Procurement Pro-forma – Single Tender Action Single Tender Action Description of what is being purchased and why it is required (what are we buying): BRIEF HIGH LEVEL DESCRIPTION OF NEED (TO BE COMPLETED BY APPLICANT) Budget Holder/Responsible Manager: Name of Supplier: ______________________________________________ ___________________________________________________________ Proposed payment profile: _____________________________________________________ Sterling (£) value of proposed purchase (excl vat): _________________________________ If a contract, proposed contract period/term (max 4 years typically): Work Order: ____________________ Budget Approved: Y/N RECOMMENDATION TO SENIOR MANAGEMENT (COMPLETED BY PROCUREMENT MANAGER) Comments on proposed purchase for senior management - see guidance note in green text overleaf ** NEED SATISFACTION FROM PROCUREMENT PERSPECTIVE MITIGATION Name: M.K.Smith Position: Procurement Manager Date: ___________________________ Signed: ___________________________ Authorised Single Tender Action Signatory) – Director of Finance (and Pro-Vice Chancellor over £50,000 excluding vat) or nominee: Name: ___________________________ Position: ___________________________ Date: ___________________________ Signed: ___________________________ 1|P a g e Reason for single tender action (see overleaf *) including proof that this proposal represents value for money (VFM) TO BE COMPLETED BY APPLICANT, PROVIDING FULL DETAIL OF THE REASONS FOR THE STA (SEE 5* OVERLEAF IN RED TEXT) AND ALSO HOW THIS REPRESENTS VALUE FOR MONEY) NB: - VFM might, for example, be demonstrated by comparisons with rates paid by other Universities/public sector bodies for the same need from the same supplier (being comparable or more favourable to AU) and/or any perceived cost saving/cost avoidance which arises from the proposed direct award, without prior competition. Conflict of Interest Consistent with section 5 of the AU Handbook of Financial Procedures I confirm that no conflicts of interest are declarable to the AU Executive related to this application. Applicant Name: ___________________________ Position: ___________________________ Date: ___________________________ Signed: ___________________________ Financial Approvals Budget Holder (may be same as applicant) Name: ___________________________ Position: ___________________________ Date: ___________________________ Signed: ___________________________ Institute Director (or nominee) or Head of Department (Service departments) Name: ___________________________ Position: ___________________________ Date: ___________________________ Signed: ___________________________ Research, Business & Innovation approved signatory (if applicable) (Procurement Manager also reserves the option to independently consult) Research Exemption Applies? Name: Emyr Reynolds Position: Head of Grants (RB&I) Date: ___________________________ Signed: ___________________________ 2|P a g e Reason for single tender action* : ALL REASONS PROVIDED MUST BE OBJECTIVELY EVIDENCED & DEFENSIBLE (FOR INTERNAL AUDIT SCRUTINY) – ONE OR MORE OF THE FOLLOWING MAY APPLY OR AN ADDITIONAL REASON NOT LISTED BELOW MAY BE RELEVANT. Notes i) Extreme Urgency – Such cases are more likely to be rejected where the reason for urgency is attributable to the person/department seeking to rely on it, especially where the reason for the urgency could also have been reasonably foreseen. ii) Absence of tenders, only one tender received or suitable tenders in response to an invitation – where evidence can be provided that you have tried to comply with financial regulations by inviting competitive tenders but you received either no bids in return, only one bid or none that you could accept as being compliant/suitable and you therefore want to negotiate a solution with a single supplier (justify this choice of supplier objectively). iii) For reasons of protection of exclusive rights or technical reasons there is only one possible supplier. Two tests must be satisfied: An objectively technical or exclusive rights reason must exist AND There must be only one possible supplier. Actual evidence of sufficient exposure to/engagement of the market to prove the case being claimed is expected (e.g. how have you engaged or researched the market in sufficient depth to objectively prove the single supplier argument – did you openly advertise for expressions of interest, for example, but got only one reply?) (iv) A direct award call off over £5,000 under a framework agreement – in this situation please provide details of how the decision to make a direct call off without re-opening competition was reached in terms of best value, with complimentary details of the circumstances, under the rules of the framework, which permit a direct award to be made (v) An extension or renewal (variation) of an existing contract is required – in this situation please provide supporting evidence as to how your request complies with all the qualifying requirements of 2.4.7 of the Handbook of Financial Procedures concerning contract variations. Additionally:If your request specifies technical reasons associated with additional goods/services/works having to be purchased from an existing supplier by contract variation, you will be expected to objectively demonstrate how separating your requirements here from those that have gone before would lead to major inconvenience to the University because of : Disproportionate technical difficulties with the proposed purchase if made from elsewhere OR Economic disadvantage to the University if the purchase is made from elsewhere OR Continuity is strictly necessary to the performance of a new contract. However, consistent with EU case law, if the value of your case here reflects a substantial modification to the original contract valuation and/or specification and/or the outcome is that an extended timeline is needed for the continuity requested then a new tender exercise may nonetheless still be required. (vi) Other reason, as applicable. 3|P a g e Reason for Rejection (as applicable) & further instructions APPROVED CASES MAY PROCEED AS FOLLOWS: The contractual position (i.e. who’s terms and conditions apply – ours or the supplier’s) must be agreed before any order is placed. Checks should be carried out on statutory matters (e.g. position of the supplier as regards the bribery act etc) – please consult the Procurement Manager for assistance. Any expenditure over the stated budget in this form requires additional written authorisation (before such funds can be committed) if your STA is approved. Consult the Procurement Manager as applicable. ** Head of Procurement Recommendation (on page 1):All STA applicants are respectfully reminded that under the 2015 EU Procurement Directives (called the Public Contract Regulations in the UK) and also consistent with the Welsh Government Procurement Policy Statement, single tender action (STA) proposals valued at £25,000 excl vat and above (either as a one off purchase or in aggregate over time) are not contemplated as being awardable without prior open advertisement of the requirement first. This legal requirement has been laid down to essentially encourage public purchasers to prove that no other suppliers (public or private sector) are interested in your procurement opportunity beyond the one you are claiming by openly advertising your proposed purchase upfront (and only getting the one bid back in response). The risk to the University of any failure to advertise an over £25k STA requirement first to prove that only one prospective supplier was actually interested in bidding for the opportunity could include:i) Legal action through the courts system by aggrieved suppliers and/or the EC, with hypothetically financial and/or reputational consequences. ii) Possible problems with future research fund defrayment and/or audits if the funding body (e.g. WEFO) do not formally recognise or accept the STA process at all. iii) Possible problems with any future Welsh Government procurement policy compliance audits. As a result, the Head of Procurements comments on your STA rationale will include reference to such risks so that University Management can in part assess your STA application against the background of this legal legislative requirement. PLEASE COMPLETE THIS FORM IN FULL AND SEND IT TO PROCUREMENT MANAGER - mks@aber.ac.uk 4|P a g e