To.

POLICY AND RESOURCES COMMITTEE

From. DIRECTOR OF FINANCE

Subject.

CONTRACT STANDING ORDERS

I Date. 27 April 1998 1 Ref. rlOS/igi

I enclose for the Committee’s consideration and approval revised Council’s Contract Standing Orders, t o replace those approved by Council on 28 March 1996.

In recognition of the special flexibility required in Social Care contracts, two sets of Orders have been prepared, one specifically for Social Work and the other for all other departments. They differ only in respect of Social Care, and are otherwise identical.

Recommendation

The Policy and Resources Committee is invited to agree the revised Contract Standing Orders.

D’ P& ector of Finance

i -

NORTH LANARKSHIRE COUNCIL

CONTRACT STANDING ORDERS

APPLICABLE TO SOCIAL WORK

Second Edition - 14 May 1998

Standing Orders for the Supply of Goods or Materials, the Provision of Services and the Execution of Works

These orders apply only to the Social Work Department

MASTERSICSO.3

Paragrauh

INDEX

1 2 3 4 5 6 7 8 9

10 11 12 13 14 15

16 17

18 19 20

Extent Exemptions Estimates of Cost Standing Approved List of Contractors Ad hoc Restricted List of Contactors Public Contracts Regulations Submission of Tenders Late Tenders Opening of Tenders Checking of Tenders Acceptance of Tenders Form of Contract Register of Tenders Nomination of Sub-Contractor Serial, Two Stage and Negotiated Tenders and Existing Contracts European Standards Prevention of Collision and Cormpt or Illegal Practices Equal Opportunity in Employment Race Equality Assignation

1 2 2 3 4 4 5 6 6 6 6 7 7 8 8

8 9

9 9 9

Appendix Race Relations 10

MASTERSCSO.3

NORTH LANARKSHIRE COUNCIL Standing Orders Relating to Contracts

1. EXTENT

1-1 North Lanarkshire Council ("the Council") made these Standing Orders ("Orders1') under Section 81 of the Local Government (Scotland) Act 1973. The Orders shall apply to arrangements made by or on behalf of the Council relating to the supply of goods and materials, the provision of services including Consultancy Services and the execution of works except where the separate Standing Orders relative to the Council's functions as a Social Work Authority and/or Direct Labour Organisation must be applied. In addition, the Orders shall be applied by every employee of the Council.

For avoidance of doubt, the word "Director" shall be deemed to include the Chief Executive.

The word "Contract" also means work which is, or may be, assigned to any of the Council's direct labour organisations or direct service organisations. Competitive quotes, offers or tenders must be sought in respect of each contract.

1.2 Any action which may be taken on the Council's behalf may be subject also to the terms of the Council's specific delegations of responsibilities to particular officers and the Financial Regulations as approved from time to time by the Council.

1.3 These Orders shall apply to Council contracts unless any legislation requires otherwise, in which case that legislation shall apply together with those parts of the Orders which are unaffected by such legislation.

1.4 Order 6 relates to contracts to which the European Union's Public Procurement Directives apply. The directives broadly call for a three-stage tendering process for contracts above the prescribed amount. The stage which must be considered first is the "open tendering procedure", when any competent contractor may bid. If there is good reason why that procedure would be inappropriate, then the next stage must be considered. That second stage is the ''restricted tendering procedure", whereby previously approved listed contractors may bid. If there is good reason why that procedure would be inappropriate then the third stage must be considered. That third stage is the "negotiated tendering procedure" when a very few contractors or a sole contractor may be invited to negotiate the terms of their bids.

1.5 These Orders shall not apply to contracts made on the Council's behalf by means of framework agreements made with other organisations, including the Authorities Buying Consortium (ABC), the Stationery Office and the Government Catalogue. The Council shall not seek offers for contracts which these organisations are entitled to seek on the Council's behalf, except in such cases as the Council deems it likely that better value will be obtained by seeking tenders by other means, or as otherwise permitted by the framework agreements.

1.6 All contracts for the execution of construction works shall be the responsibility of the Director of Construction Services.

1

2 EXEMPTIONS

2.1 There shall be exempted from the provisions of these Orders all contracts for the supply of goods or materials (including second-hand goods or materials), the provision of services including Consultancy Services and the execution of works where the total estimated prices does not exceed €5,000 including items of a recuning nature totalling no more than this amount, subject always to the need to demonstrate value for money and probity when entering into any such contracts.

2.2 There shalI be exempted from the provisions of these Orders but not from the requirement to seek competitive quotes, all contracts for the supply of goods or materials (including second hand goods or materials), the provision of services including consultancy services and the execution of works, including those on a recurring basis, where the total estimated price exceeds €5,000 but does not exceed €20,000.

Such contracts shall be recorded in registers of quotations kept and maintained by the Director, which shall include the number of quotations received in respect of each contract, the name and address of each tenderer, the value or amount of each quote, and a statement as to the acceptance or otherwise of the quote. These registers shall be made available for inspection at any time by the appropriate Social Work Committee andor the Director of Finance.

2.3 These Orders shall not apply to any contract if an officer who has been given specific responsibility in this regard by the Council (an "authorised officer") believes that a contract would avert, alleviate or eradicate the effects or potential effects of an emergency or disaster (actual or potential) involving or likely to involve danger to life or health or serious damage to or destruction of property. An authorised officer may enter into an emergency contract and as soon as possible afterwards report fully on the circumstances to the Social Work Committee of the Council.

2.4 The Council, by reason of special circumstances, may decide that some or all of these Orders shall not apply to any contract.

2.5 These orders do not apply to contracts of employment.

2.6 Services for an individual whose social care needs cannot in the opinion of the Director of Social work be met by an existing contract, for a period of no longer than 3 months during which the service will be brought within the standard contracting arrangements as set out in Standing Orders and these Rules; and a contract with any one organisation for the annual supply of social care services at an estimated cost of less than €20,000, shall be exempt from these Standing Orders.

3. ESTIMATES OF COST

No contract shall be entered into unless the estimated expenditure involved is either included within the Council's approved budgets E can otherwise be provided from financial resources available to the Council.

MASTERWCSO.3 2

4.

4.1

4.2

4.3

4.4

4.5

4.6

STANDING APPROVED IJST OF CONTRAmORS

In respect of contracts below the threshold values specified in Order 6.1, but above the exemption level specified in Order 2, the Director shall keep a list of persons to be invited to tender, or where appropriate negotiate, for contracts for the supply of goods or materials or for the provision of services of specified categories, values or amounts, or for the execution of specified categories and values of works and except as provided for in Orders 5 and 6, invitations to tender for a contract shall be limited to persons whose names appear on the list. The list held by the Director shall require to be approved by the appropriate Committee before it may be used.

For the avoidance of doubt, the list of persons to be invited to tender for contracts for the execution of construction works shall be kept by the Director of Construction Services.

Each list shall:

(i) be compiled and maintained by the Director,

(ii) contain the names of all persons who wish to be included in it approved for contracts for all, or only some, of the specified categories, values or amounts.

(iii) indicate whether a person whose name is included in it is approved for contracts for all, or only some, of the specifxed categories, values or amounts. Provided that no person shall be included in a list unless:

(a) his technical capability, professional fitness and financial standing have been satisfactorily investigated and

(b) he has given an assurance in writing to the Council that he will comply with the appropriate conditions of contract laid down by the Council.

(c) in respect of Care Services, unless the Director is satisfied that such person is fit to be included in the list of Authorised Providers.

At least four weeks before a list is first compiled, notices inviting applications for inclusion in it shall be published in one or more newspapers circulating in the appropriate part of the authority's area and also in such trade journals as the Director may consider necessary.

(i) in respect of Care Services, the Director may amend the list of Authorised Providers at any time, and shall report such amendments to the Social Work Committee quarterly. The Committee shall review the list at intervals of not more than two years as in Order 4.5. (ii);

(ii) for other services, the Committee may amend its list at any time, and shall review the list at intervals of not more than two years. At least four weeks before such a review, each person whose name appears on the list shall be asked whether he wishes to remain on the list and shall be asked to provide such information as considered necessary to cany out the review and notices inviting applications for inclusion on the list shall be published in the manner described in Order 4.4.

In the event that a contractor is removed from the list or has an application to be added to the list refused, the Director shall keep a record listing the name and address of the contractor and explaining the reason why that contractor has been moved from list or why the application to

MASERSICSO.3 3

3 -

4.7

4.8

5.

5.1

5.2

5.3

6.

6.1

6.2

Notwithstanding the provision of Order 4.1 where there is no list of approved contractors appropriate for a proposed contract, the Director shall submit for approval of the Social Work Committee a list of persons whom he considers competent to carry out such a Contract, and on approval by that Committee, invitations to tender shall be limited to the persons whose names appear on that list.

An invitation to tender for a contract shall be sent to at least four persons whose names appear on the appropriate list as being approved for a contract of that category or for that value or amount or, if there are four or fewer than four persons, to all such persons. If there are more than four such persons, the Director shall elect four or more such persons to whom invitations to tender shall be sent.

AD HOC RESTRICI'ED LIST OF CONTRACTORS

This Order shall apply to all contracts below the threshold values specified in Order 6.1, where the appropriate Committee has authorised that invitations to tender for a particular contract shall not be limited to persons whose names appear on the list approved by the Committee under Order 4, but shall be limited instead to persons who reply to a public notice.

Public notice shall be given in one or more newspapers circulating in the appropriate part of the Council's area and in such trade journals as the Director may consider necessary, setting out particulars of the contract into which the Council wish to enter and inviting persons interested to apply within such period, not less than fourteen days, as may be specified, for permission to tender.

After expiration of the period specified in the public notice, if more than four persons have applied for permission to tender, invitations to tender for the contract shall be sent to four or more such persons selected in the manner provided for in Order 4.8 or, if four or fewer than four persons have applied and are considered suitable by the Director, to all such persons. Provided that no person shall be invited to tender unless he has met the requirements of Orders 4.3.

PUBLIC CONTRACTS REGULATIONS

Tendering Procedures

The Social Work Committee may approve the open, restricted or negotiated procedures for the purpose of seeking offers to enter into contracts as prescribed by the Public Works Contracts Regulations 1991, the Public Service Contracts Regulations 1993 and the Public Supply Contracts Regulations 1995 ("The Public Contracts Regulations"). As at 1 January 1998 those regulations apply to (a) services and supplies estimated to cost in excess of €160,670 and (b) works estimated to cost in excess of €4,016,744.

The Director shall report to the Social Work Committee concerning any proposed contract governed by the Public Contracts Regulations. That report shall include recommendations as to the type of tendering procedure which should be adopted for the particular contract.

Open TenderinP Procedure

This procedure allows any competent contractor to bid in response to public advertisement. If the open procedure is not recommended specific reason shall be given for recommending any other tendering procedure.

MASTERSCSO.3 4

6.3

6.4

7.

7.1

Restricted Tendering Procedure

If the Social Work Committee has decided that the open procedure would not be appropriate for a particular contract, the Committee may approve the restricted procedure for the purpose of seeking offers to enter into contracts as prescribed by the Public Contracts Regulations.

If neither the open nor the restricted procedure is recommended, specific reason shall be given for recommending the negotiated procedure.

Negotiated Tendering Procedure

6 )

(ii)

(iii)

If the Social Work Committee has decided that neither the open nor the restricted procedure would be appropriate for a particular contract the Committee may approve the negotiated procedure for the purpose of seeking offers to enter into contracts as prescribed by the Public Contracts Regulations.

Where an authorised provider initiates an offer to provide a social care service, the Director of Social Work, following consultation with the Chair or a Vice Chair of the Social Work Committee, is authorised to receive, negotiate and approve a "call o f f contract, provided that such contracts are in standard format approved by the Director of Administration and there is no commitment on the Council to use any given level of service. The Director of Social Work shall report to the Social Work Committee on a quarterly basis those "call off' contracts negotiated with authorised providers.

The Director of Social Work, following consultation with the Chair or a Vice Chair of the Committee may also enter into negotiations with one or more authorised providers to develop social care services in one or more of the following circumstances, namely if:

(a) in the opinion of the Director the needs of the individual@) concerned would be best met by a particular provider; or

(b) in the opinion of the Director there is only one provider capable of delivering the service to meet the needs of the individual(s) concerned; or

(c) the nature of the service is such that it should not or cannot be adequately specified in advance because of the nature of the social care needs of the individual@) concerned;

(d) There are special circumstances such as ownership of land or property, geographic locations or particular skills or experience of providers of social care which limit the choice to one provider.

SUBMISSION OF TENDERS

Every invitation to tender shall state the nature and purpose of the contract for which tenders are invited, specrfy the last date and time (in all cases being twelve noon) when tenders will be received, where tenders are to be sent, that the tenders shall remain open for acceptance for a period specified in the tender documents and that the Council reserves the right to accept a tender other than the lowest or to accept no tender at all.

MASTERSICS0.3 5

7.2

7.3

8.

9,

9.1

9.2

10.

10.1

10.2

11.

11.1

Where, in pursuance of these Orders, an invitation to tender is required, for a contract above the exemption limit every notice of such invitation shall state that no tender will be received except in a plain sealed envelope which shall bear the words "Tender for ....I' followed by the subject to which it relates and the name or other indication of the sender. The envelope containing the tender shall be addressed and delivered to the office of the Director or the Director of Administration (in accordance with standing order 9) in whose custody it shall remain until the time appointed for its opening.

Tenders shall be kept secure and unopened until the time designated for their opening.

LATE TENDERS

No tenders received after the closing date and time for submission shall be considered.

OPENING OF TENDERS

Tenders expected to be in excess of €20,000 shall be opened in the presence of two officers from the Administration Department as nominated by the Director of Administration. Two members of the appropriate Committee shall also be invited to attend at the opening of tenders, although the absence of one or both of these members shall not be taken as any indication that the opening of tenders should not proceed or should be delayed.

In the case of care contracts up to a value of €100,000, tenders shall be opened by two officers of the Social Work Department, one of whom shall be a Head of Service.

CHECKING OF TENDERS

Tenders shall be checked by the Director or his or her nominee. The Director shall thereafter prepare and submit to the Director of Administration a written report in respect of all the tenders received in a form suitable for submission to the Social Work Committee and containing a specific recommendation as to the acceptance or otherwise of each tender and the reasons therefor.

Between the last date and time for the receipt of tenders and the date on which a decision is taken as to which, if any, tender is to be accepted, the Director may instruct not less than two officers or consultant's staff to contact a tenderer in respect of any contract in cases where such contact may be necessary to validate or clanfy the terms of the tender or to contact all tenderers to effect negotiations as to the content or value of tenders. A full written record shall be kept of all such contacts and shall be retained with the original tender.

ACCEPTANCE OF TENDERS

6) In the case of contracts for care, the Director shall:

(a) evaluate all tenders on the basis of:

(i) the assessed needs which the service aims to meet;

(ii) the match between assessed needs and the services proposed:

(iii) the quality of the services proposed and

(iv) the price for the services; and

MASTERYCSO.3 6

11.2.1

11.2.2

11.3

11.4

11.5

12.

13.

13.1

(b) select the tender following consultation with the Chair or a Vice Chair of the Social Work Committee, which appears to be the most cost effective to the Council, where more than one tender is identified as offering services which are of an acceptable quality and equally capable of meeting assessed needs and

(c) report to the Social Work Committee as soon as possible thereafter the basis on which such tenders have been selected.

(ii) In all other contracts, the most cost effective or most economically advantageous tender shall be accepted.

Tenders for Care contracts up to a value of €100,000 may be accepted by the Director of Social Work following consultation with the Convenor or Vice-Convenor of Social Work.

Tenders in excess of f100,OOO for care contracts and €20,000 for other contracts may be accepted by the Director of Administration as authorised by the Committee. Between Committee cycles, where there is no appropriate Sub Committee available, then the Director of Administration, after consultation with the appropriate Convener, or in the absence of the Convener, the Vice Convener may accept tenders in order to expedite the contractual process. In all cases, where this occurs, then the contract shall be reported to the next appropriate meeting of the Committee for their information.

If none of the tenders submitted is to be accepted, the Director or, as appropriate the Director of Administration shall not@ all tenderers accordingly.

No tender shall be accepted unless the Director and the Director of Finance are satisfied as to the technical capability, professional fitness and financial standing of the tenderer.

After a tender has been accepted, the Director, or as appropriate the Director of Administration shall notify unsuccessful tenderers, indicating who was awarded the contract and (where practicable) the estimated cost of that contract.

FORM OF CONTRACT

Every contract shall be in writing in a form approved by the Director of Administration.

REGISTER OF TENDERS

The Director of Administration shall keep and maintain a register of all tenders received and opened in terms of Order 9 and in which shall be entered:

the number of tenders received in respect of each contract;

the date and time of opening of each tender;

the name and address of each tenderer, the value or amount of each tender so far as may be ascertained from examinations of each tender at the time it is opened and a statement, entered subsequently, as to the acceptance or otherwise of each tender;

a statement of the names and addresses of persons to whom tender documents were issued but who declined or failed to submit a tender, and

MASTERSICSO.3 7

(iv) a statement of the names and addresses of persons to whom tender documents were issued but who declined or failed to submit a tender, and

(v) the register shall be made available for inspection at any time by the Social Work Committee andor the Director of Finance.

14. NOMINATION OF SUB CONTRACTOR

Where a contract provides for the nomination of a sub-contractor or supplier for the execution of works or supply of goods or materials or for the provision of services, the following provisions shall apply:

(9 tenders shall be invited by the Director from not less than three persons whom he considers competent for the purpose unless he considers that less than three persons are so competent whereupon he following approval of the Social Work Committee may invite tenders from such lesser number of persons and

(ii) the lowest tenderer shall be nominated as sub-contractor or supplier by the Director unless consent of the Social Work Committee shall have been obtained to the acceptance for some good and sufficient reason of a tender other than the lowest.

15 SERIAL, TWO STAGE AND NEGOTIATED TENDERS AND EXISTING CONTRACTS

15.1 Where the Director considers that tenders should be obtained for a series of projects or in two stages for any proposed works, he/she shall first obtain the approval of the Social Work Committee to that course both in respect of the execution of the works and the tendering procedures.

15.2 Where the Director considers that a tender should be negotiated with one person, he shall, before entering into negotiations, obtain the approval of the appropriate Committee both in respect of the negotiation and of the person with whom the tender is to be negotiated.

15.3 Where the Director considers that an existing contract should be extended and that a tender should be negotiated with the existing contractor, he shall, before entering into negotiation, obtain the approval of the appropriate Committee both in respect of the extension and of the negotiation with the existing contractor.

16. EUROPEAN STANDARDS

16.1 All contracts shall be based on a defined specifcation except where the Council otherwise decides.

16.2 Where there is an appropriate European Standard current at the date of tender, every contract shall require the contract to meet the requirements of the European Standard.

16.3 Where there is no such European Standard if there is an equivalent International Standard that shall be used.

16.4 In the absence of either European or International Standard an appropriate British Standard "or equivalent" shall be used.

MASTERSICSO.3 8

17. PREVENTION OF COLLUSION AND CORRUPT OR ILLEGAL PRACTICES

Every contract shall contain a clause entitling the Council to cancel the contract and to recover from the contractor the amount of any loss resulting from such cancellation if the contractor o r his representative or associate or &iliated companies or subsidiary or related competitors (whether with or without the knowledge of the contractor) shall have practised collusion in tendering for that contract or shall have employed any corrupt or illegal practices either in the obtaining of the execution of that contract.

18. EQUAL OPPORTUNITY IN EMPLOYMENT

Before entering into a contract, the Council shall obtain from the contractor an assurance in writing that, to the best of his knowledge and belief, he has complied with all statutory requirements in respect of ensuring equal opportunity in employment.

19. R A C E E Q U A W

Before entering into a contract, the Council shall obtain from the contractor an assurance in writing in the form detailed in the Appendix to these Orders that, to the best of his knowledge and belief, he is not unIawf-uIIy discriminating within the meaning and scope of the provisions of the Race Relations Act 1976 or any statutoIy modification or re-enactment thereof relating to discrimination in employment.

20. ASSIGNATION

Except where otherwise provided in the contract a contractor shall not assign or sub-let a contract or any part thereof without the previous written consent of the Council.

MASTERSCSO.3 9

RACE RELATIONS

1.

2.

3.

4.

5 .

6.

Is it your policy as an employer to comply with your statutory obligations under the Race Relations Act 1976 and, accordingly, your practice not to treat one group of people less favourably than others because of their colour, race, nationality or ethnic origin in relation to decisions to recruit, train or promote employees?

Yes

No

In the last three years, have any findings of unlawfkl racial discrimination been made against your organisation by any court or industrial tribunal?

Yes

No

In the last three years, has your organisation been the subject of formal investigation by the Commission for Racial Equality on grounds of alleged unlawful discrimination?

Yes

No

If the answer to question 2 is in the affirmative or, in relation to question 3, the Commission made a finding adverse to your organisation what steps did you take in consequence of that finding?

Is your policy on race relations set out - (please tick as appropriate).

(a) in instructions to those concerned with recruitment, training and promotion;

(b) in documents available to employees, recognised trade unions or other representative groups of employees;

(c) in recruitment advertisements of other literature?

Do you observe as far as possible the Commission for Racial Equality's Code of Practice for Employment, as approved by Parliament in 1983, which gives practical guidance to employers and others on the elimination of racial discrimination and the promotion of equality of opportunity in employment, including the steps that can be taken to encourage members of the ethnic minorities to apply for jobs or take up training opportunities?

Yes

No

Signed .................................................................................................................................

Designation .........................................................................................................................

MASTERYCS0.3 10

I

NORTH LANARKSHIRE COUNCIL

GENERAL CONTRACT STANDING ORDERS

Second Edition - 14 May 1998

Standing Orders for the Supply of Goods or Materials, the Provision of Services and the Execution of Works

These orders apply to all Departments except Social Work

INDEX

Paragraph

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

16 17

18 19 20

Appendix

Extent Exemptions Estimates of Cost Standing Approved List of Contractors Ad hoc Restricted List of Contactors Public Contracts Regulations Submission of Tenders Late Tenders Opening of Tenders Checking of Tenders Acceptance of Tenders Form of Contract Register of Tenders Nomination of Sub-Contractor Serial, Two Stage and Negotiated Tenders and Existing Contracts European Standards Prevention of Collusion and Corrupt or Illegal Practices Equal Opportunity in Employment Race Equality Assignation

Race Relations

Page

1 2 2 2 3 4 5 5 5 5 6 6 6 6 7

7 7

7 8 8

9

NORTH LANARKSHJRE COUNCIL Standing Orders Relating to Contracts

1. EXTENT

1.1 North Lanarkshire Council ("the Council'') made these Standing Orders ("Orders") under Section 8 1 of the Local Government (Scotland) Act 1973. The Orders shall apply to arrangements made by or on behalf of the Council relating to the supply of goods and materials, the provision of services including Consultancy Services and the execution of works except where the separate Standing Orders relative to the Council's functions as a Social Work Authority andor Direct Labour Organisation must be applied. In addition, the Orders shall be applied by every employee of the Council.

For avoidance of doubt, the word "Director" shall be deemed to include the Chief Executive.

The word "Contract" also means work which is, or may be, assigned to any of the Council's direct labour organisations or direct service organisations. Competitive quotes, offers or tenders must be sought in respect of each contract.

1.2 Any action which may be taken on the Council's behalf may be subject also to the terms of the Council's specific delegations of responsibilities to particular officers and the Financial Regulations as approved from time to time by the Council.

1.3 These Orders shall apply to Council contracts unless any legislation requires otherwise, in which case that legislation shall apply together with those parts of the Orders which are unaffected by such legislation.

1.4 Order 6 relates to contracts to which the European Union's Public Procurement Directives apply. The directives broadly call for a three-stage tendering process for contracts above the prescribed amount. The stage which must be considered first is the "open tendering procedure", when any competent contractor may bid. If there is good reason why that procedure would be inappropriate, then the next stage must be considered. That second stage is the "restricted tendering procedure", whereby previously approved listed contractors may bid. If there is good reason why that procedure would be inappropriate then the third stage must be considered. That third stage is the "negotiated tendering procedure" when a very few contractors may be invited to negotiate the terms of their bids.

1.5 These Orders shall not apply to contracts made on the Council's behalf by means of framework agreements made with other organisations, including the Authorities Buying Consortium (ABC), the Stationery Ofice and the Government Catalogue. The Council shall not seek offers for contracts which these organisations are entitled to seek on the Council's behalf, except in such cases as the Council deems it likely that better value will be obtained by seeking tenders by other means, or as otherwise permitted by the framework agreements.

1.6 All contracts for the execution of construction works shall be the responsibility of the Director of Construction Services.

1

z EXEMPTIONS

2.1 There shall be exempted from the provisions of these Orders all contracts for the supply of goods or materials (including second-hand goods or materials), the provision of services and the execution of works where the total estimated price does not exceed f5,000 including items of a recurring nature totalling no more than this amount, subject always to the need to demonstrate value for money and probity when entering into any such contracts.

2.2 There shall be exempted from the provisions of these Orders but not from the requirement to seek competitive quotes, all contracts for the supply of goods or materials (including second hand goods or materials), the provision of services, including Consultancy Services and the execution of works, including those on a recurring basis, where the total estimated price exceeds €5,000 but does not exceed €20,000.

Such contracts shall be recorded in registers of quotations kept and maintained by the appropriate Director, which shall include the number of quotations received in respect of each contract, the name and address of each tenderer, the value or amount of each quote, and a statement as to the acceptance or otherwise of the quote. These registers shall be made available for inspection at any time by the appropriate Committee and/or the Director of Finance.

2.3 These Orders shall not apply to any contract if an officer who has been given specific responsibility in thin regard by the Council (an "authorised officer") believes that a contract would avert, alleviate or eradicate the effects or potential effects of an emergency or disaster (actual or potential) involving or likely to involve danger to life or health or serious damage to or destruction of property. An authorised officer may enter into an emergency contract and as soon as possible aftemards report fully on the circumstances to the appropriate Committee of the Council.

2.4 The Council, by reason of special circumstances, may decide that some or all of these Orders shall not apply to any contract.

2.5 These orders do not apply to contracts of employment.

3 ESTIMATES OF COST

No contract shall be entered into unless the estimated expenditure involved is either included within the Council's approved budgets or can otherwise be provided from financial resources available to the Council.

4 STANDING APPROVED LIST OF CONTRAnORS

4.1 In respect of contracts below the threshold values specified in Order 6.1, but above the exemption level specified in Order 2, each Director shall keep a list of persons to be invited to tender for contracts for the supply of goods or materials or for the provision of services of specified categories, values or amounts, or for the execution of specified categories and values of works and except as provided for in Orders 5 and 6, invitations to tender for a contract shall be limited to persons whose names appear on the list. The list held by each Director shall require to be approved by the appropriate Committee before it may be used.

4.2 For the avoidance of doubt, the list of persons to be invited to tender for contracts for the execution of construction works shall be kept by the Director of Construction Services.

2

4.3

4.4

4.5

4.6

4.7

4.8

5.

5.1

Each list shall:

(i) be compiled and maintained by the appropriate Director;

(ii) contain the names of all persons who wish to be included in it approved for contracts for all, or only some, of the specified categories, values or amounts.

(iii) indicate whether a person whose name is included in it is approved for contracts for all, or only some, of the specified categories, values or amounts. Provided that no person shall be included in a list unless:

(a) his technical capability, professional fitness and financial standing have been satisfactorily investigated and

(b) he has given an assurance in writing to the Council that he will comply with the appropriate conditions of contract laid down by the Council.

At least four weeks before a list is first compiled, notices inviting applications for inclusion in it shall be published in one or more newspapers circulating in the appropriate part of the authority's area and also in such trade journals as the appropriate Director may consider necessary.

Each appropriate Committee may amend its list at any time, and shall review the list at intervals of not more than two years. At least four weeks before such a review, each person whose name appears on the list shall be asked whether he wishes to remain on the list and shall be asked to provide such information as considered necessary to cany out the review and notices inviting applications for inclusion on the list shall be published in the manner described in Order 4.4.

In the event that a contractor is removed from the list or has an application to be added to the list refused, the appropriate Director shall keep a record listing the name and address of the contractor and explaining the reason why that contractor has been moved from list or why the application to be added to the list has been refused.

Notwithstanding the provision of Order 4.1 where there is no list of approved contractors appropriate for a proposed contract, the appropriate Director shall submit for approval of the relevant Committee a list of persons whom he considers competent to cany out such a Contract, and on approval by the relevant Committee, invitations to tender shall be limited to the persons whose names appear on that list.

An invitation to tender for a contract shall be sent to at least four persons whose names appear on the appropriate list as being approved for a contract of that category or for that value or amount or, if there are four or fewer than four persons, to all such persons. If there are more than four such persons, the appropriate Director shall elect four or more such persons to whom invitations to tender shall be sent.

AD HOC RESTRICIXD LIST OF CONTRACTORS

This Order shall apply to all contracts below the threshold values specified in Order 6.1, where the appropriate Committee has authorised that invitations to tender for a particular contract shall not be limited to persons whose names appear on the list approved by the Committee under Order 4, but shall be limited instead to persons who reply to a public notice.

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5.2 Public notice shall be given in one or more newspapers circulating in the appropriate part of the Council's area and in such trade journals as the appropriate Director may consider necessary, setting out particulars of the contract into which the Council wish to enter and inviting persons interested to apply within such period, not less than fourteen days, as may be specified, for permission to tender.

5-3 After expiration of the period specified in the public notice, if more than four persons have applied for permission to tender, invitations to tender for the contract shall be sent to four or more such persons selected in the manner provided for in Order 4.8 or, if four or fewer than four persons have applied and are considered suitable by the appropriate Director, to all such persons. Provided that no person shall be invited to tender unless he has met with the requirements of Orders 4.3.

6. PUBLIC CONTRACTS REGULATIONS

6.1 Tendering Procedures

The appropriate Committee may approve the open, restricted or negotiated procedures for the purpose of seeking offers to enter into contracts as prescribed by the Public Works Contracts Regulations 1991, the Public Service Contracts Regulations 1993 and the Public Supply Contracts Regulations 1995 ("The Public Contracts Regulations"). As at 1 January 1998 those regulations apply to (a) services and supplies estimated to cost in excess of €160,670 and (b) works estimated to cost in excess of €4,016,744.

A Director shall report to the appropriate Committee concerning any proposed contract governed by the Public Contracts Regulations. That report shall include recommendations as to the type of tendering procedure which should be adopted for the particular contract.

6.2 ODen Tendering; Procedure

This procedure allows any competent contractor to bid in response to public advertisement. If the open procedure is not recommended specific reason shall be given for recommending any other tendering procedure.

6.3 Restricted Tendenne Procedure

If the appropriate Committee has decided that the open procedure would not be appropriate for a particular contract, the Committee may approve the restricted procedure for the purpose of seeking offers to enter into contracts as prescribed by the Public Contracts Regulations.

If neither the open nor the restricted procedure is recommended, specific reason shall be given for recommending the negotiated procedure.

6.4 Negotiated Tendering Procedure

If the appropriate Committee has decided that neither the open nor the restricted procedure would be appropriate for a particular contract the Committee may approve the negotiated procedure for the purpose of seeking offers to enter into contracts as prescribed by the Public Contracts Regulations.

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7.

7.1

7.2

7.3

8.

9

10.

10.1

10.2

11.

11.1

SUBMISSION OF TENDERS

Every invitation to tender shall state the nature and purpose of the contract for which tenders are invited, spec@ the last date and time (in all cases being twelve noon) when tenders will be received, where tenders are to be sent, that the tenders shall remain open for acceptance for a period specified in the tender documents and that the Council reserves the right to accept a tender other than the lowest or to accept no tender at all.

Where, in pursuance of these Orders, an invitation to tender is required, for a contract above the exemption limit every notice of such invitation shall state that no tender will be received except in aplain sealed envelope which shall bear the words "Tender for ....I' followed by the subject to which it relates and the name or other indication of the sender. The envelope containing the tender shall be addressed and delivered to the office of the Director of Administration in whose custody it shall remain until the time appointed for its opening.

Tenders shall be kept secure and unopened until the time designated for their opening.

LATE TENDERS

No tenders received after the closing date and time for submission shall be considered.

OPENING OF TENDERS

Tenders expected to be in excess of the exemption level of €20,000 shall be opened in the presence of two officers from the Administration Department as nominated by the Director of Administration. Two members of the appropriate Committee shall also be invited to attend at the opening of tenders, although the absence of one or both of these members shall not be taken as any indication that the opening of tenders should not proceed or should be delayed.

CHECKING OF TENDERS

Tenders shall be checked by the appropriate Director or his or her nominee. The appropriate Director or nominated oDFicer of the Administration Department shall thereafter prepare and submit to the Director of Administration a written report in respect of all the tenders received in a form suitable for submission to the appropriate Committee and containing a specific recommendation as to the acceptance or otherwise of each tender and the reasons therefor.

Between the last date and time for the receipt of tenders and the date on which a decision is taken as to which, if any, tender is to be accepted, the Director may instruct not less than two officers or consultant's staff to contact a tenderer in respect of any contract in cases where such contact may be necessaq to validate or clarify the terms of the tender or to contact all tenderers to effect negotiations as to the content or value of tenders. A full written record shall be kept of all such contacts and shall be retained with the original tender.

ACCEPTANCE OF TENDERS

The most cost effective or the most economically advantageous tender shall be accepted.

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11.2

11.3

11.4

11.5

12.

13.

13.1

14

Tenders in excess of the exemption level of €20,000 may be accepted by the Director of Administration as authorised by the appropriate Committee. Between Committee cycles, where there is no appropriate Sub Committee available, then the Director of Administration, after consultation with the appropriate Convener, or in the absence of the Convener, the Vice Convener may accept tenders in order to expedite the contractual process. In all cases, where this occurs, then the contract shall be reported to the next appropriate meeting of the committee for their information.

If none of the tenders submitted is to be accepted, the Director or, as appropriate, the Director of Administration shall notlfy all tenderers accordingly.

No tender shall be accepted unless the appropriate Director and the Director of Finance are satisfied as to the technical capability, professional fitness and financial standing of the tenderer.

After a tender has been accepted, the Director or, as appropriate the Director of Administration shall notify unsuccessful tenderers, indicating who was awarded the contract and (where practicable) the estimated cost of that contract.

FORM OF CONTRACI:

Every contract shall be in writing in a form approved by the Director of Administration. A tender which has been approved for acceptance by a Committee shall be accepted by the Director of Administration; any other tender which is to be accepted shall be accepted by the appropriate Director.

REGISTER OF TENDERS

?.he Director of Administration shall keep and maintain a register of all tenders received and opened in terms of Order 9 and in which shall be entered:

(i) the number of tenders received in respect of each contract;

(ii) the date and time of opening of each tender;

(iii) the name and address of each tenderer, the value or amount of each tender so far as may be ascertained from examinations of each tender at the time it is opened and a statement, entered subsequently, as to the acceptance or otherwise of each tender;

(iv) a statement of the names and addresses of persons to whom tender documents were issued but who declined or failed to submit a tender, and

(v) the register shall be made available for inspection at any time by the appropriate Committee andor the Director of Finance.

NOMINATION OF SUB CONTRAnOR

Where a contract provides for the nomination of a sub-contractor or supplier for the execution of works or supply of goods or materials or for the provision of services, the following provisions shall apply:

(i) tenders shall be invited by the appropriate Director from not less than three persons whom he considers competent for the purpose unless he considers that less than three persons are so competent whereupon helshe following approval of the appropriate Committee may invite tenders from such lesser number of persons and

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15

15.1

15.

15.3

16.

16.1

16.2

16.3

16.4

17

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(ii) the lowest tenderer shall be nominated as sub-contractor or supplier by the appropriate Director unless consent of the appropriate Committee shall have been obtained to the acceptance for some good and sufficient reason of a tender other than the lowest.

SERIAL, TWO STAGE AND NEGOTIATED TENDERS AND EXISTING CONTRACIS

Where the appropriate Director considers that tenders should be obtained for a series of projects or in two stages for any proposed works, he shall first obtain the approval of the appropriate Committee to that course both in respect of the execution of the works and the tendering procedures.

Where the appropriate Director considers that a tender should be negotiated with one person, he shall, before entering into negotiations, obtain the approval of the appropriate Committee both in respect of the negotiation and of the person with whom the tender is to be negotiated.

Where the appropriate Director considers that an existing contract should be extended and that a tender should be negotiated with the existing contractor, he shall, before entering into negotiation, obtain the approval of the appropriate Committee both in respect of the extension and of the negotiation with the existing contractor.

EUROPEAN STANDARDS

All contracts shall be based on a defined specification except where the Council otherwise decides.

Where there is an appropriate European Standard current at the date of tender, every contract shall require the contract to meet the requirements of the European Standard.

where there is no such European Standard if there is an equivalent International Standard that shall be used.

In the absence of either European or International Standard an appropriate British Standard "or equivalent" shall be used.

PREVENTION OF COUUSION AND CORRUPT OR ILLEGAL PRACTICES

Every contract shall contain a clause entitling the Council to cancel the contract and to recover from the contractor the amount of any loss resulting from such cancellation if the contractor or his representative or associate or ail iated companies or subsidiary or related competitors (whether wifh or without the knowledge of the contractor) shall have practised collusion in tendering for that contract or shall have employed any corrupt or illegal practices either in the obtaining of the execution of that contract.

EQUAL OPPORTUNITY IN EMPLOYMENT

Before entering into a contract, the Council shall obtain from the contractor an assurance in writing that, to the best of his knowledge and belief, he has complied with all statutory requirements in respect of ensuring equal opportunity in employment.

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19 RACEEQUALWY

Before entering into a contract, the Council shall obtain from the contractor an assurance in writing in the form detailed in the Appendix to these Orders that, to the best of his knowledge and belief, he is not unlawfully discriminating within the meaning and scope of the provisions of the Race Relations Act 1976 or any statutory modification or re-enactment thereof relating to discrimination in employment.

20 ASSIGNATION

Except where otherwise provided in the contract a contractor shall not assign or sub-let a contract or any part thereof without the previous written consent of the Council.

YASZERSICSOI 8

RACE RELATIONS

1,

2-

3.

4.

5 .

6 .

Is it your policy as an employer to comply with your statutory obligations under the Race Relations Act 1976 and, accordingly, your practice not to treat one group of people less favourably than others because of their colour, race, nationality or ethnic origin in relation to decisions to recruit, train or promote employees?

Yes

NO

In the last three years, have any findings of unlawful racial discrimination been made against your organisation by any court or industrial tribunal?

Yes

No

In the last three years, has your organisation been the subject of formal investigation by the Commission for Racial Equality on grounds of alleged unlawful discrimination?

Yes

No

If the answer to question 2 is in the affirmative or, in relation to question 3, the Commission made a finding adverse to your organisation what steps did you take in consequence of that finding?

Is your policy on race relations set out - (please tick as appropriate).

(a) in instructions to those concerned with recruitment, training and promotion;

(b) in documents available to employees, recognised trade unions or other representative groups of employees;

(c) in recruitment advertisements of other literature?

Do you observe as far as possible the Commission for Racial Equality’s Code of Practice for Employment, as approved by Parliament in 1983, which gives practical guidance to employers and others on the elimination of racial discrimination and the promotion of equality of opportunity in employment, including the steps that can be taken to encourage members of the ethnic minorities to apply for jobs or take up training opportunities?

Yes

No

Signed .................................................................................................................................

Designation .........................................................................................................................

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