
DETI undertook a review of Invest NI’s vouching process to ensure
compliance and identified that Invest NI were not checking that
University spend on grants was complying with CPD.
•
Invest NI informed both NI Universities in Autumn 2013 that compliance
with CPD procedures would in future be included in vouching of
expenditure on grants.
Reasons for the Changes in Procurement Procedures
•
We compared University purchasing procedures to CPD requirements.
•
Identified number of differences.
•
Prolonged discussion with Invest NI – to convince them that existing
University’s procurement procedures were robust.
•
Conclusion – Invest NI not prepared to move on this.
•
Formal notification was issued to UU and Queen’s in the Summer 2014
•
If we accept Invest NI funding then we must play by the CPD rules.
Impact
•
University must demonstrate that all relevant expenditure on grants
complies with CPD regulations – checks made in vouching.
•
Where we cannot demonstrate compliance with CPD – ‘financial
penalties’ will be applied (i.e. costs disallowed).
•
Result – bespoke procedures for procurement on Invest NI grants.
•
Attempted to minimise the differences in approach – aimed to keep
requirements as simple as possible but still compliant with CPD.
•
Very conscious of the impact of these changes on all involved.
What has Changed?
Procurement
Threshold
Current Procedure
New Procedure
(INI Funding Only)
<£2,500 (ex VAT)
Use existing contracts
or direct purchase
Use existing contracts or
obtain at least 2 price
checks
£2,500 to
£30,000
Use existing contracts
or obtain 3 quotations
Use existing contracts or
obtain at least 2 competitive
tenders
> £30,000
A public tender must
be undertaken by the
Procurement Team
As current procedure
What has Changed?
<£2,500
•
Use existing contracts where feasible which comply with INI
procurement regulations
•
Obtain 2 price checks from 2 different suppliers (via internet search,
email or verbal price check)
•
Records must be retained for inspection via INI
£2,500 to £30,000
•
Use existing contracts where feasible which comply with INI
procurement regulations
•
Obtain 2 tenders from 2 different suppliers
•
Records must be retained for inspection via INI
Undertaking a Tender Exercise
Specifying the Goods/Services
•
•
•
•
Specification – input or output based
Use of brand names not permitted
Select evaluation criteria (Price Only or Price/Quality)
Tenders issued at the same time with closing date and time
stipulated
Receipt and Evaluation
•
•
Tenders opened at same time and replies recorded
Evaluated and scored against the criteria outlined
Undertaking a Tender Exercise
Award
•
•
•
Award decision communicated to all tenders within 15 days of outcome
Feedback provided to unsuccessful bidder if requested (NB must not
include commercially sensitive information)
Raise purchase order and provide tender documentation to
Procurement
To access INI tender templates or obtain further advice or guidance,
please refer to the Procurement Office website or speak to the
Procurement Team:
http://www.qub.ac.uk/directorates/FinanceDirectorate/Procurement/Procur
ementforResearch/InvestNIFundingSpecificProcurementProcedure/
Sole Source Supplies
•
Strongly discouraged
•
If unavoidable, a Sole Source Supplier Declaration must be
completed and include justification for use
•
Completed Declarations must be approved by the relevant signatories
prior to order being raised.
Sole Source Supplies
A template for Sole Source Supplier Declarations is available from the
Procurement Office website:
http://www.qub.ac.uk/directorates/FinanceDirectorate/Procurement/Proc
urementforResearch/InvestNIFundingSpecificProcurementProcedure/
Summary
• Revised procurement procedures for Invest NI funded
research grants
• Immediate effect
• Weblink included for further information
Questions?
Finance Directorate staff in Procurement and Research Finance
Offices can provide further guidance if required.