Policies And Procedures Manual Procurement Procedures .

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Policies and Procedures ManualProcurement ProceduresProcurementPolicy titleProcurement ProceduresPrevious title (if any)Policy and Procedures for RegularProcurementPolicy objectiveThe policy on Procurement Proceduresoutlines the principles of UNFPA’sprocurement process.Target audienceThe policy applies to all UNFPA personnelinvolved in the procurement process.Risk control matrixControls of the process are detailed in theRisk control matrixChecklistN/AEffective date15 June 2019Revision HistoryPrevious revisions:Mandatory revision dateRev. 4 April 2015Rev. 3 October 2012Rev. 2 October 2001December 2021Policy owner unitProcurement Services BranchApprovalLink to signed approval template

Policies and Procedures ManualProcurement ProceduresProcurementTable of ContentsI PURPOSE1II POLICY1III PROCEDURES111. INTRODUCTION111.1 Application and principles111.1.1 Application111.1.2 Principles151.2 Regulatory framework171.3 Procurement principles211.3.1 Best value for money221.3.2 Fairness, integrity and transparency221.3.3 Open and effective international competition231.3.4 The interest of UNFPA241.4 Ethical standards241.4.1 General considerations241.4.2 Financial disclosure and declaration of interest261.4.3 Ethics in dealing with suppliers261.4.4 Gifts, hospitality and outside activities271.4.5 Proscribed practices by suppliers281.4.6 Fraud prevention in the procurement process281.5 UNFPA-specific topics2. ORGANIZATION OF PROCUREMENT2.1 Overview of procurement process2829292.1.1 Outline of the procurement process292.1.2 Types of procurement302.1.3 Documentation of the procurement process302.2 Key responsibilities of the various UNFPA organizational units312.3 Organization and function of procurement department38

Policies and Procedures ManualProcurement ProceduresProcurement2.4 Procurement authority382.5 Modification of individual procurement authority382.5.1 Delegation of procurement authority382.5.2 Delegation of procurement authority to UNFPA officers at headquarters382.5.3 Delegation of procurement authority to field office managers412.5.4 Delegation of procurement authority under the terms of the UNFPA Internal ControlFramework (“ICF”)432.5.5 Withdrawal of delegation of procurement authority2.6 UNFPA-specific topics3. SUPPLIER REGISTRATION AND MANAGEMENT4343443.1 Supplier registration443.2 Supplier management453.2.1 Supplier appraisal453.2.2 Contractor evaluation453.3 Vendor ineligibility463.4 UNFPA-specific topics474. PROCUREMENT STRATEGY AND PLANNING484.1 Procurement strategy484.2 Requirements definition484.2.1 Specifications504.2.2 Terms of reference (“ToR”)504.3 Acquisition planning514.3.1 Annual procurement plans514.3.2 Summary of the procurement planning process534.3.3 Timelines of the procurement planning and implementation process for field offices 614.4 Requisitions664.4.1 Lead times674.4.2 Entry674.4.3 Approval694.5 Standardization70

Policies and Procedures ManualProcurement ProceduresProcurement4.6 Funding requirements704.7 UNFPA-specific topics704.7.1 Goods and services requiring headquarters authorization for procurement704.7.2 Requirements regarding specific needs714.7.2.1 Other reproductive health commodities, pharmaceuticals and medical devices,medical equipment, in vitro diagnostic products and lubricants (not covered by UNFPALTAs)714.7.2.2 Procurement of Vehicles734.7.2.4 Security in field offices and headquarters business units765. SOURCING775.1 Sourcing of suppliers775.2 Market research775.3 Advertisement775.3.1 Advertisement of business opportunity785.3.2 Request for expression of interest (“REoI”)785.4 Request for information (“RfI”)795.5 Pre-qualification of suppliers795.6 UNFPA-specific topics806. SOLICITATION816.1 Overview816.2 Types of competition826.2.1 Open international competition836.2.2 Limited competition836.3 Solicitation methods6.3.1 Informal methods of solicitation (under USD 100,000):84856.3.1.1 Shopping (under USD 5,000, under USD 10,000 for headquarters business unitsand regional offices)856.3.1.2 Request for quotations (RFQ) (USD 5,000 (USD 10,000 for headquarters businessunits and regional offices) and below USD 100,000)856.3.2 Formal methods of solicitation (USD 100,000 and above)87

Policies and Procedures ManualProcurement ProceduresProcurement6.3.2.1. Invitation to bid876.3.2.2 Request for proposal (RFP)896.3.3 Solicitation of offers against existing UNFPA LTAs916.3.3.1 Fixed prices versus ceiling prices LTAs916.3.3.2 Solicitation of offers by country offices against PSB LTAs946.3.3.3 Solicitations against existing United Nations system LTAs946.3.4 Budget range956.3.5 Nominal fees for costs of solicitation956.4 Solicitation documents966.4.1 Preparation of solicitation documents966.4.2 Types of solicitation documents966.5 Components of solicitation documents966.6 Invitation of suppliers6.6.1 Approval and issuance of solicitation documents6.6.1.1 Pre-clearance by PSB for solicitations exceeding USD 100,0001031031036.6.1.2 Pre-clearance by ITSO for all solicitations related to information technologysystems and solutions1036.6.1.3 Pre-clearance by UNFPA’s Media and Communications Branch (“MCB”) for allsolicitations related to UNFPA publications1046.6.1.4 Pre-clearance by FASB for all solicitations related to constructions, renovationand vehicles1046.6.1.5 Pre-clearance by OSC of solicitations for all security related equipment (includingcommunication equipment), goods and services1046.6.2 Solicitation of offers in situations of direct contracting6.7 Communication with suppliers1051056.7.1 Queries from suppliers, pre-bid conference and site inspection1056.7.2 Amendments to solicitation documents1076.8 Exceptions to formal methods of solicitation1076.9 Emergencies1126.10 E-procurement system112

Policies and Procedures ManualProcurement Procedures6.11 UNFPA-specific topics7. MANAGEMENT OF SUBMISSIONS7.1 Receipt and safeguarding of submissions7.1.1. Submissions:Procurement1121171171177.1.1.1 Electronic submissions1177.1.1.2 Mail or by hand submissions1177.1.2 Authorized submission manners1187.1.3 Safeguarding of submissions1197.2 Modification and withdrawal of submissions1217.2.1 Modification of submissions1217.2.2 Withdrawal of submissions1227.3 Unsolicited offers – Limited competition1227.4 Opening and recording of submissions1237.4.1 Opening of offers1237.4.2 Bid opening panel1237.4.3 Opening of quotations - RFQ1247.4.4 Opening of bids - ITB1247.4.5 Opening of proposals – RFP1257.4.6 Opening of proposals – secondary bidding1277.5 Rejection of submissions1277.6 UNFPA-specific topics1288. EVALUATION OF SUBMISSIONS1298.1 Overview1298.2 Evaluation committees1308.3 Evaluation criteria1328.3.1 Formal criteria1328.3.2 Technical and qualification criteria1338.3.3 Financial criteria1348.4 Evaluation methodology135

Policies and Procedures ManualProcurement ProceduresProcurement8.4.1 Selection and award1358.4.2 Material deviation1368.4.3 Evaluation methods1378.4.3.1 Lowest priced, most technically acceptable offer methodology (shopping andRFQ)1388.4.3.2 Lowest priced, substantially compliant offer methodology (ITB)1398.4.3.3 Cumulative analysis methodology (RFP)1418.5 Preliminary screening1438.6 Commercial (financial) evaluation1438.7 Technical evaluation1458.7.1 Technical compliance evaluation1458.7.2 Supplier qualification1468.8 Further aspects of evaluation1478.9 Discussion with suppliers1478.9.1 Clarifications from suppliers1478.9.2 Complaints1488.9.3 Modification of offers1498.9.4 Negotiations1498.9.5 Best and final offer (BAFO)1528.9.5.1 BAFO when dealing with RFPs1528.9.5.2 BAFO when dealing with ITBs1538.10 Recommendation1538.11 UNFPA-specific topics1549. PROCUREMENT PROCESS REVIEW AND DECISIONS9.1 Organization of procurement review1551559.1.1 Preparation of submission for review and award1559.1.2 Terms of reference1579.2 Membership/composition/minimum training requirements1579.2.1 Composition of local contracts review committee (LCRC)1579.2.2 Composition of contracts review committee (“CRC”)158

Policies and Procedures ManualProcurement ProceduresProcurement9.2.3 Conflict of interest1609.2.4 Minimum training requirements for newly appointed CRC members1609.3 Organization of work/schedule1609.3.1 Schedule of LCRC1609.3.2 Schedule of CRC1609.4 Scope of review1619.4.1 Scope of review – LCRC1619.4.2 Scope of review – CRC1629.4.3 Matters outside the scope of review of the LCRC/CRC1639.5 Submissions to review1639.5.1 Submission of proposals – LCRC1639.5.2 Submission of proposals – CRC1649.6 Decisions/recommendations1659.6.1 LCRC1659.6.2 CRC1659.7 Minutes/review documentation and circulation1669.7.1 Review and circulation - LCRC1669.7.2 Review documentation and circulation – CRC1669.8 Emergencies and exigencies1669.9 Post facto submissions1669.10 UNFPA-specific topics16810. AWARDS10.1 Award and finalization16916910.1.1 Identification of the winning offer16910.1.2 Suppliers with pending claims, disputes and contentious issues16910.1.3 Award17010.2 Supplier notification, debriefing and protest17010.2.1 Supplier not awarded17010.2.2 Posting of awarded contracts171

Policies and Procedures ManualProcurement ProceduresProcurement10.2.3 Bid protest procedures10.3 UNFPA-specific topics11. CONTRACTUAL INSTRUMENTS11.1 Overview17117217317311.1.1 Financial approvals and thresholds17411.1.2 Communication with suppliers at the stage of establishing the contract17411.2 Standard contract elements17511.2.1 General Conditions of Contract17511.2.2. Taxes and duties17611.2.3 Freight17711.2.4 Technical specifications/terms of reference17711.2.5 Signature and issuance17711.3 Purchase orders17711.3.1 Approval17811.3.2 Commitment of funds17911.3.3 Dispatch of purchase order17911.3.4 Vendor acceptance17911.3.5 Amendment/revision17911.3.6 Payment terms and advance payments18011.3.7 Summary of Atlas function in issuing and managing the Purchase Order andresponsibilities18011.4 Long-term agreements (LTAs)18411.5 Works and construction contracts18911.6 Contract for professional services18911.7 Legal instruments further to the use of “shopping”19011.8 UNFPA-specific topics19112. PROCUREMENT AND LOGISTICS12.1 Overview19219212.1.1 Logistics planning process, lead time and calculator19212.1.2 Order Tracking System (“OTS”)194

Policies and Procedures ManualProcurement ProceduresProcurement12.2 Packing and labelling19512.2.1 Packing19512.2.2 Shipping instructions19812.2.3 Shipping documents19912.2.4 Labelling and shipping marks20112.3 Shipping and transportation20112.3.1 Modes of transportation20112.3.2 Forwarding agents20312.3.3 Incoterms20312.4 Insurance12.4.1 Insurance during transportation20420412.4.1.1 International procurement conducted by PSB or by the COs20512.4.1.2 Local procurement by field offices20512.4.2 Warehouse insurance20512.4.3 Insurance Claims20612.5 Reception, inspection and return20712.5.1 Physical receipt of goods and services20712.5.2 Shortage-damage-discrepancy20812.5.3 Physical and financial receipt of purchase orders issued by PSB for field dutystations20912.5.4 Physical and financial receipt of purchase orders (POs) issued by PSB forheadquarters, New York21512.5.5 Physical and financial receipt of purchase orders issued in field duty stations21512.5.7 Consignee and custom clearance21612.6 UNFPA-specific topics13. CONTRACT MANAGEMENT21621713.1 Overview21713.2 Vendor performance evaluation21813.2.1 Purchase order based evaluation21813.2.2 LTA based evaluation219

Policies and Procedures ManualProcurement Procedures13.2.3 Contracts for security services13.3 RemediesProcurement22022013.3.1 Termination22013.3.2 Liquidated damages22013.4 Dispute resolution22113.5 Payments22213.5.1 Financial management and payments22213.5.2 Payments22213.5.3 Advance payments22213.5.4 Taxes22513.6 Amendments and change management22513.7 Contract termination or closure22613.8 Property disposal22613.9 Maintenance of files22713.10 UNFPA-specific topics22714. COOPERATION14.1 Cooperation with United Nations entities22822814.1.1 Cooperation with other United Nations entities22814.1.2 Joint solicitation22814.1.3 Reuse of United Nations entity tender results22814.1.4 United Nations entity LTA22914.1.5 Procurement from a United Nations entity22914.1.6 Outsourcing to a United Nations entity23014.2 Cooperation with external partners23014.2.1 Definitions23014.2.2 UNFPA procurement services23114.3 Cooperation with other organizations23214.3.1 Grants, revolving funds and pooled funds23214.3.2 Implementing partners232

Policies and Procedures ManualProcurement ProceduresProcurement14.4 UNFPA-specific topics15. TRANSVERSE TOPICS23223315.1 Global Compact23315.2 Sustainable procurement23315.3 Risk management23415.3.1 Quality assurance policy23415.3.2 Quality control and monitoring23515.4 UNFPA-specific topics15.4.1 Global Contraceptive Commodity Programme (“GCCP”)23823815.4.1.1 Background23815.4.1.2 Funding23915.4.1.3 Inventory management23915.4.1.4 Stock ordering and replenishment23915.4.1.5 Annual stock check23915.4.1.6 Procurement of emergency reproductive health kits from GCCP stock24015.4.1.7 Quality assurance24115.4.1.8 Disposal of unusable stock24115.4.2 In-kind contributionsIV OTHER241242Note242Definitions243V PROCESS FLOW CHARTS249VI RISK CONTROL MATRIX251

Policies and Procedures ManualProcurement ProceduresProcurementI PURPOSEThe UNFPA Procurement Procedures establish the processes and controls necessary to acquiregoods and services from legal entities in compliance with UNFPA’s Financial Regulations andRules, including in particular the principles of public procurement, as outlined in this document.As UNFPA manages public funds, it is imperative all its procurement activities are conducted atthe highest level of fairness, transparency, integrity, economy and effectiveness.II POLICYThis policy outlines UNFPA's key control actions to mitigate potential risks related to the processof procuring goods and services and establishes the key requirements outlined below:Principles, Ethics and Governing

Procurement Procedures Procurement 2.4 Procurement authority 38 2.5 Modification of individual procurement authority 38 2.5.1 Delegation of procurement authority 38 2.5.2 Delegation of procurement authority to UNFPA officers at headquarters 38 2.5.3 Delegation of procurement authority to field office managers 41

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