Transcription
PROCUREMENTMANUALRevision 6.11 April, 2019Procurement Group
Copyright 2019All rights reserved. The reproduction of any materials from this publication must be accompanied by a reference to thetitle and a website location of this document.This publication may be reproduced for personal use but may not otherwise be reproduced or, stored in a retrievalsystem or transmitted, in any form or by any means, electronic, photocopying, recording or otherwise, without priorwritten permission of UNOPS.
PrefaceThe Procurement Manual details UNOPS procurement instructions, procedures and processes and provides furtherguidance for carrying out procurement activities for or on behalf of UNOPS effectively and efficiently in compliance withUNOPS Financial Regulations and Rules, and other applicable UNOPS legislative instruments.This document is available online at www.unops.org and on the UNOPS internal intranet intra.unops.org. It has beenpublished in electronic format to limit the use of paper, ink, and transport emissions to further support UNOPSleadership role in advancing sustainable practices.Once this document has been downloaded and/or printed, it is no longer a valid policy document and must only be usedfor reference purposes. The valid policy document will always be the version available on intra.unops.org.Comments and questionsThis Procurement Manual will be updated regularly, to ensure that it remains relevant to UNOPS activities andrequirements and up to date with best practices in public procurement.If you have comments or suggestions for improvement, please contact the Procurement Group (PG), UNOPS HQ, throughemail: procurement@unops.org.
Table of ContentsPreface. 3What’s new in Revision 6.1? . 91Introduction . 121.11.21.31.41.52Organization of procurement . 242.12.22.32.42.52.62.72.83Overview of the procurement process. 24Definition of procurement . 24Outline of the procurement process. 25Responsibilities of organizational units and key roles in procurement processes . 25Project manager/Requisitioner . 26Procurement official . 26Procurement authority . 27Responsibilities of the procurement authority . 27Delegation of authority (DOA). 272.5.2.1Cumulative amounts . 282.5.2.2LTAs and DOA . 29Procurement reviewers. 29Accountability . 30Segregation of duties . 30Supplier registration and management . 333.13.23.34Purpose, application and structure . 12Purpose . 12Applicability . 12Procurement Manual structure . 12Update and maintenance . 13Legislative framework . 13Superseding effect . 13Procurement principles . 13Best value for money . 14Fairness, integrity and transparency . 14Effective competition . 15Best interest of UNOPS and its partners . 16Potential conflicts among the principles . 16Ethical standards . 16General Standards of Conduct . 171.5.1.1Ethics versus Rules. 171.5.1.2Independence. 171.5.1.3Accountability . 171.5.1.4Obligation to Report Suspected Wrongdoing / Whistleblower Protection . 181.5.1.5Post-Service Restrictions . 181.5.1.6Ethics Office . 18Ethics in dealing with suppliers. 18Conflicts of interest . 191.5.3.1Gifts and hospitality . 191.5.3.2Outside Activities. 191.5.3.3Obligation to disclose any conflict of interest. 20Ethical behaviour of suppliers . 201.5.4.1DRiVE programme. 201.5.4.2Proscribed practices by suppliers and vendor sanctions . 211.5.4.3Supplier conflict of interest . 21Supplier registration . 33Supplier management. 34Vendor ineligibility . 34Procurement strategy, planning and requirements definition . 374.14.24.3Procurement strategy . 37Procurement planning . 37Requirements definition . 39The purpose of requirements definition . 39
4.44.55Sourcing . 465.15.25.35.45.55.65.76Characteristics of well-defined requirements . 40Requirements definition for goods and services . 414.3.3.1Technical specifications . 414.3.3.2Terms of reference (TOR) . 414.3.3.3Statement of work (SOW) . 41Requirements definition for works . 414.3.4.1TOR for design and other technical consultancy services for works . 424.3.4.2Design documents for works . 424.3.4.3Employer’s Requirements for Design and Build Construction Contracts . 43Requisitions . 43Standardization . 43Sourcing of vendors . 46Market research . 46External sources . 46Internal sources . 47Advertisement of business opportunities. 47Request for information . 47Request for expression of interest (EOI) . 48Pre-qualification of vendors . 48Creation of short lists of suppliers. 49Supplier selection for short list . 49Approval of short list . 50Solicitation . 536.16.2Overview . 53Types of competition . 53Open international competition and open national/regional competition . 53Limited international competition and limited national/regional competition. 54Sole sourcing or direct contracting . 546.3 Solicitation methods. 55Shopping . 55Request for quotation . 55Invitation to bid . 56Request for proposal . 56Selection of solicitation method for works . 57Alternative procedures for the procurement of innovation . 586.4 Solicitation documents. 596.5 Components of solicitation documents . 60Letter of invitation . 60Particulars and instructions to bidders. 60Evaluation criteria. 676.5.3.1Formal and eligibility criteria . 686.5.3.2Qualification and technical criteria . 686.5.3.3Financial criteria . 706.5.3.4Evaluation criteria for joint ventures . 71Schedule of requirements . 72Returnable bidding forms/schedules . 72Contractual information . 736.6 Invitation of vendors . 73Approval of solicitation documents . 74Distribution of solicitation documents . 74Confidentiality of the short list . 74Amendments to solicitation documents. 74Cancellation of the solicitation process . 74Solicitation of offers in situations of direct contracting under sole sourcing . 75Solicitation of offers against LTAs. 756.7 Communication with vendors . 756.8 Exceptions to competitive tendering or formal methods of solicitation . 77Exceptions . 77Pre-selection . 806.9 Emergencies . 816.10 E-tendering . 81
7Management of submissions . 857.17.27.37.47.57.68Receipt and safeguarding of submissions . 85Modification and withdrawal of submissions. 85Modification of submissions . 85Withdrawal of submissions . 85Late and unsolicited submissions . 86Late offers . 86Unsolicited offers . 86Opening and recording of submissions . 87Bid-opening panel . 87Opening of quotations (RFQ) . 88Opening of bids (ITB). 88Opening of proposals (RFP) . 88Rejection of submissions . 89Post-opening . 89Evaluation of submissions . 928.18.28.38.4Overview . 92Evaluation team . 92Evaluation criteria . 93Evaluation methodology . 93Lowest priced, most technically acceptable offer . 94Lowest priced, substantially compliant offer . 94Cumulative analysis . 948.5 Preliminary screening . 958.6 Technical evaluation . 968.7 Financial evaluation . 96Justification of reasonableness of price . 978.8 Further aspects of evaluation. 98Deviations. 988.8.1.1Material deviations . 988.8.1.2Minor informalities or irregularities in bids . 988.8.1.3Apparent clerical mistakes . 988.8.1.4Apparent errors in price . 998.8.1.5Abnormally low bids/proposals. 998.8.1.6Missing documents . 99Clarifications from vendors . 99Evaluation of lots . 100Review of offers received in situations of direct contracting or sole sourcing . 100Complaints and representations . 100Indications of potential proscribed practices . 100Best and final offer (BAFO) . 1018.9 Negotiations . 1028.10 Recommendation . 103Evaluation report . 103Background checks . 104Suppliers with pending claims, disputes and contentious issues . 1059Procurement process review . 1079.19.29.39.49.59.69.79.810Organization of procurement review . 107Membership/composition of CPC . 107Organization of work/schedule of CPC . 107Scope of review of CPC . 107Monetary thresholds for CPC review . 109Preparation of submission for review and award . 109CPC recommendations and decisions. 109Emergencies and exigencies . 110Post facto and retroactive. 110Awards. 11310.1 Award and finalization . 113Awards with contingency sum . 11310.2 Vendor notification, debriefing and protest .
Preface The Procurement Manual details UNOPS procurement instructions, procedures and processes and provides further guidance for carrying out procurement activities for or on behalf of UNOPS effectively and efficiently in compliance with
