Contract Procedure Rules

These Contract Procedure Rules (CPRs) set out the key responsibilities and actions that Members, Officers and Directors must follow when undertaking procurements.

All procurements and contracting arrangements made by or on behalf of the Council must be carried out in accordance with these CPRs. Rule 25 sets out the only circumstances in which the other Rules are specifically excluded or may be waived. Appendix A contains a series of definitions. Any term which is defined is shown in the CPRs beginning with a capital letter.

Maintained Schools

Where Maintained Schools enter into Contracts, they do so as agents of the Council. Accordingly Maintained Schools must follow these CPRs in addition to the York Scheme for Financing Schools (the Scheme), except where specifically stated otherwise. Where any conflict exists between these CPRs and the Scheme, the rules of the Scheme shall prevail.

Specific governance thresholds for Maintained Schools are set out in Appendix B. These are to be used in place of the thresholds contained at Rule 7.

For the purposes of these CPRs, the Authorised Officer for a Maintained School shall be the Head Teacher and the Chief Officer and/or Director shall be the Governing Body.

1. Basic Principles and Compliance

All procurement procedures and every Contract entered into by the Council must:

1.1 realise value for money by achieving the optimum combination of whole life costs, and quality of outcome;

1.2 be consistent with the highest standards of integrity;

1.3 operate in a transparent and open manner;

1.4 ensure fairness in allocating public contracts;

1.5 comply with all legal requirements including the Procurement Regulations and any other applicable international treaty principles of proportionality, mutual recognition, transparency, non-discrimination and equal treatment;

1.6 comply with the Council’s Constitution, these CPRs and the Council’s Financial Regulations;

1.7 comply with the Council’s strategic objectives and policies, including the Council’s Procurement Strategy and the Council’s Employee and Member Codes of Conduct; and

1.8 comply with the guidance set out in the Procurement Toolkit which should be read in conjunction with these CPRs;

These CPRs are applicable to the contracting activities of any Strategic Partnership for which the Council is the Accountable Body unless the Council expressly agrees otherwise.

2. Officer Responsibilities

2.1. Authorised Officers

2.1.1 Authorised Officers must comply with these CPRs, the Council’s Constitution and all UK and applicable international legal requirements. Authorised Officers must ensure that any agents, consultants and contractual partners acting on their behalf also comply with these requirements.

2.1.2 Authorised Officers must:

(a) consult and seek advice from Commercial Procurement in relation to any proposed procurement prior to any work commencing;

(b) ensure, in relation to any proposed procurement, that the proposed procurement expenditure is contained in the Procurement Pipeline (https://data.yorkopendata.org/dataset/cyc-procurement-pipeline)and contained within an approved budget secured prior to commencement of the procurement in accordance with the Financial Regulations;

(d) take all necessary procurement, legal, risk & insurance, financial, data protection and professional advice, taking into account the requirements of these CPRs;

(e) prior to carrying out a procurement process or letting a Contract on behalf of the Council, check whether:

(i) the Council already has an appropriate Contract in place on the Contract Register; or

(ii)an appropriate national, regional or other collaborative contract is already in place.

Commercial Procurement and Legal Services must be consulted prior to any work commencing;

(f) if the Council already has an appropriate Contract in place, ensure that it is used, (unless it can be established that the Contract does not fully meet the Council’s specific requirements (to be determined on a case-by case-basis)), following consultation with Commercial Procurement and Legal Services;

(g) ensure that if an appropriate national, regional or collaborative contract is available, consideration is given to using such contract, provided the contract offers Best Value. Authorised Officers must consult with Commercial Procurement to discuss;

(h) ensure that, where any employee (either of the Council or of a Supplier) may be affected by any transfer arrangement, consideration is given to any TUPE issues and legal and HR advice from within the Council is obtained prior to any work on the procurement exercise commencing;

(i) consult with all relevant stakeholders, including trade unions and service users where TUPE may apply, to identify and assess all options to ensure the Council’s required outcomes are achieved;

(j) in consultation with Commercial Procurement, establish a written specification and evaluation criteria (where competition is involved) and procurement methodology which must be formally approved at the relevant governance thresholds outlined in Rule 8 - Powers and Key Decisions (note the relevant decision-making body as identified in the governance thresholds may give Authorised Officers written delegated authority to define the specification and evaluation criteria themselves);

(k) consult and seek advice from Legal Services prior to beginning a procurement where:

(i) TUPE applies; and/or

(ii) the procurement exceeds £150,000 in aggregate for the whole contract period (including any extensions);

(l) consult and seek advice from the Information Governance team prior to beginning a procurement where the service to be procured involves personal data;

(m) inform Commercial Procurement of all completed procurements with a value of £5,000 or more so that Commercial Procurement can upload the relevant information on the Contract Register.

2.1.3 Failure to comply with any of the provisions of these CPRs, the Council’s Constitution, UK law or other applicable international legal requirements will be brought to the attention of the Head of Procurement, Monitoring Officer, Head of Internal Audit, or relevant Director as appropriate. Depending on the nature of the non-compliance, this may result in disciplinary action being taken.

2.2 Chief Officers

Chief Officers must:

2.2.1 ensure their service area fully complies with the requirements of these CPRs;

2.2.2 ensure contracts are recorded on the Contract Register, as held and maintained by Commercial Procurement;

2.2.3 work with Commercial Procurement to identify the total expenditure relating to a particular category of spend by developing a Category Plan;

2.2.4 ensure that their service area provides the requisite information to allow Commercial Procurement to maintain and update the Procurement Pipeline;

2.2.5 ensure all procurement activity is undertaken by suitably skilled and experienced staff;

2.2.6 ensure all contracts have a dedicated Contract Manager for the duration of the contract;

2.2.7 ensure all officers report through the Procurement Challenge Board gateway process (where applicable);

2.2.8 report any breaches of these CPRs to the Monitoring Officer and Head of Procurement.

3. Relevant Contracts

3.1 All Relevant Contracts must comply with these CPRs. A Relevant Contract is any arrangement made by, or on behalf of, the Council for the carrying out of works or the provision of supplies or services. These include arrangements for:

3.1.1 the supply or disposal of goods;

3.1.2 the carrying out of building or engineering works;

3.1.3 the hire, rental or lease of goods or equipment;

3.1.4 the delivery of services;

3.1.5 land and property transactions involving those elements set out in Rule 3.3 below; and

3.1.6 the delivery of shared services and/or collaboration arrangements between the Council and other public authorities and/or public bodies and/or related overarching arrangements.

3.2 The following will not be classed as Relevant Contracts:

3.2.1 contracts of employment which make an individual a direct employee of the authority (whether on a permanent or temporary basis) and/or secondment arrangements;

3.2.2 subject to Rule 3.3, agreements relating solely to the acquisition, disposal, or transfer of land (to which the Financial Regulations apply);

3.2.3 subject to Rule 4, the payment of grants to third parties; or

3.2.4 those contracts/arrangements which are specifically excluded in accordance with Rule 25 below.

3.3 Any acquisition, disposal, or transfer of land which involves elements requiring the supply of works, goods and/or services to or on behalf of the Council shall be treated as a Relevant Contract and these CPRs shall apply to all aspects of the procurement of those works, goods and/or services. Officers must consult with Legal Services and Property Services as appropriate to ensure compliance with this Rule 3.3.

4. Grants

Grants given by the Council

4.1 Where the Council is required to carry out works or deliver goods or services, the Council cannot elect to award a Grant where the sole purpose for doing so would be to avoid conducting a competitive tender process in accordance with these CPRs.

4.2 Taking into account Rule 4.1 above, when procuring the provision of services, supplies or works Directors shall consider whether a Grant would be a preferable means to achieving its objectives rather than following a competitive tender process. Directors shall consult with Commercial Procurement and Legal Services.

4.3 A Grant may only be awarded in circumstances where:

4.3.1 there is a legal power to make a Grant for the purpose envisaged; and

4.3.2 the making of the Grant does not contravene UK, EU or any other applicable international rules on state aid or subsidy control.

4.4 Where the value of a Grant is less than £500,000 over three (3) years, the Director shall have the discretion to conduct a competitive Grant application process for the award of that Grant if doing so demonstrates best value for the Council. If a Director is not conducting a competitive Grant application process, then the Best Value Grant Form must be completed to capture the rationale for the decision. Directors must consult with Legal Services regarding rules and advice on subsidy control prior to commencing.

4.5 Where the value of the Grant exceeds £500,000 over three (3) years but is less than the relevant Procurement Threshold a competitive Grant application process must be completed in consultation with Commercial Procurement. The opportunity must be advertised on the E-Sourcing System in consultation with Commercial Procurement.

4.6 Legal Services must be consulted in relation to drafting an appropriate Grant agreement. The Authorised Officer shall take all such steps as are appropriate to monitor and review the performance of the Grant agreement, having regard to its value, nature, duration and subject matter. As part of the Grant monitoring and review process, the Authorised Officer shall maintain adequate records of performance and details of review meetings with the Grant recipient.

4.7 All Authorised Officers must complete the Best Value Grant form which is available from the Commercial Procurement team.

Grants received by the Council

4.8 Where a Grant is being received by the Council, Legal Services must be consulted at the application stage in relation to:

4.8.1 any Subsidy Control implications;

4.8.2 the Grant agreement.

4.9 The Authorised Officer shall take all such steps as are appropriate to monitor and review the performance of the Grant agreement to ensure the Council is fulfilling any obligations contained within it.

4.10 Where a procurement process is funded, in whole or part, by external funding which has been awarded to the Council by an external funding body, the Authorised Officer must consult with Commercial Procurement and Legal Services to ensure that any rules or conditions imposed by the funding body are adhered to in addition to the requirements of these CPRs.

4.11 Where there is any conflict between these CPRs and the rules or conditions imposed by the funding body, the stricter requirement should be followed.

5. Records

5.1 The Procurement Regulations require Contracting Authorities to maintain the following comprehensive records of procurement activities:

5.1.1 contract details including value;

5.1.2 selection decision;

5.1.3 justification for use of the selected procedure;

5.1.4 names of bidding organisations, both successful and unsuccessful;

5.1.5 reasons for selection and rejection;

5.1.6 reasons for abandoning a procedure;

5.1.7 details of sub-contractors;

5.1.8 conflicts of interest identified and action taken.

5.2 The outcome of any competitive procurement process must be recorded in electronic format on the E-Sourcing System. Information from the E-Sourcing System will also be used for the tracking of procurement savings, sustainability benefits, and other data.

5.3 Commercial Procurement maintains the Contract Register which records key details of all Contracts (including contract reference numbers) with an aggregate value of £5,000 or more.

5.4 Full records of all contract documentation, quotations, estimates, tenders and any other correspondence pertinent to the award or acceptance of a Contract must be kept by Commercial Procurement for the duration of the Contract and a minimum of six (6) years after the Contract has expired or twelve years after the Contract has expired where it is executed under common seal as a deed.

5.5 It is the responsibility of Chief Officers to ensure that all Contracts are properly entered into, administered and controlled to safeguard the Council’s interests, secure Best Value and minimise the risk of theft, fraud, collusion and corruption.

5.6 Officers must comply with any Council requirements to record decisions on the Officer Decision Log.

6. Advertising

6.1 Officers must liaise with Commercial Procurement to ensure that the minimum advertising requirements are met in line with the Procurement Regulations when conducting any procurement process (including Framework Agreements, Dynamic Purchasing Systems or Dynamic Markets). Officers should refer to the further guidance in the Procurement Toolkit.

6.2 Where Contracts with a value of £30,000 (including VAT) and above are advertised anywhere, they must first be advertised on Contracts Finder.

6.3 Where Contracts have a value above the relevant Procurement Threshold they must be advertised on Find a Tender, the Central Digital Platform.

7. Powers and Key Decisions

7.1 This Rule 7 does not apply to Maintained Schools, who must consult the governance thresholds contained at Appendix B.

7.2 In consultation with the Monitoring Officer, Directors must ensure that the Council has the legal power to enter into any Contract.

7.3 Directors must ensure that they have delegated powers to enter into any Contract or to grant another Officer authority to do so.

7.4 No Contract will be entered into unless an adequate budget is in place.

7.5 Where a decision has already been made by Executive or an Executive Member and the budget is in place to permit a course of action then further approval is not required to award Contracts necessary to implement that decision.

7.6 Where schemes are included in the Capital Programme this has already been approved and further Executive approval is therefore not required. However, officers must follow the Procurement Challenge Board process to seek approval to procure and any other gateways deemed necessary. Approval to proceed on any scheme must be given by the Chief Finance Officer.

7.7 It is recommended that any approval sought includes a specific delegation to the Authorised Officer to award the Contract at the conclusion of the procurement. In other circumstances the procedure set out in Rules 7.9 to 7.11 below must be followed.

7.8 Where the aggregate contract value (including any extension) is £250,000 or less, Directors may agree or authorise another Officer to enter a Contract under their delegated powers.

7.9 Where the aggregate contract value (including any extension) is between £250,000 and £500,000, the decision to enter the contract requires the approval of an Executive Member or the Executive unless the procurement is treated as Routine as defined in Rules 7.12 and 7.13 below.

7.10 Where the aggregate contract value (including any extension) exceeds £500,000 the decision will be regarded as a Key Decision unless the Chief Finance Officer acting in consultation with the Monitoring Officer has approved the procurement as Routine in accordance with Rules 7.12 to 7.13 below.

7.11 A Routine procurement is any arrangement that represents a low commercial and legal risk to the Council and involves the procurement of goods, services or works with a clearly defined specification that clearly relate to core administrative, infrastructure or business functions of the Council (a set list of such services is set out in Appendix C). A Routine Procurement request form must be completed alongside an Officer Decision Form.

7.12 A procurement which relates to the carrying out of a statutory function of the Council shall not be considered Routine.

7.13 Where Officers consider a procurement process may be Routine, they must complete the Routine Procurement request form and submit to the Head of Procurement. Authorisation to treat a procurement as Routine must be sought before the procurement process commences. Any requests received after the event, will be recorded as a breach.

7.14 A Director may enter into a Contract regardless of value where the procurement has been treated as Routine and an officer decision form must be completed and published.

7.15 A register of Routine procurements will be maintained and reported to the Executive Member for Finance, Performance, Major Projects & Equalities.

7.16 In relation to all Key Decisions, Authorised Officers must ensure that all authorisations are in place before the procurement process begins.

7.17 Notice of every Key Decision must be published on the Council’s Forward Plan.

7.18 The Executive scheme of delegation requires that all Key Decisions are reserved to the Executive unless specifically delegated to an Executive Member or an Officer or where the Leader and Chief Operating Officer are acting in case of urgency.

7.19 This Rule 7 applies to all Relevant Contracts and all Call-Offs from Framework Agreements, Dynamic Purchasing Systems or Dynamic Markets.

8. Pre-Tender Market Testing, Consultation and Deciding on the appropriate Procurement Route

8.1 The Council may consult potential Suppliers by conducting a Pre Market Engagement Event following publication of the associated notice, prior to the issue of the Invitation to Tender or Request for Quotation, in general terms about the nature, level and standard of the supply, contract packaging and other relevant matters, provided this does not prejudice any other potential Supplier.

8.2 When engaging with potential Suppliers, the Council must not seek or accept technical advice from them on the preparation of an Invitation to Tender or Request for Quotation where this may prejudice the equal treatment of all potential Suppliers or otherwise distort competition.

8.3 In the case of the re-procurement of an existing Contract, sufficient care must be taken to ensure that the process is fair and is seen to be fair. The objective is to ensure a level playing field for all potential Suppliers whilst acknowledging that any incumbent Supplier has an inherent advantage due to having previously worked for the Council. Advice must be sought from Commercial Procurement to ensure the specification is clear and unambiguous.

8.4 In undertaking any market testing activities or consultation with potential Suppliers, the Authorised Officer, in consultation with Commercial Procurement, must publish a Preliminary Market Engagement Notice on Find a Tender, the Central Digital Platform.

8.5 If a Preliminary Market Engagement Notice is not published on to Find a Tender, the Central Digital Platform, justification must be provided and published within the procurement tender notice.

9. Framework Agreements, Dynamic Purchasing Systems and Dynamic Markets

9.1 Call-off contracts or orders made under Framework Agreements, Dynamic Purchasing Systems or Dynamic Markets must be operated in accordance with these CPRs and/or the requirements of the Framework Agreement or Dynamic Purchasing System or Dynamic Market themselves.Further advice must be sought from Commercial Procurement.

9.2 Where a Framework Agreement with more than one supplier provides an option for a direct Call-Off to one Supplier, this can only be done if all the following conditions are met:

9.2.1 The Framework Agreement’s process for doing so is followed;

9.2.2 A transparency notice is published on Find A Tender, the Central Digital Platform;

9.2.3 The aggregate Contract value (including VAT) and including any extension) is less than £500,000;

9.2.4 Where the aggregate Contract value (including any extension) exceeds £500,000, the relevant Chief Officer has approved the direct Call-Off method after advice from the Authorised Officer and Commercial Procurement; and

9.2.5 Conditions for Direct Award under Procurement Regulations are met

Establishment of Framework Agreements, Dynamic Purchasing Systems and Dynamic Markets

9.3 Authorised Officers (in conjunction with Commercial Procurement and Legal Services) may establish a Framework Agreement, Dynamic Purchasing System or Dynamic Market. The Head of Procurement must agree to the establishment of any Framework Agreement, Dynamic Purchasing System or Dynamic Market prior to any selection or procurement processes being undertaken. The Framework Agreement, Dynamic Purchasing System or Dynamic Market is otherwise treated as any other procurement and will follow the same levels and process as required by the value and object of the Framework Agreement, Dynamic Purchasing System or Dynamic Market. Note, there are additional requirements under the Procurement Regulations for the establishment and further use of a Framework Agreement, Dynamic Purchasing System or Dynamic Market, and advice must be sought from Commercial Procurement to ensure the Procurement Regulations are adhered to.

9.4 A Framework Agreement, Dynamic Purchasing System or Dynamic Market can be established jointly with other Contracting Authorities.

9.5 Any future Call-Off from the established Framework Agreement, Dynamic Purchasing System or Dynamic Market requires authorisation in accordance with the governance thresholds set out in Rules 7.9 to 7.11.

9.6 Any Call-Off or direct award under a Framework Agreement must adhere to the provisions set out within the Procurement Legislation

9.7 Where a Framework Agreement has been established by the Council, any extension or termination thereto shall be governed by Rules 19 and 20 below in addition to the Procurement Regulations.

10. Procurement Competition Requirements

10.1 Competition Requirements

10.1.1 The Authorised Officer must establish the total value of any Contract, including whole life costs, annual cost and incorporating any potential extension periods which may be awarded. The value of the Contract must be considered as the sum of all payments made to the Supplier during the whole life of the Contract, including extensions. The Authorised Officer must have particular regard to the rules relating to aggregation contained within the Procurement Regulations (further details on which can be found in the Procurement Toolkit).

10.1.2 Authorised Officers must ensure that values are not split in an attempt to avoid the applicability of these CPRs or the Procurement Regulations. This will result in a breach, and reported to Audit & Governance Committee.

10.2 Contract value up to and including £5,000 – Best Value

10.2.1 In relation to all Contracts with a value up to and including £5,000, it is the responsibility of the relevant Authorised Officer to check whether there is an Internal Service Provider, existing Contract, Framework Agreement, Dynamic Purchasing System or Dynamic Market which can be used.

10.2.2 Where no appropriate Internal Service Provider, existing Contract, Framework Agreement, Dynamic Purchasing System or Dynamic Market exists the invitation of quotations should be invited where appropriate.

10.2.3 If the Authorised Officer believes that it represents Best Value for the Council to make a direct appointment without the need for competition, they may do so providing a written record of the decision (including reasons) is kept by them.

10.3 Contract value over £5,000 and up to £30,000 – Three Quotations

10.3.1 In relation to all Contracts with a value between £5,000 up to £30,000 Officers should, in conjunction with Commercial Procurement, consider whether there is an appropriate Internal Service Provider, existing Contract, Framework Agreement, Dynamic Purchasing System or Dynamic Market which can be used.

10.3.2 Where no appropriate Internal Service Provider, existing Contract or approved Framework Agreement, Dynamic Purchasing System or Dynamic Market exists, a minimum of three written quotations must be invited from suitable potential Suppliers. Efforts should be made to ensure that a diverse group of Suppliers are asked to quote using the following principles:

(a) Where possible, ensuring SMEs are invited to quote;

(b) Where possible, ensuring local Suppliers are invited to quote;

(c) Where possible, not just inviting the same group of Suppliers who have previously quoted for this or previous similar work;

(d) Where possible, looking for novel or new Suppliers.

10.3.3 The written quotations must be obtained and documented in accordance with proper record keeping set out in Rule 5 and in accordance with the requirements of Rule 11. The Procurement three quote form must be completed and returned to Commercial Procurement so details can be published onto the Contract Register,

10.3.4 All potential Suppliers invited to submit quotations will be provided in all instances with identical information and instructions.

10.3.5 The evaluation of the quotations will be carried out by Authorised Officers.

10.3.6 If costs received exceed the threshold stated in Rule 10.3, the procurement must be abandoned and a formal process conducted through the E-sourcing system.

10.3.7 All associated procurement tender notices must be published on Contracts Finder and, where applicable, on Find a Tender, the Central Digital Platform before, during and after the procurement exercise.

10.4 Contract value over £30,000 and up to £100,000 – Three Quotations via the E-tendering portal

10.4.1 In relation to all Contracts with a value between £30,000 up to £100,000 Officers should, in conjunction with Commercial Procurement, consider whether there is an appropriate Internal Service Provider, existing Contract, Framework Agreement, Dynamic Purchasing System or Dynamic Market which can be used.

10.4.2 Where no appropriate Internal Service Provider, existing Contract or approved Framework Agreement, Dynamic Purchasing System or Dynamic Market exists, a minimum of three written quotations must be invited from suitable potential Suppliers via the E-tendering system. Efforts should be made to ensure that a diverse group of Suppliers are asked to quote using the following principles:

(a) Where possible, ensuring SMEs are invited to quote;

(b) Where possible, ensuring local Suppliers are invited to quote;

(c) Where possible, not just inviting the same group of Suppliers who have previously quoted for this or previous similar work;

(d) Where possible, looking for novel or new Suppliers.

10.4.3 The written quotations must be obtained and documented in accordance with proper record keeping set out in Rule 5 and in accordance with the requirements of Rule 12.

10.4.4 All potential Suppliers invited to submit quotations will be provided in all instances with identical information and instructions.

10.4.5 The evaluation of the quotations will be carried out by Authorised Officers.

10.4.6 All associated procurement tender notices must be published on Contracts Finder and where applicable, on Find a Tender, the Central Digital Platform before, during and after the procurement exercise.

10.5 Contract value over £100,000 – Invitation to Tender

10.5.1 In relation to all Contracts with a value in excess of £100,000 Officers should, in conjunction with Commercial Procurement, consider whether there is an appropriate Internal Service Provider, existing Contract or Framework Agreement, Dynamic Purchasing System or Dynamic Market which can be used.

10.5.2 Where no appropriate Internal Service Provider, existing Contract, approved Framework Agreement, Dynamic Purchasing System or Dynamic Market exists, at least four written tenders must be invited from potential Suppliers. Efforts should be made to ensure that a diverse group of potential Suppliers are asked to tender using the following principles:

(a) Where possible, ensuring SMEs are invited to quote;

(b) Where possible, ensuring local Suppliers are invited to quote;

(c) Where possible, not just inviting the same group of Suppliers who have previously quoted for this or previous similar work;

(d) Where possible, looking for novel or new Suppliers.

10.5.3 Where it has not been possible to identify four potential Suppliers, or less than four responses to the invitation to tender have been received, approval to continue with the procurement must be sought from the Head of Procurement.

10.5.4 The tendering process must be conducted in accordance with the Council’s detailed procedure rules set out in the Procurement Toolkit. Authorised Officers must consult with Commercial Procurement to establish the most appropriate tendering process/procurement route which will be determined on a case by case basis (depending on a number of factors including but not limited to the scope, value and technical requirements of the procurement).

10.6 Contract value over the Procurement Threshold

10.6.1 Where the estimated Contract value reaches the relevant Procurement Threshold, Officers are required to procure the Contract in accordance with the Procurement Regulations and these CPRs. In all such circumstances appropriate advice must be sought from Commercial Procurement.

10.6.2 The current Procurement Thresholds are available from Commercial Procurement.

10.7 Assets for Disposal

Assets for disposal must be dealt with in accordance with the Financial Regulations.

10.8 Concession Contracts

10.8.1 Concession Contracts may be established by Authorised Officers in conjunction with Commercial Procurement. Generally, Concession Contracts will result in an income to the Council. The thresholds set out in Rule 7 will also apply to Concession Contracts.

10.8.2 For the purposes of Rule 7, the value of a Concession Contract is defined in the Procurement Regulations. Such value shall be the total turnover of the concessionaire generated over the duration of the Contract, net of Value Added Tax, as estimated by the Council, in consideration for the works and/or services which are the object of the Concession Contract and for the supplies incidental to such works and services.

10.8.3 Contracts below the relevant thresholds defined in the Procurement Regulations may be let using a three quotation process as outlined in Rule 10.3. Contracts above the relevant thresholds must be let in accordance with the process outlined in the Procurement Regulations. Commercial Procurement will advise on the appropriate route and process to follow when letting Concession Contracts.

10.8.4 All associated procurement tender notices must be published on Find a Tender, the Central Digital Platform before, during and after the procurement exercise.

11. Evaluation Criteria and Standards

11.1 Evaluation Criteria

11.1.1 In any procurement exercise (regardless of overall Contract value) the successful tender must be the one which offers either:

(a) the most advantageous tender based on “price or cost” using a cost effectiveness approach, such as, life cycle costing; or

(b) the most advantageous tender balanced between quality and price.

In the latter case, the Council will use criteria linked to the subject matter of the Contract to determine that an offer is the most advantageous, for example: price, quality, technical merit, aesthetic and functional characteristics, environmental & sustainability characteristics, social value (including but not limited to compliance with wider Council obligations such as membership of the Living Wage Foundation and sourcing fair trade where appropriate), running costs, cost effectiveness, after-sales service, technical assistance, delivery date, delivery period and period of completion.

11.1.2 The price element of an evaluation shall be 40% or greater, unless:

(a) the relevant contract is being procured using a Framework Agreement, Dynamic Purchasing System or Dynamic Market which provides for an alternative weighting system; or

(b) the Authorised Officer has, in consultation with the Head of Procurement and Finance, determined that an alternative weighting system would be more appropriate due to either the size, value and/or available budget, risk-profile and/or nature of the procurement. The Authorised Officer must submit reasonings supported by Commercial Procurement to the Head of Procurement and Finance for approval prior to the procurement exercise being advertised.

11.1.3 Issues that are important to the Council in terms of meeting its corporate objectives can be used to evaluate tenders provided that such criteria relate to the subject matter of the Contract and is objectively quantifiable and non-discriminatory. The criteria can include, for example, sustainability considerations, support for the local economy or the use of sub-contractors. The potential Suppliers’ approaches to continuous improvement and setting targets for service improvement or future savings could also be included.

11.1.4 The procurement documentation must clearly explain the basis of the evaluation decision to potential Suppliers, making it clear how the evaluation criteria specified in the process will be applied, the overall weightings to be attached to each of the high-level criteria, how the high-level criteria are divided into any sub-criteria and the weightings attached to each of those sub-criteria.

11.1.5 Once the tender documentation has been issued to the market, changes to the evaluation criteria shall only be permitted in exceptional circumstances following approval by the Head of Procurement. There is no scope to change the evaluation criteria once quotations or tenders have been received. If quotations or tenders received mean the original evaluation criteria are no longer able to achieve the most advantageous tender, then the procurement process must be abandoned and treated as market engagement before a new procurement exercise is established with new evaluation criteria. In such a case, no award will be made from the original procurement exercise and Commercial Procurement must be consulted.

11.1.6 A procurement termination notice must be published on Find a Tender, the Central Digital Platform.

11.2 Standards

Relevant British, EU and International standards which apply to the subject matter of the Contract, and which are necessary to properly describe the required quality must be included within the procurement documentation, the specification, and the Contract.

12. Invitation to Tender / Request for Quotation

12.1 Invitations to Tender/Requests for Quotation must be issued in accordance with the requirements of these CPRs and where applicable, Procurement Regulations.

12.2 All procurement documentation must be issued electronically. All procurements with a value over £30,000 must be conducted through an E-Sourcing System.

12.3 Where the E-Sourcing System is used, all communications with Suppliers must be undertaken exclusively through the E-Sourcing System. This includes any clarification questions asked by the potential Suppliers and responses provided by the Council.

12.4 In exceptional cases, where specific circumstances mean that a procurement process cannot be carried out electronically or, for example, where there is a failure of the E-Sourcing System, permission to conduct a procurement process by alternative means must be obtained from the Head of Procurement.

13. Submission, Receipt and Opening of Tenders / Quotations

13.1 Opening of Tenders and Quotations

13.1.1 Tenders and Quotations, except those which have been approved as exempt from electronic tendering in accordance with Rule 12.4, must be submitted electronically via the E-Sourcing System. Tenders submitted by any other means must not be accepted.

13.2 Hard Copy Arrangements

13.2.1 If approval to conduct a tender process outside the E-Sourcing System has been obtained in accordance with Rule 12.4 and “hard copy” tenders are to be accepted, these must be submitted, sealed, in the envelope provided with the procurement documents and addressed to the Head of Procurement without any mark revealing the bidding organisation’s identity.

13.2.2 All hard copy tenders will be held by the Head of Procurement until the tender opening date/time has been reached.

13.2.3 All hard copy tenders for the same Contract will be opened at the same time by the Head of Procurement and Legal Services. A register of tenders received will be kept by Commercial Procurement and will be initialled on each occasion by the Authorised Officers who are present at the opening of the tenders.

13.2.4 If approval to conduct a quotation process outside the E-Sourcing System has been obtained in accordance with Rule 12.4 and hard copy quotations are to be accepted these must be submitted in a plain envelope marked “Quotation for ...” followed by a description of the goods, works or services being procured.

13.2.5 All hard copy quotations must be opened together once the official return date/time has been passed.

14.E-auctions

14.1 Where a tender is to be carried out by way of a collaborative e-auction process the following procedures will apply:

14.1.1 approval for this approach must be sought in advance of the auction from the Head of Procurement;

14.1.2 the auction must be provided through a recognised managed service provider approved by the Head of Procurement;

14.1.3 the process for selecting potential Suppliers must be agreed in advance with the Head of Procurement;

14.1.4 the tender evaluation process must be agreed in advance with the Head of Procurement;

14.1.5 the time limit for the auction must be set in advance, clearly notified and be appropriate to the nature of the auction;

14.1.6 a minimum of two Authorised Officers must be in attendance at the managed service provider’s viewing room to ensure the process is conducted fairly and in accordance with the Procurement Regulations. One of the Authorised Officers must be an independent observer and have had no involvement with the exercise. They should not leave the room during the auction.

14.1.7 prior to start of the auction, Officers attending must satisfy themselves that the correct quality weightings (if applicable) have been loaded into the software and that the software is working correctly;

14.1.8 the final scoring of all the bidders must be documented and counter signed by each Officer immediately after the close of the auction;

14.1.9 the e-auction summary report which is normally produced by the e-auction provider (within a week of the auction) must be cross referenced to the Officers own records and both must be kept on file;

14.1.10 a signed copy of both of these records must be passed to Head of Procurement; and

14.1.11 if the lowest price bidder is not successful, approval for the award of a Contract must be sought in line with these CPRs.

14.2 The application of these e-auction procedures exempts the tender from the opening rules set out at Rule 13. It does not exclude compliance with any other regulations as set out elsewhere in these CPRs.

14.3 The Council will arrange for award notices to be sent to the successful Supplier (following an 8 working day Standstill Period) and brief the unsuccessful Providers. A copy of the award notice must be kept on file.

14.4 The Council must ensure that a discrete Contract complying with the Council’s standard terms and conditions is put in place with each successful Supplier prior to any work or services commencing.

15. Clarification Procedures

15.1 The Council can ask bidding organisations for clarification of any details submitted as part of their bid. However, any such clarification must:

15.1.1 not involve changes to the basic features of the bidding organisation’s submission; and

15.1.2 be issued and responded to by Commercial Procurement through the E-Sourcing System.

15.2 When requesting clarification, the Authorised Officer must follow any guidance provided by Commercial Procurement. The request for, or provision of, any clarification must not be used to negotiate or re-negotiate Contract terms. Authorised Officers are required to take all necessary procurement and/or other relevant professional advice if they are in any way unsure of what may or may not constitute a ‘clarification’ under the Procurement Regulations.

15.3 All clarification questions raised by bidding organisations must be considered and responded to by Commercial Procurement.

15.4 If any amendments are required to the tender documentation or contract terms and conditions as a result of clarifications these must be approved by Commercial Procurement and/or Legal Services as appropriate and changes made must take place during the tender period.

16. Evaluation, Financial Appraisal, Award of Contract and Debriefing of Organisations

16.1 Evaluation

The evaluation of bids must be conducted in accordance with the evaluation criteria set out in the relevant procurement documents (see Rule 11 above) provided to bidding organisations, and in line with any guidance detailed in the Procurement Toolkit. The evaluation must consist of a minimum of three (3) Officers and all records of evaluations must be taken. Assessment summaries must be provided to all bidders in relation to the contract.

16.2 Financial Appraisals and Credit Reports

Credit Reports must be completed in respect of all third parties submitting bids for Contracts in excess of £100,000. The credit reports will be produced by Commercial Procurement and issued to the relevant Finance Manager to take necessary steps to check all financial information available. It is the responsibility of the Authorised Officer in consultation with the relevant Finance Manager to take all steps reasonably necessary (having regard to the subject matter, value and duration of the Contract and any other relevant factors) to conduct an assessment and confirm financial stability.

16.3 Award of Contract

16.3.1 The Council is required to notify successful and unsuccessful bidders of the outcome of a procurement process, in writing, in as timely a fashion as possible.

16.3.2 Where mandated by the procurement process used, a Standstill Period must be included in the procurement timetable and observed before the Contract can be awarded.

16.3.3 Authorised Officers must consult with Commercial Procurement in relation to the Standstill Period requirements and associated documentation to be issued to bidders.

16.3.4 Where a Standstill Period applies, successful and unsuccessful bidders will be sent a Contract award letter containing all the debrief information required under the Procurement Regulations. A copy of each Contract award letter must be kept on file.

16.3.5 Following successful completion of the Standstill Period, the successful bidder(s) will be issued with their Contract to sign.

16.3.6 Provided the winning bid:

(a) is the most advantageous;

(b) is within the financial budget made for it;

(d) meets the Contract specification,

it may be accepted by the relevant Authorised Officer.

16.3.7 Where a tender is not:

(a) the most advantageous (if payment is to be made by the Council); or

(b) the highest tender (if payment is to be received by the Council),

the award of the Contract must be passed to the Chief Finance Officer for decision clearly setting out the reasons why this is required.

16.3.8 Once approved, all proposed Contract awards over £100,000 must be recorded in the Officer decision log on the mod.gov system.

16.3.9 The approval of the relevant Executive Member and Chief Finance Officer must be given if a tender received as part of a capital scheme results in the scheme or project exceeding the approved financial budget by 10% or £50,000 (whichever is the lower) and this cannot be accommodated within the original financial budget.

16.3.10 For Contracts with a value of £5,000,000 and above, a redacted version of the Contract must be published on Find a Tender, the Central Digital Platform within ninety (90) days of the Contract being entered into.

16.4 Debriefing

The Authorised Officer must consult and work with Commercial Procurement to create assessment summaries for all tenderers who submitted a bid. Such assessment summaries shall outline the characteristics and relative advantages of the successful bid(s). All assessment summaries must be issued through the e-tendering portal where appropriate and records kept. This will usually include:

16.4.1 how the award criteria were applied;

16.4.2 the prices or ranges of prices submitted, but not in either case correlated to the tenderers

Authorised Officers must consult with Commercial Procurement prior to issuing any feedback to bidders.

17.Post Tender Negotiation

17.1 Post tender negotiations must not be undertaken where the value of the Contract exceeds the relevant Procurement Threshold.

17.2 If the value of the Contract is below the relevant Procurement Threshold, post tender negotiations with selected Suppliers may be carried out where:

17.2.1 permitted by law; and

17.2.2 the procurement strategy and route allowed for negotiations; and

17.2.3 the relevant Chief Officer in consultation with Commercial Procurement and Legal Services considers that added value may be obtained; and

17.2.4 the post tender negotiations are conducted by a team of suitably experienced officers approved by the relevant Chief Officer and who have been trained in post tender negotiations. Commercial Procurement and Legal Services must be invited to attend any negotiation; and

17.2.5 a comprehensive, written record of the negotiations is kept by the Council; and

17.2.6 a clear record of the added value to be obtained as a result of the post tender negotiations is incorporated into the Contract with the successful Supplier.

18. Contract Documents

18.1 Form of Procurement Documents

The Council’s standard procurement documents (accompanying the contract documents) must be used wherever possible and appropriate. Where there is any deviation from the standard procurement documents, the documents to be used must be reviewed by Commercial Procurement before being issued. These standard procurement documents are available from Commercial Procurement.

18.2 Form of Contract

18.2.1 Contractual commitments can only be made by Officers who are formally authorised to do so in the relevant directorate scheme of delegated authority. An up-to-date record of delegated authorities across the Council is kept by Finance.

18.2.2 Should the Council be utilising a particular Framework Agreement, Dynamic Purchasing System or Dynamic Market for the first time, Legal Services must be engaged to approve the form of Call-Off Contract or Order Form, the Call-Off terms and conditions, and any other associated documents.

18.2.3 Unless subsequent Call-Offs require further amendment in accordance with the Procurement Regulations, they can proceed without additional approval from Legal Services.

18.2.4 For clarity, if any Call-Off terms require any amendment at any stage of a Procurement (as part of a mini-competition or otherwise), approval must be sought from Legal Services and Commercial Procurement.

18.2.5 If the Council intends to make a direct award under a Framework Agreement, Dynamic Purchasing System or Dynamic Market no amendments are permitted to the Call-Off terms and conditions. The Council will not accept Suppliers’ terms and conditions without Legal Services confirming that they are acceptable, and/or without any amendments required by Legal Services. In the event that a Supplier requests to use their own terms and conditions, a copy of such terms and conditions must be sent to Legal Services for review and approval.

18.2.6 Every Contract must be made in writing by either:

(a) the issue of a purchase order and accompanying standard terms and conditions for the purchase or supply of goods, services and/or works with an aggregate Contract value (including any extensions) of not more than £100,000; or

(b) the preparation of formal written contracts for the purchase or supply of goods, services and/or works with an aggregate Contract value (including any extensions) of £100,000 and above or lower where the nature of the Contract requires a formal written contract.

18.2.7 With regard to:

(a) Rule 18.2.6(a) above, no amendments requested by any Supplier to the purchase order standard terms and conditions will be accepted without the prior approval of Legal Services; and

(b) Rule 18.2.6(b), any formal contracts must be drafted using either a template form of Contract previously approved and/or drafted by Legal Services, or a new bespoke document created by Legal Services. A Supplier’s standard terms and conditions must not be accepted except in accordance with Rule 18.2.6 above.

18.3 Deeds

18.3.1 All Contracts:

(i) in excess of £500,000; or

(ii) where the subject matter warrants an extended period of twelve years’ protection; or

(iii) for nil consideration; or

(iv) where there is a legal requirement for the Contract to be executed as a deed;

must be executed as a deed under common seal by Legal Services in accordance with Article 24: Finance, Contracts and Legal Matters, unless agreed otherwise by the Monitoring Officer or except where indicated in Appendix B.

18.3.2 Contracts to novate, assign, vary or extend an existing contract:

(a) must be executed as a deed where the original contract terms do not expressly permit such novation, assignment, variation or extension; or

(b) are not required to be executed as a deed where the original contract terms expressly permit such novation, assignment, variation or extension.

18.4 Contract Signature /Sealing

18.4.1 Contracts must:

(a) where the Contract is in the form of a deed, be made under the Council’s seal or electronic seal and attested by Legal Services as required by the Constitution; or

(b) where the Contract is to be signed underhand as a simple contract, be signed (either by hand or by electronic signature) by:

(i) an AuthorisedOfficer with the appropriate level of delegated authority as set out in the relevant directorate’s scheme of delegation; or

(ii) Legal Services.

18.4.2 When submitted to Legal Services for signing or sealing, all Contracts must be accompanied by an Authorisation to Sign or Seal Form setting out the decision-making process and authority. This form can be obtained from Legal Services.

18.5 Legal Services Review of Contracts

18.5.1 To ensure the integrity of the procurement process:

(a) where Officers intend to deviate from the Council’s standard terms and conditions, all Contracts must be reviewed by Legal Services; and

(b) any proposed Contracts via an Open or Competitive Flexible Procedure process, which are deemed to be of medium or high risk, must be reviewed by Legal Services.

18.6 Bonds, Parent Company Guarantees and Liquidated & Ascertained Damages

18.6.1 Chief Officers (in consultation with Commercial Procurement and Legal Services) will consider whether to include provision for payment of liquidated & ascertained damages by a Supplier for delay or breach of contract where appropriate, taking into account the subject matter and risk associated with the Contract. Such consideration will be recorded in writing.

18.6.2 Where considered appropriate by a Chief Officer, the Supplier will be required to provide a performance bond to secure the performance of the Contract. Such performance bond(s) should provide for a sum of not less than 10% of the total value of the Contract or such other sum as the Authorised Officer (in consultation with a Finance Manager) considers appropriate.

18.6.3 Where considered appropriate by a Chief Officer, the Supplier will be required to provide a parent company guarantee in a form acceptable to the Council prior to entering into the Contract.

19. Contract Extension and Variation

19.1 Extensions

19.1.1 Commercial Procurement and Legal Services must be consulted in relation to any proposed Contract extension.

19.1.2 Contract extensions shall only be permitted if:

(a) the proposed extension is in accordance with the Contract terms; and

(b) the relevant notice has been given to the Supplier; and

19.1.3 Where the terms of a Contract expressly permit extensions, Commercial Procurement will support Officers to complete the required paperwork to give notice to the Supplier and document the extension in the agreed form in writing.

19.1.4 Where the terms of a Contract do not expressly permit an extension, Commercial Procurement and Legal Services shall advise whether it is possible to otherwise agree an extension by way of variation to the Contract. Any variations shall be carried out in accordance with Rules 18.3.2 and 19.2.

19.1.5 Approval for the extension must be given by an Officer with the appropriate level of delegated authority. This process must be recorded in writing.

19.1.6 Prior to seeking approval from the relevant Chief Officer for a contract extension, the Authorised Officer must establish whether the extension will deliver Best Value.

19.1.7 Before extending a Contract, the Authorised Officer must check the original spending authorisation decision (obtained in accordance with Rule 7) to confirm that the authorisation to extend the Contract is in place. Where the original decision does not contain authorisation for an extension of the Contract, further authorisation may be sought under Rule 7. The value of the decision used to determine the authorisation requirement shall be the original Contract value plus the value of the proposed extension.

19.1.8 All extensions to any Council contracts must be in writing and reported to the Head of Procurement to ensure that the E-Sourcing System can be updated.

19.

19.1.

19.2. Variations

19.2

19.2.1 Variations will be dealt with in accordance with these CPRs and the Procurement Regulations. Further guidance must be sought from Commercial Procurement and Legal Services.

19.2.2 All Contract variations must be carried out:

(a) within the scope of the original Contract. Contract variations that materially affect or change the scope of the original Contract are not permitted; and

(b) following consideration as part of the Category planning process.

19.2.3 All Contract variations must be in writing (in the form specified by the Contract where applicable) and signed or sealed by both the Council (in accordance with Rule 18.3.2 and 18.4.1) and the Supplier.

19.2.4 A Variation form must be completed and submitted to the Head of Procurement for approval, and a modification notice must be published on Find a Tender, the Central Digital Platform.

19.2.5 Where appropriate (taking into account any change in contract value, contract term, range of services provided etc), Contract variations must be reported to the Head of Procurement to ensure that the E-Sourcing System can be updated.

19.2.6 A new procurement will be required in the case of a material change where one or more of the following conditions are met:

(a) the variation introduces conditions which, had they been part of the initial procurement exercise, would have allowed for the admission of Suppliers other than those initially selected or for the acceptance of an offer other than that originally accepted or would have attracted additional Participants in the procurement procedure;

(b) the variation increases the value of the Contract or the Framework Agreement substantially in favour of the Supplier in a manner which was not provided for in the original Contract or Framework Agreement;

Further guidance must be sought from Legal Services where the Chief Officer considers there is any possibility that the proposed variation might fall under this Rule x

20.Termination of Contract

20.1 Prior to terminating any Contract, Officers must consult Commercial Procurement and Legal Services. Contracts may only be terminated early where provided for within the Contract and if authorised by the relevant Chief Officer through a Delegated Decision. A Termination Form for termination of any Contract exceeding £100,000 in aggregate for the entire contract period (including any extensions) must be sent to the Head of Procurement for monitoring purposes. All termination letters under this Rule 20.1 must be drafted and issued via Legal Services in conjunction with the Authorised Officer.

20.2 In the event a Contract is terminated, a contract termination notice must be published within 30 days of the contract being terminated on Find a Tender.

21. Prevention of Corruption

21.1 Rules and regulations pertaining to the prevention of corruption are outlined in the Financial Regulations and must be adhered to at all times.

22.Declaration of Conflicts of Interests

22.1 To ensure that persons involved in the procurement process are aware of and adhere to the principles of impartiality and professional standards when dealing with and completing commercial undertakings, a Conflict of Interest Assessment must be completed by all Officers involved in the procurement process and submitted to the Head of Procurement prior to commencement of the procurement process. These forms are available from Commercial Procurement.

22.2 If an actual or potential conflict of interest arises during the procurement process, a new Conflict of Interest Assessment must be immediately completed and submitted to the Head of Procurement.

22.3 If it comes to the attention of a Member, Authorised Officer or other Officer that a Contract in which they have an interest (determined in accordance with the Members’ and/or Employee Code of Conduct as appropriate) has been or is proposed to be entered into by the Council, they shall immediately give written notice to the Monitoring Officer and the Head of Procurement.

23. Contract Management / Monitoring

23.1 All Contracts must have an appointed contract manager for the entirety of the Contract. The responsible Chief Officer must ensure a Contract Manager is designated prior to contract award.

23.2 Contract management, monitoring, evaluation and review must be conducted by the appropriate Contract Manager.

24. Contracts valued £5,000,000 and over

24.1 All Contracts with a value of £5,000,000 and over must:

24.1.2 contain details of at least three (3) KPI’s which must be published within the Contract and tender documentation. The details of these KPI’s must then be published on Find a Tender, the Central Digital Platform;

24.1.3 be monitored during the term of the Contract, against those KPIs by the Contract Manager who must publish a Contract Performance Notice every twelve (12) months (per annum of the Contract) on Find a Tender, the Central Digital Platform;

24.1.4 be published in a redacted format on Find a Tender, the Central Digital Platform within ninety (90) days of the Contract being entered into.

24.2 In the event that a Contract with a value of £5,000,000 or over is varied:

24.2.2 a Contract Change Notice must be published on Find a Tender, the Central Digital Platform within ninety (90) days of the modification being made;

24.2.3 a redacted copy of the modification made must be published on Find a Tender, the Central Digital Platform within ninety (90) days of the modification being entered into;

24.2.4 the responsible Officer shall take all such steps as are appropriate to monitor and review the performance of the Contract, having regard to its value, nature, duration and subject matter. As part of the monitoring and review process, the responsible Officer shall maintain adequate records of Contract performance and details of review meetings with the Supplier. Such records and details shall be made in any relevant gateway process report as may be required by the Procurement Challenge Board.

25. Waiver and Exemptions

Waivers

25.1 Except where the Procurement Regulations apply, these CPRs may be waived in certain circumstances, as approved by the Head of Procurement and Monitoring Officer, where one or more of the following criteria apply:

25.1.1 for supplies purchased or sold in a public market or auction;

25.1.2 for works, supplies and/or services which, after the testing the market, are found to be only available from one organisation that are not available on a framework (either due to their highly specialised nature, the use of innovative technology or service models, or any exclusive proprietary rights belonging to the relevant supplier), provided that:

(a) this can be properly evidenced by the Authorised Officer (including confirmation that no other viable alternative works, supplies and/or services are available, whether or not located in the relevant area), and

(b) Commercial Procurement are satisfied that the Council has not artificially narrowed its requirements to avoid conducting a competitive tender process in accordance with these CPRs;

25.1.3 circumstances involving such extreme urgency that it would not be possible to comply with the competitive procurement procedures and timescales set out within these CPRs. For clarity, this ground will not apply where said extreme urgency has come about due to circumstances attributable to any action, inaction and/or delay on the part of the Council;

25.1.4 for the purchase of a work of art or museum specimen, or to meet the specific requirements of an arts or cultural event which cannot be procured competitively due to the nature of the requirement;

25.1.5 in relation to time limited grant funding from an external body, where the time limitations will not allow a competitive procurement process to be completed and where the grant conditions allow this;

25.1.6 in relation to external grant funding that has been awarded on the condition that a specific Supplier be appointed by the Council;

25.1.7 where relevant UK or other applicable international legislation not otherwise referred to in these CPRs allows another procurement process to be undertaken;

25.1.8 where officers from Finance, Commercial Procurement and Legal are satisfied that there is:

(a) a significant risk to the statutory functions of the Council, or to its governance, audit or finances; or

(b) a significant safeguarding risk; or

if the Supplier is not engaged (such confirmation in all cases to be confirmed in writing by the relevant Chief Officer).

25.2 If a waiver of these CPRs is required, the Authorised Officer will complete and submit a waiver form, using a template document obtained from Commercial Procurement. The waiver form must set out the detail of the specific Rule(s) being waived and confirmation of the Rule within under which the waiver is being sought, along with the financial, legal, risk and equality implications of the waiver sought.

25.3 The process to be followed in respect of waivers is available on Colin, the Council’s internal web pages.

25.4 In relation to Maintained Schools, the Governing Body shall have the power to waive any requirement of these CPRs where the Head Teacher has submitted a waiver form in accordance with Rule 25.3 confirming that any of the criteria listed at Rule 25.1 apply.

25.5 If the waiver is approved the Authorised Officer may proceed with the waiver of the relevant CPR(s). Officers are only authorised to incur expenditure up to the amount included in the final agreed waiver. Should any additional expenditure or further service be required, a new waiver must be requested.

25.6 With the exception of those relating to Maintained Schools, every waiver form will be recorded on a master register maintained by Commercial Procurement. Each Maintained School must maintain their own master register of waiver forms.

25.7 Where a waiver is being requested, Authorised Officers are required to seek the necessary waivers at the outset of any procurement process or, where relevant, at such time during a procurement process where it becomes apparent that it is not possible to comply in full with the competition procedures outlined in Rules 10.3 and 10.4. A Contract resulting from a waiver request shall not be entered into without a waiver authorisation. If such Contracts are entered into, these must be terminated, with advice from Commercial Procurement and Legal Services.

25.8 Authorised Officers are not required to seek waivers in the case of an Emergency or as a result of an Emergency where there is danger to the safety of persons or serious risk of loss or damage to the Council’s assets or interests, or the interests of another party. In such circumstances, the Authorised Officer may enter into such Contracts as necessary by means that are reasonable under the circumstances and inform the Head of Procurement and Monitoring Officer.

Exemptions

25.9 These CPRs do not apply to Contracts:

25.9.1 for the execution of mandatory works by statutory undertakers (i.e., companies and agencies which have been given general licence to carry out certain development and highways works, such as utilities and telecoms companies or nationalised companies such as Network Rail);

25.9.2 for legal services in respect of specific matters which are in contemplation of:

(a) arbitration conciliation;

(b) Judicial proceedings before the courts;

25.9.3 for the provision of legal advice given in preparation for any of the proceedings referred to in Rule 25.9.2(a) or (b) above, or where there is tangible indication and high probability that the matter to which the advice relates will become the subject of such proceedings.

25.9.4 which have been procured on the Council’s behalf:

(a) through collaboration with other local authorities or other public bodies, where a competitive process which complies with the CPRs of the leading organisation has been carried out; or

(b) by a national or regional contracting authority where the process followed is in line with the Procurement Regulations;

10.

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25.1

25.2

25.3

25.4

25.5

25.6

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25.8

25.9

25.9.1

25.9.2

25.9.3

25.9.4

25.9.5 to cover urgent special educational needs, urgent social care needs or urgent operational needs, if in the opinion of the relevant Director (in consultation with the Head of Procurement) the exemption is considered to be in the Council’s interests or necessary to meet the authority’s obligations under relevant legislation. Use of this exemption by the relevant Director must be preceded by a written report under Rules 25.2 and 25.3 using the waiver form to set out the reason for such urgency, how it complies with the Procurement Regulations and any other relevant legislation, and represents Best Value. This ground will not apply where, in the opinion of the Head of Procurement (with advice from Legal Services where necessary), said urgency has come about due to circumstances that can be attributed to any action, inaction and/or delay on the part of the Council.

26. Breaches of CPRs

26.1 Breaches of the CPRs are extremely serious matters and will be fully investigated and reported on following referral or discovery. All Directors are responsible for reporting all known or discovered breaches of these CPRs to the Head of Procurement as soon as they become aware of it in practice. Any Director can be called to Audit & Governance Committee to explain any breach.

26.2 Breaches identified are reported to the Head of Procurement and recorded. Training needs will be identified and provided to officers across the Council. Should repeated breaches be made, an investigation to remove an Officer’s delegated authority will commence.

26.3 Breaches are reported to Governance, Risk & Assurance Group to identify where improvements need to be made and to ensure training is provided where necessary.

27. Data Protection

27.1 Where a Contract involves data processing by the Supplier, either as both joint or independent controllers or as processor on behalf of the Council, sufficient due diligence must be undertaken to ensure the Council only uses Suppliers who provide guarantees to implement appropriate technical and organisational measures in such a manner as to meet the requirements of the UK GDPR and Data Protection Act 2018 and any other relevant UK data protection and privacy legislation, to protect the rights of individuals.

27.2 Every written Contract that involves the processing of personal data, special categories of personal data and/or criminal offence data by a Supplier, either as both joint or independent controllers or as processor on behalf of the Council, must set out the relevant data protection clauses to reflect the data protection relationship between the Council and Supplier including where required:

(a) the subject matter and duration of the processing, the nature and purpose of the processing;

(b) the types of data and categories of data subjects;

(d) obligations and rights of the controller(s).

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28.1.

28.2.

In particular, the Contract must contain clauses that meet the requirements of Article 28(3) of the General Data Protection Regulations. Where the Contract being used is not on the Council’s standard terms and conditions Authorised Officers must consult with Legal Services as per Rule 18.5.1 (a).

27.3 Authorised Officers should consult with the Information Governance team at the outset of a procurement process to:

(a) discuss the data protection implications and obligations set out in Rule 27.2 above and as much information as possible should be included in the Contract prior to the publication of tender documentation;

(b) establish whether a Data Protection Impact Assessment is required in relation to any proposed Contract involving the processing of personal data.

APPENDIX A - DEFINITIONS

Accountable Body	means where the Council is held accountable by the Government for a particular sum of money which actually may not be managed by, or be in the control of, Council Officers;
Authorised Officer	means a person authorised by the relevant Chief Officer to act on the Council’s behalf;
Best Value	means the optimum combination of whole life costs, quality and benefits to meet the customer’s requirement;
Call-Off	means a Contract that is awarded under a Framework Agreement;
Category	means each category identified in the category overview table which is set out in the Council’s Procurement Strategy;
Category Plan	means strategic planning of the category, at a category or sub-category level, including review of the current position, constraints and opportunities, desired outcomes, options and actions. The template plan should be used in all cases except where an alternative approach (having the same effect) forms part of external funding or joint procurement requirements;
Chief Finance Officer	means the Council’s section 151 Officer currently the Chief Finance Officer or their nominated deputy;
Chief Officer	means the head of the procuring directorate and includes the Chief Operating Officer, Corporate Directors, Directors, Assistant Directors and officers with appropriate delegations and sub-delegations;
City of York Scheme for Financing Schools	means the scheme which sets out the financial relationship between the Council and Maintained Schools;
Commercial Procurement	means the Council’s Commercial Procurement team;
Concession Contract	has the meaning given in the Procurement Regulations
Constitution	the Council’s constitution which is available on the internet and sets out the rules that the Council and all Council employees and Members must follow;
Contract(s)	means an agreement between the Council and a Supplier made by formal agreement or by issue of a letter of acceptance or official order for goods, services and/or works;
Contract Manager	means the officer responsible and accountable for overseeing the entire lifecycle of a contract within the Council
Contract Register	means the register of all Contracts maintained by Commercial Procurement;
Contracting Authorities	has the meaning given in the Procurement Regulations;
Council	means City of York Council;
CPRs	means these Contract Procedure Rules;
Delegated Decision	means a formal decision taken in accordance with the Council’s Constitution and sub-delegation schemes. It is for the Officer seeking the Delegated Decision to decide which type of decision is required in accordance with the Constitution;
Director	means an Officer of the Council designated as a director;
Dynamic Purchasing System or DPS	means a completely electronic process for making commonly used purchases that meet the requirements of a Contracting Authority, which is limited in duration and open throughout its validity to any economic operator which satisfies the selection criteria and has submitted an indicative tender that complies with the specification and requirements of the relevant Contracting Authority;
Dynamic Market	means a completely electronic process for making commonly used purchases that meet the requirements of a Contracting Authority, which is limited in duration and open throughout its validity to any economic operator which satisfies the selection criteria and has submitted an indicative tender that complies with the specification and requirements of the relevant Contracting Authority;
Emergency	means an urgent situation or crisis created as a result of a natural disaster (such as flooding or an earthquake) or tragedy (such as an explosion or plane crash);
E-Sourcing System	means the Council’s chosen E-sourcing system (currently YORtender), an e-sourcing mandated for access to a specific framework or an approved alternative;
Executive	has the meaning given in the Council’s Constitution;
Executive Member	has the meaning given in the Council’s Constitution;
Financial Appraisals	means checking the financial status including the credit rating of a Supplier;
Finance Manager	means a manager from the Council’s internal finance team;
Financial Regulations	means the governance rules and regulations relating to the management of the Council’s financial affairs, set out in Appendix 10a of the Constitution;
Find a Tender, the Central Digital Platform	means the web-based portal provided for the purposes of the Procurement Regulations, for above Procurement Threshold processes, by or on behalf of the Cabinet Office;
Framework Agreement	means a framework agreement with one or more Contracting Authorities and one or more Suppliers which establishes an arrangement for: i. Multiple orders to be placed with one economic operator (a single supplier framework); or ii. A framework of multiple economic operators to engage in further competitions or direct awards (a multiple supplier framework); that has been set up either by the Council or an organisation other than the Council and has been authorised by Commercial Procurement for use in Council procurements;
Governing Body	has the meaning given in the City of York Scheme for Financing Schools;
Grant	means funding awarded to a third party organisation for the purpose of helping deliver community cohesion or providing complementary activities to those carried out by the Council;
Head of Procurement	means the Officer who is responsible for the procurement function on behalf of the Council;
Internal Service Provider	means any internal service area for example Building Services, Yorkcraft, Commercial Procurement, or Legal Services etc;
Invitation to Tender	means an invitation by the Council to a potential Supplier to tender for the provision of goods, services and/or works;
Key Decision	has the meaning set out in Rule 7.11 of the CPRs;
Leader	means the Leader of the Council;
Legal Services	means the Council’s internal legal team;
Maintained Schools	means the schools maintained by the Council as set out in the City of York Scheme for Financing Schools;
Member(s)	means elected member(s) of the Council;
Monitoring Officer	means the Council’s principal solicitor currently the Director of Governance;
Officer(s)	means employee(s) of the Council;
Officer Decision Log	means the section of the Council’s website where decisions made by senior officers are recorded;
Participants	means a person or entity participating in a procurement process, who has expressed an interest in tendering for a Contract or who has tendered for a Contract;
Procurement Challenge Board	means the Procurement Challenge Board gateway process officers must go through on all procurements over £100,000
Procurement Notices	means all associated notices required to be published under Procurement Regulations as set out in Appendix D.
Procurement Pipeline	means practical planning of the procurement, or group of similar procurements, including approach, resourcing and timetable. This involves identifying major projects within each category of spend to be maintained by the relevant Chief Officer. It also provides a basis for information for Commercial Procurement to meet the Council’s reporting obligations. The Procurement Pipeline will be in such format as prescribed by the Head of Procurement except where an alternative approach (having the same effect) forms part of external funding or joint procurement requirements;
Procurement Regulations	means the Procurement Act 2023 and any successor, amending or enabling legislation implemented to govern the award of public contracts;
Procurement Strategy	means the Council’s published procurement strategy setting out its ambition for procurement and confirming a category management and whole lifecycle approach to procurement;
Procurement Threshold	means the designated threshold above which the Procurement Regulations shall apply to a Contract;
Procurement Toolkit	means the manual that accompanies these CPRs which provides detailed guidance on procurement techniques, considerations and the effect of these CPRs;
Relevant Contract	has the meaning set out in Rule 3 of these CPRs;
Request for Quotation	means a request by the Council to a potential Supplier for a quotation for the provision of goods, services and/or works;
Routine	has the meaning set out in Rules 7.11 and 7.12;
Rule(s)	means any rule contained in these CPRs;
SMEs	means small and medium-sized enterprises, as defined in the Procurement Regulations;
Standstill Period	means an eight (8) working day standstill period before a Contract can be awarded to the successful bidder to allow an unsuccessful bidding organisation an opportunity to challenge the proposed contract award;
Strategic Partnership	means a partnership with an organisation that the Council has a long term arrangement with for the provision of goods, works and/or services;
Supplier(s)	means the person or entity with whom the Council has a Contract;
TUPE	means the Transfer of Undertakings (Protection of Employment) Regulations 2006 and any successor, amending or enabling legislation;

Appendix B - Arrangements for Schools

Maintained Schools must use the following governance thresholds instead of those found in Rule 7.

Contract Value	Authorisation Required By
£500,000 and above	Council Executive (decision)
£250,000 up to £499,999.99	Governing Body (minute or decision)
£50,000 up to £249,999.99	Chair of Governing Body or relevant governing committee (written instruction)
£1 up to £49,999.99	Head-teacher OR The Governing Body in conjunction with the Head-teacher may decide upon a scheme of delegation appropriate to each school and staffing arrangements.

Appendix C – ROUTINE PROCUREMENTS

The below table sets out the types of goods and services that may be considered Routine. This is included as a reference guide only and whether or not a procurement is Routine shall be determined on a case-by-case basis by the Head of Procurement in accordance with Rule 7.13.

Example of Routine Procurement	Approval Required
ICT hardware, software and / or services to maintain the security, integrity and statutory function of core or business systems	Head of Procurement
Utilities	Head of Procurement
Statutory subscription items such a TV licences	Head of Procurement
Stationery, postal services, and staff travel,	Head of Procurement
General financial services (banking, merchant processing or other comparable services) excluding audit	Head of Procurement

APPENDIX D – PROCUREMENT NOTICES

Notice	Notice Reference
Pipeline Notice	UK1
Preliminary Market Engagement Notice	UK2
Planned Procurement Notice	UK3
Transparency Notice	UK5
Tender Notice, Below Threshold	UK4
Tender Notice, Above Threshold	UK4
Contract Award Notice	UK6
Contract Details Notice	UK7
Procurement Termination Notice	UK12
Dynamic Market Intention Notice	UK13
Dynamic Market Establishment Notice	UK14
Contract Performance Notice	UK9
Contract Change Notice	UK10
Contract Termination Notice	UK11
Dynamic Market Modification Notice	UK15
Dynamic Market Cessation Notice	UK16
Payments Compliance Notice	UK17