NHS North Somerset Clinical Commissioning Group. Procurement Strategy. Ratification date: December 2013

Transcription

1 NHS Nrth Smerset Clinical Cmmissining Grup Prcurement Strategy Apprved by: Gverning Bdy Ratificatin date: December 2013 Review date: December

2 Cntents 1 Intrductin and Backgrund Assciated Plicies and Prcedures Aims and Objectives Scpe f Plicy Accuntabilities and Respnsibilities Guiding Principles Public Prcurement Obligatins Cnflicts f Interest Prcurement planning Prcurement apprach fr nn-clinical supply and service cntracts Prcurement apprach fr Healthcare and Scial Service cntracts Apprach t market Tendering Prcess Financial and Quality Assurance checks Principles f gd prcurement Cntract Frm Sustainable Prcurement Public Services (Scial Value) Act Use f Infrmatin Technlgy Minimising the burden n bidders Decmmissining services Transfer f Undertakings and Prtectin f Emplyment Regulatins (TUPE) Equality Impact Assessment Prcurement Training Needs Analysis Mnitring Cmpliance with this Strategy / Prcedure

3 1 Intrductin and Backgrund Fllwing the Health and Scial Care Act 2012, the NHS Nrth Smerset Clinical Cmmissining Grup tk ver the cmmissining f Healthcare services frm NHS BNSSG Cluster PCT. The Act empwers Clinical Cmmissining Grups t cmmissin Healthcare services fr the lcal ppulatin wrking in partnership with the Lcal Authrity, the Health and Wellbeing Bard, Vluntary sectr, lcal health prviders and the NHS Cmmissining Bard t deliver an imprved quality f care whilst maintaining the current levels f expenditure Prcurement is central t driving quality and value. It describes a whle lifecycle prcess f acquisitin f gds, wrks and services; it starts with identificatin f need and ends with the end f a cntract r the end f useful life f an asset, including perfrmance management. Prcurement encmpasses everything frm repeat, lw-value rders thrugh t cmplex healthcare service slutins develped thrugh partnership arrangements. There are a range f prcurement appraches available which include wrking with existing prviders, nn-cmpetitive and cmpetitive tenders, multi-prvider mdels such as Any Qualified Prvider (AQP) and framewrks. NHS Nrth Smerset CCG s apprach t prcurement is t perate within legal and plicy framewrks and actively t use prcurement as ne f the system management tls available t strengthen cmmissining utcmes. It can d this thrugh: Increasing general market capacity and meeting CCG demand requirements; Using cmpetitive tensin t facilitate imprvements in chice, quality, efficiency, and access and respnsiveness; Stimulating innvatin. The diagrams shwn in Appendix 1 shw the tasks t be undertaken fr cmmissining and prcurement f services. 2 Assciated Plicies and Prcedures This plicy and any prcedures derived frm it shuld be read in accrdance with the fllwing plicies, prcedures and guidance. NHS Nrth Smerset Clinical Cmmissining Grup Cnstitutin Cde f Business Cnduct NHS Nrth Smerset CCG Standing Orders and Standing Financial Instructins. Other legislatin and guidance affecting prcurement include: 3

4 Sectin 11 f the Health and Scial Care Act, 2001 requires cmmissiners f healthcare services t ensure patients and their representatives are invlved in and are cnsulted n planning f healthcare services Sectin 242 f the Natinal Health Service Act, 2006 prvides that cmmissiners f healthcare services have, in relatin t health services fr which they are respnsible, a legal duty t cnsult patients and the public directly r thrugh representatives n service planning, the develpment and cnsideratin f services changes and decisins that affect service peratin. Sectin 75 f the Health and Scial Care Act places requirements n cmmissiners t ensure that they adhere t gd practice in relatin t prcurement, d nt engage in anti-cmpetitive behaviur and prmte the right f patients t make chices abut their healthcare. Equality Act 2010 Public Services( Scial Value) Act Aims and Objectives T set ut the apprach fr facilitating pen and fair, rbust and enfrceable cntracts that prvide value fr mney and deliver required quality standards and utcmes, with effective perfrmance measures and cntractual levers. T describe the transparent and prprtinal prcess by which the CCG will determine whether health and scial services are t be cmmissined thrugh existing cntracts with prviders, cmpetitive tenders, via an AQP r framewrk apprach r thrugh a nn-cmpetitive prcess. T enable early determinatin f whether, and hw, services are t be pened t the market, t facilitate pen and fair discussin with existing and ptential prviders and thereby t facilitate gd wrking relatinships. T set ut hw we will meet statutry prcurement requirements primarily the Natinal Health Service (Prcurement, Patient Chice and Cmpetitin) Regulatins T enable NHS Nrth Smerset CCG t demnstrate cmpliance with the principles f gd prcurement practice: Transparency; Prprtinality; 4

5 4 Scpe f Plicy Nn-discriminatin; Equality f treatment. As far as it is relevant, this Plicy applies t all NHS Nrth Smerset CCG prcurements (clinical and nn-clinical). Hwever, it is particularly relevant t prcurement f gds and services that supprt the delivery f healthcare and certain sectins relate nly t prcurement f health and scial services. This Plicy must be fllwed by all NHS Nrth Smerset CCG emplyees and staff n temprary r hnrary cntracts, representatives acting n behalf f NHS Nrth Smerset CCG including staff frm member practices, and any external rganisatins acting n behalf f the CCG including ther CCGs and the Suth West Cmmissining Supprt Unit (SWCSU). 5 Accuntabilities and Respnsibilities Lead Manager Overall day t day respnsibility fr prcurement rests with the Chief Financial Officer, accuntable t the Chief Clinical Officer. Prcurement supprt Where it is required and cnsidered apprpriate prcurement supprt will be prvided by the Suth West Cmmissining Supprt Unit and in the case f cllabrative prjects by anther CCG. The CCG will have systems in place t assure itself that the SWCSU s r relevant CCG s business prcesses are rbust and enable the CCG t meet its duties in relatin t prcurement. Authrity The CCG will remain directly respnsible fr: Apprving prcurement rute; Signing ff specificatins and evaluatin criteria; Signing ff decisins n which prviders t invite t tender; Making final decisins n the selectin f the prvider. Arrangements fr delegatin f authrity t fficers are set ut in the relevant Standing Financial Instructins and Scheme f Delegatin. In the event f any discrepancy between this Prcurement Plicy and the SOs/SFIs, the SOs/SFIs will take precedence. 6 Guiding Principles When prcuring health care services, the CCG is required t act with a view t: Securing the needs f the peple wh use the services, Imprving the quality f the services, and Imprving efficiency in the prvisin f the services. 5

6 The CCG is required and cmmitted t: Act in a transparent and prprtinate way Treat prviders equally and in a nn-discriminatry way, including by nt treating a prvider, r type f prvider, mre favurably than any ther prvider, in particular n the basis f wnership. The CCG is required and cmmitted t prcuring services frm ne r mre prviders that: Are mst capable f delivering the needs, quality and efficiency required Prvide the best value fr mney in ding s The CCG is required and cmmitted t act with a view t imprving quality and efficiency in the prvisin f services, the means f ding s will include: The services being prvided in an integrated way (including with ther health care services, health related services, r scial care services) Enabling prviders t cmpete t prvide the services Allwing patients a chice f prvider f the services Ptential cnflicts f interest will be managed apprpriately t prtect the integrity f the CCG s cntract award decisin making prcesses and the wider NHS cmmissining system. 7 Public Prcurement Obligatins The Public Cntracts Regulatins 2006 which transpse Eurpean Directives place legal requirements and prcedures fr awarding cntracts abve a certain threshld amunt. Within the EU Prcurement rules, services cntracts are currently divided int tw categries (Please nte that these rules are due t be changed by end f 2013): Part A t which the full regime f EU rules apply; and Part B where nly sme f the EU prcurement rules apply.( Likely t be called special regime ) Currently Health and Scial services are categrised as a Part B service. There is a statutry requirement t fllw the full EU Prcurement rules, where legally-enfrceable cntracts are t be awarded, fr supply f gds and/r services with an estimated full-life value abve 113,057 (at January 2012), ther than thse specifically listed as Part B services 6

7 Where legally-enfrceable cntracts are t be awarded fr Part B services with estimated full-life value abve 173,934, there is a limited statutry requirement t apply sme f the EU prcurement rules. The EU Treaty principles f nn-discriminatin, equal treatment, transparency, mutual recgnitin and prprtinality apply t all prcurements, whether they are fr Part A r Part B services. The CCG s apprach t fulfilling these requirements is described in Sectin 15. There is n statutry requirement t tender Health and Scial services and n general plicy requirement fr Health and Scial services t be subject t frmal prcurement prcesses. The Tendering and Cntracting sectins f Standing Orders and Standing Financial Instructins apply as applicable where the CCG elects t invite cmpetitive and nn-cmpetitive bids fr the supply f Health and Scial services. There is statutry requirement t tender fr Nn Health and Scial services i.e:-gds and general services including use f cnsultants, Agency staff, Vice and data systems.( The Eurpean Unin Prcurement Directives implemented int UK law by The Public Cntracts Regulatins 2006 apply t the award f cntracts by public bdies.) 8 Cnflicts f Interest Managing ptential cnflicts f interest apprpriately is needed t prtect the integrity f the wider NHS cmmissining system and prtect CCGs and GP practices frm any perceptins f wrng-ding General arrangements fr managing cnflicts f interest are set ut in the NHS Nrth Smerset CCG Cnstitutin. This sectin describes additinal safeguards that NHS Nrth Smerset CCG will put in place when cmmissining services that culd ptentially be prvided by GP practices. Fr all prcurement prjects decisin making events all members present are required t declare if they have an interest in the tpic being discussed.- Appendix 2 sets ut the dcuments that must be used fr all prcurement prject meetings. Details f all cntracts, including the value f the cntracts, will be published n the CCG website shrtly after cntracts are signed. 7

8 9 Prcurement planning A prcurement plan will be maintained that will list all current and future prcurements. The prcurement plan will be reviewed n a regular basis taking int accunt lcal and natinal pririties; the CCG s cmmissining intentins; requirements f Everyne Cunts (and subsequent iteratins); and natinally mandated prcurements. In additin it will take int accunt the impact f cmpleted and n-ging prcurements. The plan will highlight the pririty, timescale, risk and resurce requirement fr each ptential prcurement. Nt every pririty n the prcurement plan will result in a prcurement, but indicates the CCG s intentin t review the service r activity which may result in a prcurement. The plan will be develped as a key element t prvide cmmunicatin between the CCG, its membership and ptential prviders. Thrugh transparent and pen prcesses the CCG will actively encurage prvider cmmunicatin. 10 Prcurement apprach fr nn-clinical supply and service cntracts The CCG and/r its agents will fllw EU public prcurement rules and Standing Orders/Standing Financial Instructins as apprpriate. The SW CSU will be prviding this service. 11 Prcurement apprach fr Healthcare and Scial Service cntracts The emerging Mnitr guidance n Chice, Cmpetitin and Cnflicts f Interest which fr the mst part replace the previus Department f Health Principles and Rules fr Cperatin and Cmpetitin, prvide a set f rules that gvern system management within the NHS. They recgnise that the service is n lnger a system based n tight cntrls f the means f prvisin, but largely an pen system with a defined purchaser/prvider split, which cmmissiners need actively t manage. NHS Nrth Smerset CCG will cnduct health and scial service prcurements, as ne part f market management and develpment, accrding t pririties established in its strategic plans. Decisins f whether t tender will be driven by the need t cmmissin services frm the prviders wh are best placed t deliver the needs f ur patients and ppulatin. The decisin-making prcess will vary depending n whether r nt the service is an existing ne, new r significantly changed. 8

9 Existing Services Fr an existing service (i.e. ne that is nt new r significantly changed) that is nt at the end f a fixed-term that was prcured via cmpetitive tender, where the service is fit fr purpse, ffers best value fr mney and cntinues t fit with the strategic directin f the CCG, the existing prvider will nrmally be retained as lng as far as it is apprpriate t d s. The prcess is shwn diagrammatically in Appendix 3. Where the prvider f an existing service was selected fr a fixed perid via a cmpetitive tender exercise and the fixed perid (including any ptins fr cntract extensin) is due t end, a new cmpetitive tender exercise will nrmally be cnducted t select the future prvider f the service. Where an existing service is prvided by a limited number f prviders, where practical the CCG will seek t increase the prvider base either thrugh use f a framewrk r thrugh the use f the AQP mdel (see sectin 12.1). The practicability f implementatin f the framewrk r AQP mdel will take accunt f: Value f imprving patient chice and cntestability; Level f market interest and capability; Cmplexity f accreditatin requirements and assciated cst; The apprpriateness f the framewrk r AQP mdel t the service cncerned New r significantly changed services The CCG s apprach t secure services will in verall terms be the fllwing: Determine whether the service can be accmmdated thrugh existing cntracts with prviders thrugh future variatins t thse cntracts, assuming that this pssible withut cntravening prcurement rules and guidance, and that quality, patient safety and value fr mney can be demnstrated. Whether there are demnstrable grunds t identify a specific prvider r grup f prviders withut cmpetitin, these include: ) Where a service is designated as list-based where practicably GP practices are the nly capable prviders f a service, r where the service is f minimal value (less than 20,000pa), the CCG will cnsider prcuring n a nn-cmpetitive basis frm GP practices. (ii) Fr technical reasns, r fr reasns cnnected with the prtectin f exclusive rights, the cntract may be awarded t nly that prvider i.e. there is nly ne prvider that can meet the CCG s requirements. (iii) Fr reasns f extreme urgency, utside the cntrl f the CCG, where it is nt pssible t award a cntract t anther prvider in the time available. 9

10 Where there is an pprtunity r requirement t braden the chice f prvider available t patients then the CCG s apprach where applicable and apprpriate will be the Any Qualified Prvider (AQP) mdel (see sectin 12). The AQP mdel will nt always be apprpriate, fr example where: (i) the number f prviders needs t be cnstrained, e.g. - Where the level f activity can nly supprt ne prvider; - Where clinical pathways dictate a restricted number f prviders; (ii) value fr mney cannt be demnstrated withut frmal market testing (e.g. t determine the price the CCG will ffer fr prvisin f the services); (iii) innvatin is required frm the market and cannt be achieved cllabratively; (iv) Where is n effective methd f selecting frm amngst qualified prviders fr delivery f specific units f activity; (v) verall csts wuld be increased thrugh multiple prvider prvisin because f unavidable duplicatin f resurces. If the AQP mdel is nt apprpriate, the service is nt f minimal value, the CCG s expectatin is that the service will nrmally be subject t cmpetitive tender fr a single r limited number f prviders, but all such cases will be subject t a review f whether a cmpetitive tender prcess is apprpriate n the grunds f demnstrating best value, market testing, maintaining cmpetitive tensin and cmplying with the EU prcurement rules. Where it is believed that there is a need but the specificatin r activity is nt knwn r if the full impact n ther services is nt knwn, a Test and learn prject culd be cnsidered. This will need t be carefully set up and will require the advice and supprt f the SW CSU Clinical prcurement team and pssibly legal advice. The prpsed apprach fr New r Significantly changed Healthcare and Scial services is shwn in a flw diagram in Appendix Apprach t market Decisin making Tl. The SW CSU Prcurement team has develped a decisin making tl that will aid the CCG decisin making prcess. This will be used fr all ptential prcurements t determine the best rute t be fllwed. The main rutes are similar t thse set ut belw. Any Qualified Prvider with the AQP mdel, fr a prescribed range f services, any prvider that meets criteria fr entering a market can cmpete fr business within that market withut cnstraint by a cmmissiner 10

11 rganisatin. Under AQP there are n guarantees f vlume r payment, and cmpetitin is encuraged within a range f services rather than fr sle prvisin f them. Hwever, this des allw the CCG t determine a lcal tariff. The AQP mdel prmtes chice and cntestability, and sustained cmpetitin n the basis f quality rather than cst. Any service that is cntracted thrugh the AQP mdel des nt need t be tendered, althugh it will be advertised if apprpriate (using Supply2Health Prcurement accreditatin prtal) and ptential service prviders will need t be qualified. A standard NHS cntract will be awarded t all prviders that meet: Minimum standards f clinical care (implying qualificatin/accreditatin requirement); The price the CCG will pay; Relevant regulatry standards The CCG will have due regard at all times t the EU Treaty principles f nn discriminatin, equal treatment, transparency, mutual recgnitin and prprtinality when applying the AQP prcedure. Cmpetitive Tendering It is anticipated that an increasing number f services will be subject t cmpetitive tendering in rder t demnstrate the applicatin f the principles f transparency, penness, equitability and btaining and delivering value fr mney. Nn-Cmpetitive prcess Cmpetitin may be waived in circumstances such as genuine urgency, r where there is demnstrably nly ne prvider wh can prvide the service fr technical r special exclusive rights. In these circumstances the prcedures set ut within the CCG s Standing Orders and Standing Financial Instructins must be fllwed. Where it is decided nt t cmpetitively tender fr new services r where services are significantly changed, subject t delegated threshlds CCG Gverning Bdy apprval must be btained fllwing any recmmendatin t fllw this apprach. Partnership Arrangements Where cllabratin and crdinatin is cnsidered essential, fr example in develping new integrated pathways, enabling sustainability f services, ensuring smth patient handver, crdinatin etc. the CCG may wish t cntinue with existing partnership arrangements. These Partnership 11

12 arrangements must be frmalised using the apprpriate cntract frm and must prvide: Transparency particularly with prvisin f infrmatin sharing gd and bad practice: A cntributin t service re-design Timely prvisin f infrmatin and perfrmance reprting Evidence f imprved patient experience year n year Evidence f value fr mney Partnership status must nt be used as a reasn t avid cmpetitin and shuld nly be used apprpriately and be regularly mnitred. Fr partnership services the CCG may chse t cmmissin the service frm a partner but may als chse t tender fr prvisin f the service, fr example where the partner cannt meet the service mdel requirements r csts cannt be agreed. Spt Purchasing There will be the need t spt purchase cntracts fr particular individual patient needs r fr urgency f placements requirements at varius times. At these times, a cmpetitive prcess may be waived. It will be expected that these cntracts will underg best value reviews t ensure the CCG is getting value frm the cntract. In all cases the CCG shuld ensure that the prvider is fit fr purpse t prvide the particular service. Framewrk Agreements The CCG is able t use Central Gvernment framewrk agreements. The EU rules state that framewrk agreements shuld be fr n lnger than fur years in duratin. This will require the running f a mini cmpetitin will all prviders n the framewrk list having the pprtunity t bid. Bids are then evaluated and a cntract awarded fllwing the same prcesses as fr tenders. Any cntract awarded can run beynd the framewrk agreement perid but the length f the cntract extensin must be reasnable. Grants In certain circumstances the CCG may elect t prvide a grant payable t third sectr rganisatins. Hwever there shuld be n preferential treatment fr third sectr rganisatins. Use f grants can be cnsidered where: Funding is prvided fr develpment r strategic purpses The prvider market is nt well develped Innvative r experimental services Where funding is nn-cntestable (i.e. nly ne prvider) 12

13 Grants shuld nt be used t avid cmpetitin where it is apprpriate fr a frmal prcurement t be undertaken. 13 Tendering Prcess If a decisin is taken t pursue a cmpetitive tender prcess, there are a range f further issues that will be taken int accunt in the design f the prcess t be fllwed, these are nt cnsidered in detail in this Plicy but which include: Market analysis (e.g. structure, cmpetitin, capacity, interest) Tender rutes Prcurement timescales Affrdability Impact n service stability Prcurement resurce, including respnsibilities and accuntabilities Cnsultatin and Engagement requirements Outcme-based specificatins Existing related cntractual arrangements Cntract management Prvider develpment Value fr mney 14 Financial and Quality Assurance checks The CCG will require assurance abut ptential prviders. Where this is nt achieved thrugh a frmal tender prcess, the fllwing financial and quality assurance checks f the prvider will be expected t be undertaken befre entering int a cntract: Financial viability Ecnmic standing Crprate scial respnsibility Clinical capacity and capability Clinical gvernance Quality/Accreditatin Prcurement Plicy Nte: Measures t Prmte Tax Cmpliance Actin Nte 06/13-25 July 2013; The CCG will ensure that the relevant questins set ut in this nte are asked t all ptential bidders fr any wrk t be cmmissined by NHS Nrth Smerset CCG. 13

14 15 Principles f gd prcurement Transparency Secure best placed prvider Needs Assessment Cmmissining Gals Cntract Review Service Review Benchmarking Health care market analysis Prvider Engagement Supply2health Prprtinate Prcurement The key principles f gd prcurement are: Transparency: Prprtinality: Nn-discriminatin: Equality f treatment: Making cmmissining intent clear t the market place. Including the use f sufficient and apprpriate advertising f tenders, transparency in making decisins nt t tender, and the declaratin and separatin f cnflicts f interest; Making prcurement prcesses prprtinate t the value, cmplexity and risk f the services cntracted, and critically nt excluding ptential prviders thrugh verly bureaucratic r burdensme prcedures; Having specificatins that d nt favur ne r mre prviders. Ensuring cnsistency f prcurement rules, transparency n timescale and criteria fr shrtlist and award; and Ensuring that all prviders and sectrs have equal pprtunity t cmpete where apprpriate; that financial and due diligence checks apply equally and are prprtinate; and that pricing and payment regimes are transparent and fair. 14

15 The CCG will ensure cmpliance with these principles in the fllwing ways. Transparency The CCG will cmmissin services frm the prviders wh are best placed t deliver the needs f ur patients and ppulatin. The CCG will prcure general gds and services using prcesses and frm suppliers that ffer best value fr mney. The CCG will maintain n its website fr public view a recrd f cntracts held and infrmatin abut what services are t be prcured and when they will be presented t the market The CCG will determine as early as practicable whether and hw services are t be pened t the market and will share this infrmatin with existing and ptential prviders. The CCG will use the mst apprpriate media in which t advertise tenders r pprtunities t prvide services, including using the Supply2Health prcurement prtal established by the DH t advertise all apprpriate tenders. The CCG will rbustly manage ptential cnflicts f interest and ensure that these d nt prejudice fair and transparent prcurement prcesses. The CCG will ensure that all referring clinicians tell their patients and the cmmissiner abut any financial r cmmercial interest in an rganisatin t which they plan t refer a patient fr treatment r investigatin. The CCG will prvide feedback t all unsuccessful bidders. The CCG will nt cntract with prviders whse pricing strategy cnstitutes predatry pricing. Prprtinality The CCG will ensure that prcurement prcesses are prprtinate t the value, cmplexity and risk f the prducts t be prcured. The CCG will define and dcument prcurement rutes, including any streamlined prcesses fr lw value/lcal gds and services, taking int accunt available guidance. Nn-discriminatin The CCG will ensure that tender dcuments are written in a nn discriminatry fashin e.g. generic terms will be used rather than trade names fr prducts. The CCG will infrm all participants f the applicable rules in advance and ensure that the rules are applied equally t all. Reasnable timescales will be determined and applied acrss the whle prcess. The CCG will ensure that shrtlist criteria are neither discriminatry nr particularly favur ne ptential prvider. 15

16 Equality f Treatment The CCG will ensure that n sectr f the prvider market is given any unfair advantage during a prcurement prcess. The CCG will ensure that basic financial and quality assurance checks apply equally t all types f prviders. The CCG will ensure that all pricing and payment regimes are transparent and fair (accrding t the DH Principles and Rules Dcument). The CCG will retain an auditable dcumentatin trail regarding all key decisins. The CCG will hld all prviders t accunt, in a prprtinate manner, thrugh cntractual agreements, fr the quality f their services. 16 Cntract Frm The CCG will ensure that the NHS Standard Cntract r where apprpriate a NHS Standard Deed f Variatin will be used fr all cntracts fr NHS funded health and scial care services cmmissined by the CCG. In exceptinal circumstances, such as where a jint cntracting arrangement is led by lcal authrity, the CCG may agree t be party t a different frm f cntract. The CCG will ensure that a standard Grant Agreement dcument will be used t recrd the prvisin f grants t third parties which will cntain the prvisins upn which the grant is made. 17 Sustainable Prcurement The NHS is a majr emplyer and ecnmic frce bth in the Nrth Smerset area and within the wider NHS Suth West regin. The CCG recgnises the impact f its purchasing and prcurement decisins n the reginal ecnmy and the psitive cntributin it can make t ecnmic and scial regeneratin. The CCG is cmmitted t the develpment f innvative lcal and reginal slutins, and will deliver a range f activities as part f its plan t supprt this cmmitment. Wherever it is pssible, and des nt cntradict r cntravene the CCG s prcurement principles r the prvisins allwable under the Public Services (Scial Value) Act 2012, the CCG will wrk t develp and supprt a sustainable lcal health ecnmy. 18 Public Services (Scial Value) Act 2012 This Act that came int frce n 1 st February 2013 and requires cmmissiners at the pre-prcurement stage t cnsider hw what is t be 16

17 prcured may imprve scial, envirnmental, and ecnmic well-being f the relevant area, hw they might secure any such imprvement and t cnsider the need t cnsult. Althugh the Act nly applies t certain public services cntracts and framewrk agreements t which the Public Cntract Regulatins apply, the CCG intends, as a matter f gd practice, hw what is abut t be prcured might imprve ecnmic, scial and envirnmental well-being in rder t maximise value fr mney. The cnsidered applicatin f the prvisins f this Act will prvide the CCG with the means t braden evaluatin criteria t include impact n the lcal ecnmy. 19 Use f Infrmatin Technlgy Wherever pssible apprpriate infrmatin technlgy systems i.e. e- prcurement and e-evaluatin methds will be used. These are intended t assist in streamlining ur prcurement prcesses whilst at the same time prviding a rbust audit trail. E-Tendering and E-evaluatin slutins prvide a secure and efficient means fr managing tendering activity particularly fr large cmplex prcurements. They ffer efficiencies t bth purchasers and prviders by reducing time and csts in issuing and cmpleting tenders, and particularly t purchasers in respect f evaluating respnses t tenders. All rdering f gds and services shuld be made by placing fficial rders n the Oracle- I Prc system which is the first part f a purchase t Pay system which will be all electrnic. 20 Minimising the burden n bidders The CCG recgnises that any prcurement prcess is extremely resurce intensive n bidders as well as CCG staff. In rder t ensure the best pssible utcmes, the CCG will be practive in its apprach t minimising the administrative and lgistical burden n bidders thrughut the prcess. BCCG will carry ut the fllwing: Cmply with Cabinet Office released Supplier Financial Risk Issues Feb 2013 which specifically attempts t aid smaller rganisatin and the vluntary sectr. Find the balance between receiving adequate assurance whilst nt seeking excess infrmatin fr n additinal benefit. Recent Gvernment guidance has indicated that the pre-qualificatin stage f prcurements shuld be much mre streamlined, and that the questins shuld relate nly t issues directly relevant t the service. We will adpt this apprach, and nly request dcumentatin/infrmatin which is strictly necessary. 17

18 Limit the length and breadth f the evaluatin-apply rigid wrd-limits t each answer, and limit the number f questins asked verall, taking cnsideratin f the verall length f respnse that are expected t receive back. 21 Decmmissining services The need t decmmissin cntracts can arise thrugh: Terminatin f the cntract due t perfrmance against the cntract nt delivering the expected utcmes. This can be mitigated by apprpriate cntract mnitring and management and by invlving the prvider in this. The cntract terms will allw fr remedial actin t be taken t reslve any prblems. Shuld this nt reslve the issues, then the cntract will cntain apprpriate terminatin prvisins; The cntract expires; and/r Services are n lnger required Where services are decmmissined, the CCG will ensure where necessary that cntingency plans are develped t maintain patient care, patient data is held safe and transferred t any new prvider. Where decmmissining invlves Human Resurce issues, such as TUPE issues, then prviders (Exiting and Incming) will be expected t cperate and help all parties t discharge their bligatins under current emplyment law. 22 Transfer f Undertakings and Prtectin f Emplyment Regulatins (TUPE) These regulatins arse as a cnsequence f the 1977 EU Acquired Rights Directive and were updated in They apply when there are transfers f staff frm ne legal entity t anther as a cnsequence f a change in emplyer. This is a cmplex area f law which is cntinually evlving. Cmmissiners need t be aware f these and the need t engage HR supprt, prcurement and pssibly legal advice if there is likely t be a TUPE issue. Additinally, NHS Bdies must fllw Gvernment guidance cntained within the Cabinet Office Statement f Practice 2000/72 and assciated Cde f Practice 2004 when transferring staff t the Private Sectr als knwn as COSOP. It is the psitin f the CCG t advise ptential bidders that whilst nt categrically stating TUPE will apply it is recmmended that they assume that TUPE will apply when preparing their bids, and ensure that adequate time is built int prcurement timelines where it is anticipated that TUPE may apply. 18

19 23 Equality Impact Assessment. All public bdies have statutry duties under the Equality Act The CCG aims t design and implement services, plicies and measures that meet the diverse needs f ur service, ppulatin and wrkfrce, ensuring that nne are placed at a disadvantage ver thers. In rder t supprt these requirements, the CCG s Equality Impact Assessment is used t assess all the CCG s plicies/guidelines and practices. It shuld als be used at varius pints in the prcurement prcess including befre the final decisin n award is made. 24 Prcurement Training Needs Analysis. All CCG staff and thers wrking with the CCG will need t be aware f this plicy and its implicatins. It is nt intended that staff generally will develp prcurement expertise, but they will need t knw when and hw t seek further supprt. The mst urgent requirement is that all cmmissining staff thrughut the CCG shuld knw enugh abut prcurement t knw t seek help when they encunter related issues; they must als be able t give clear and cnsistent messages t prviders and ptential prviders abut the CCG s prcurement intentins in relatin t individual service develpments. Awareness f prcurement issues is being raised thrugh rganisatinal develpment and training sessins fr clinical and nn-clinical members f CCG. 25 Mnitring Cmpliance with this Strategy / Prcedure. This Plicy will be reviewed every three years. In additin it will be kept under infrmal review in the light f emerging guidance, experience and supprting wrk. Given the changing envirnment it is likely that this Plicy will need t be updated within a relatively shrt timescale. Effectiveness in ensuring that all prcurements cmply with this Plicy will primarily be achieved thrugh business as usual review by the relevant Head f Service within the CCG. 19

20 APPENDIX 1 These tw diagrams shw the tasks t be undertaken by Cmmissining and Prcurement. 20

21 Appendix 2 Cnflict f Interest Disclsure Dcuments fr use at all Prcurement prject meetings As part f any cmmissining prcess, It is required that thse individuals party t cmmissining infrmatin have n actual r ptential cnflicts f interest. Fr these purpses, a cnflict f interest means any fact r matter which might prevent (r might be seen by thers as preventing) the cmmissining prcess frm being fair and impartial, either thrugh yur invlvement in it r yur knwledge f it. Yur attentin is drawn t the Bribery Act 2010 and yur bligatins and respnsibilities under this Act. Examples f cnflicts f interest include: Having a financial interest (e.g. hlding shares r ptins) in a ptential bidder except where this is a hlding f less than 5% f the issued share capital in a public quted cmpany. Quted will include the Stck exchange, equivalent verseas exchanges r the AIM. Having a financial r any ther persnal interest in the utcme f the Evaluatin Prcess; Being substantively emplyed r engaged by any ptential bidder, r having an expectatin f s being, dependant n the utcme f the tender prcess, this includes a situatin where yu prvide services under a cntract fr services, r expect t be asked t d s. Receiving any kind f mnetary r nn-mnetary payment r incentive (including hspitality) frm any ptential bidder r its representatives; Canvassing r negtiating with any persn with a view t entering int any f the arrangements utlined abve; Having a clse member f yur family (which term includes unmarried partners) wh falls int any f the categries utlined abve; and Having any ther clse relatinship (current r histrical) with any ptential bidder. a nn-pecuniary interest: where an individual hlds a nn-remunerative r nt-fr prfit interest in an rganisatin, that will benefit frm the cnsequences f a cmmissining decisin (fr example, where an individual is a trustee f a vluntary prvider that is bidding fr a cntract) a nn-pecuniary persnal benefit: where an individual may enjy a qualitative benefit frm the cnsequence f a cmmissining decisin which cannt be given a mnetary value (fr example, a recnfiguratin f hspital services which might result in the clsure f a busy clinic next dr t an individual s huse); 21

22 Yu als cmmit t immediately disclse any change in yur status as it might pertain t cnflicts f interest (i.e. yu gain a financial interest in a ptential bidder which is nt currently reasnably freseen). The abve is nt an exhaustive list f examples, and it is yur respnsibility t ensure that any and all ptential cnflicts whether r nt f the type listed abve are disclsed nw t the Senir Respnsible fficer fr the Prcurement. On receipt f any ntificatin f a ptential cnflict f interest, the Senir Respnsible fficer will cnsider whether the interest is ptentially prejudicial t the fairness and prpriety f the prcurement, and ntify yu f what restrictins n yur invlvement may be required as a result f the interest. The default assumptin is that an actual r ptential cnflict f interest will result in yur being excluded frm the evaluatin and decisin making in relatin t the prcurement. The senir Respnsible Officer shuld seek advice frm the Chief Operating Officer if necessary. Yu acknwledge that as a result f yur participatin/knwledge f the cmmissining prcess, yu will receive cnfidential infrmatin. Yu agree at all times t keep this infrmatin and all ther infrmatin yu receive as part f the cmmissining prcess cnfidential and agree nt t disclse any details unless expressly tld that yu may d s. Yu must als ntify the senir Respnsible fficer f any apprach yu receive frm any persn seeking t btain any cnfidential infrmatin frm yu. This wuld include being asked t advise bidders r related parties where yu have relevant knwledge and that knwledge might be expected t affect yur advice. I cnfirm that I have n cnflict f Interest arising frm the abve named Service. Signature Name Date 22

23 Appendix 3 Have yu decided that a new service mdel r significant additinal capacity is required r has an existing cntract cme t the end f its term? Yes Can this be delivered thrugh an existing cntract withut breaching prcurement rules? Yes Implement cntract variatin, extensin r management with existing service prvider Cnsider: It is envisaged as part f the riginal prcurement and cntract? Wuld it have affected the riginal chice f prvider? Have yu taken legal advice? N Cnsider: Is there likely t be mre than ne viable prvider? Yes N Use single tender actin Have apprpriate steps been taken t identify ther capable prviders? Will delivery still be value fr mney? Have cnflicts f interest been declared and dealt with? Cnduct cmpetitive prcurement Is the service suitable fr a lcal AQP Framewrk? N Yes Set up AQP Framewrk fllwing apprpriate accreditatin prcess Cnsider: Fllw relevant guidance regarding accreditatin prcess and framewrk Ensure audit trails exist Have cnflicts f interest been declared and dealt with? Cnsider which prcurement prcess is apprpriate Cnsider: Des specificatin require further develpment with prviders r d yu want innvatin frm bidders? N Yes Use simpler prcurement prcedure with n dialgue Use prcurement prcedure that allws fr dialgue Is yur prcess transparent, prprtinate and nndiscriminatry? D yu need t reduce the number f likely bidders? Hw will yu treat all bidders equally? What are yur award criteria? Where will yu advertise? Have cnflicts f interest been declared and dealt with? 23

24 Appendix 4 Aspects t be cnsidered when deciding whether cmpetitive tendering is apprpriate. Cnsideratin Imprtance Justificatin ( H,M,L) f tendering prcess Strng Medium Weak Cntract > 174 k < 50k Value Cntract >2 years <=1 year length Level f > 5 1 market interest rganisatins( r unknwn) Organisatin Market > 3 1 capability rganisatins( Organisatin (Number f r unknwn) rganisatins believed t have required expertise) Likely <5% f ttal >=1 year prcurement Budget cntract value csts t the CCG Availability f CCG staff t Resurces available at n Resurce available at Insufficient resurce supprt additinal additinal available prcurement prcess financial cst financial cst Cnfidence f Lw Medium High achieving best prvider fr ppulatin needs withut cmpetitive tendering Cnfidence in achieving Lw Medium High Value fr mney (VfM) withut tendering Urgency f >8 mnths < 12 weeks 24

25 requirements Ability t predict requirement Ptential t imprve VfM by tendering Ptential fr innvatin Benefits f cntinuity with existing prvider f same related service High Medium Lw High/unknwn Medium Lw High Medium Lw Nne Sme Strng In additin the fllwing, ptentially-verriding, cnsideratin shuld be taken int accunt; Is a specific prvider required t prtect essential public services ( e.g A&E) Are services prtected by mnply rights? ( e.g. in accrdance with legal r administrative instrument) Are there any prcurement cnstraints linked t partnership funding? ( e.g. if the CCG is nt a jint signatry t a cntract) 25