Prequalification Process Making every dollar count

Transcription

1 Central Tenders Committee (CTC) Prequalification Process Making every dollar count

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3 Central Tenders Committee (CTC) Prequalification Process

4 Prequalification Prequalification is a process used to ensure that invitations to tender are extended only to suitably qualified suppliers for certain specific contracts. Such a procedure is usually only deemed necessary for purchases of a complex, high value or specialist nature, where the preparation, evaluation and comparison of bids is much more complicated, costly and time-consuming such as: Specialist or highly technical goods and services Turnkey, design and build or complex construction contracts Custom-designed equipment or industrial plant. The benefits of prequalification include that it may narrow down the number of bids that the procuring entity needs to evaluate and compare. Prequalification also benefits competent suppliers who may be sometimes reluctant to participate in procurement for high value contracts, where the cost of preparing the bid may be high, if the competitive field is too large, and where there is a risk of having to compete against unrealistic bids, proposals or offers submitted by unqualified or disreputable suppliers. The Financial (Amendment) (No2) Regulations, 2006, under the authority of The Public Management and Finance Law (2005 Revision), permits prequalification to be used as part of the tender process by Government entities for contracts over $250,000 CI. However, because the process restricts competition for government contracts, the use of prequalification needs to be justified and must be approved by the Central Tenders Committee. This document outlines the requirements to be undertaken for Government entities to carry out prequalification as part of the tender process and should be read in conjunction with the CTC Open Tender Process document. Prequalification Criteria The prequalification process assesses the capability of a supplier and any significant third parties or subcontractors against specified evaluation criteria with regards to their: 1. Experience and past performance on similar contracts; 2. Professional and technical capabilities and capacity with respect to personnel, management, equipment and construction or manufacturing facilities; 3. Financial position; 4. Legal position. The evaluation criteria can also include any other relevant factors such as: 5. Health and Safety record and procedures; 6. Quality Assurance processes and standards; 7. Environmental management. However, the evaluation criteria must: relate to the characteristics that are essential to ensuring the satisfactory execution of the subject contract; be precisely stated; not inhibit competition nor limit the number of eligible firms to be prequalified; and not discriminate based on nationality or any other factor that is not objectively justifiable. Prequalification Award All suppliers who meet the prequalification criteria standards shall be awarded prequalification status and shall receive an invitation to tender for the contract. Reconfirmation of Prequalification Information Organisations are fluid, and as a result capability, capacity, legal and financial positions are constantly changing. Consequently, the process of prequalification shall be carried out on an individual contract basis to ensure that the information provided by the supplier is accurate at that time. As a result of this, no register or list of prequalified suppliers will be kept for future projects. 2 Central Tenders Committee (CTC) Prequalification Process

5 Reconfirmation of prequalification information can be requested at any time during the project to permit the procuring entity to determine whether the qualification information submitted at the time of prequalification remains valid and accurate. Suppliers are responsible for ensuring that any changes to the information submitted at the prequalification stage are communicated to the CTC in writing during the tender process. If changes in information result in the prequalification criteria requirements no longer being achieved, or if the information provided is proven to be inaccurate, either deliberately or otherwise, the CTC may withdraw prequalification status and the supplier will no longer be permitted to participate in the process. Request for Proposals The prequalification process may be combined with a Request for Proposal, where, in addition to providing information on the prequalification requirements, the supplier may also be asked to submit an initial proposal for the project that will also be evaluated against specified criteria. Copyright Cayman Islands Government Central Tenders Committee (CTC) Prequalification Process 3

6 Abbreviations and Definitions addendum(s) documents issued by the entity, containing additional or revised information for applicants to consider when completing their prequalification application. applicant application CIG CTC DTC declaration of interests eligibility criteria entity ESPAR report evaluation criteria ITP mandatory requirements open tendering a supplier, or potential supplier, of goods, works, consultancy or services who has submitted an application to prequalify. the documentary submission from a supplier in response to an invitation to prequalify. Cayman Islands Government. Central Tenders Committee. Departmental Tenders Committee. written declaration acknowledging the need to disclose any actual, potential or perceived conflict of interest, (including family, personal or business relationships, and employment or financial interests), prior to taking part in a specific procurement process. To be signed by all DTC and CTC members and any other public sector employees and private sector individuals utilised by the entity, DTC or CTC during the prequalification process. the stated requirements that make a potential applicant able to participate in the prequalification process. Applicants who do not meet the criteria will be rejected and will not be included in the evaluation process to determine the prequalification award. any body including a ministry, portfolio, statutory authority, government company, the Office of the Complaints Commissioner and the Audit Office. Evaluation Summary and Prequalification Award Recommendation report. This is the summary report of the results of the prequalification evaluation process showing which applicants the DTC recommend for the prequalification award. the stated criteria that will be used to assess prequalification applications to determine which applicant(s) should be recommended for the prequalification award. Invitation to Prequalify. the stated requirements of the prequalification application that must be completed, together with the terms and conditions being met, for the application to be termed as substantially responsive. Applications that are deemed not to be substantially responsive will be rejected and will not be included in the evaluation process to determine who should receive the prequalification award. also known as public tendering or open market tendering involves publishing a request for tender and considering all submissions received in response to it. potential applicant PO prequalification prequalification award any supplier who is eligible to submit, or may consider to submit, a prequalification application. Procurement Officer - a person within an entity who has been given delegated authority to undertake procurement activities within that entity. a process where the procuring entity makes an evaluation of the level of experience, capacity, legal, financial and any other relevant requirements of eligible suppliers, before inviting those who have reached the required standards to participate in the next stage of the procurement process. the process of assigning prequalification status to the applicant(s) who meet(s) the prequalification eligibility, mandatory and evaluation criteria requirements. PRF PSIC Prequalification Request Form Public Sector Investment Committee 4 Central Tenders Committee (CTC) Prequalification Process

7 Index 1. Prequalification Preparation 7 2. Approval to Prequalify Prepare the Prequalification Documents Issue the Prequalification Documents Application Receipt Application Opening Application Evaluation Prequalification Recommendation and Award Invitation to Tender Document Storage and Disposal 43 Central Tenders Committee (CTC) Prequalification Process 5

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9 Prequalification Preparation 1

10 1. Prequalification Preparation The tender preparation phase of the Open Tender process will need to be completed for tenders requiring prequalification. The additional prequalification process and requirements at the tender preparation stage are shown below. Prequalification can be carried out whilst preparing the tender documents. Task Responsibility Prequalification Process Prequalification Requirements 1.1 Identify the need to procure. Entity 1.2 Create a realistic tender plan. Entity PO The entity PO shall add the following tasks and timings to the tender plan: Obtaining approval to prequalify; Preparing prequalification documents and advertisement; Advertising the Invitation to Prequalify (ITP); Issuing prequalification documents; Prequalification submission period; Prequalification opening; Prequalification evaluation; and Prequalification award recommendation. The PO shall also need to consider the availability of the Departmental Tender Committee (DTC) members to determine when they will be able to evaluate the prequalification applications. The minimum advertising requirements for the Invitation to Prequalify (ITP) are: 2 adverts over 2 weeks In at least 1 local newspaper The prequalification submission period shall be of adequate time to allow interested suppliers a reasonable and appropriate period to prepare and submit prequalification applications. The entity Procurement Officer (PO) shall liaise with the Central Tenders Committee (CTC) Secretary to agree provisional dates for both the opening of the prequalification applications and award recommendation. It is recommended that the prequalification application submission deadline is 12.30pm on the 1st or 3rd Friday each month to coincide with the CTC meetings taking place at 1.30pm that day. 1.3 Define the requirements. Entity PO 1.4 Prepare tender documents and advertisement. Entity PO In addition, the PO shall manage the preparation and documentation of the: Request to prequalify to the CTC Prequalification documents Prequalification advertisement (ITP) The PO shall prepare an Invitation to Tender (ITT) letter for issue to all suppliers who prequalify and shall not need to prepare an ITT advertisement as required in steps 1.4 and 2.3 of the Open Tender Process. The eligibility criteria for participating in the tender process will not need to be redefined in the tender documents as this will have been defined and assessed as part of the prequalification process. The tender documents shall state that if any of the information submitted during the prequalification process changes, the supplier must inform the CTC of the change in writing. 8 Central Tenders Committee (CTC) Prequalification Process

11 Task Responsibility Prequalification Process Prequalification Requirements 1.5 Obtain sign-off from entity CO / CEO, Board Entity CO / CEO / Board 1.6 PSIC Review (if required) CO / CEO As per the Open Tender Process, before proceeding further, projects valued at $350,000 CI or above, shall be submitted by the CO / CEO to the PSIC for review. The PSIC shall submit recommendations on the viability of the project to the Financial Secretary. As per The Financial Regulations, for all projects: $350,000 CI - $1,000,000 CI a Project Profile document $1,000,000 and above, a Project Profile and Project Report documents shall be completed and submitted to the PSIC two weeks in advance of its monthly meeting. Central Tenders Committee (CTC) Prequalification Process 9

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13 Approval to Prequalify 2

14 2. Approval to Prequalify Prior to an entity commencing the prequalification process, approval must be obtained from the CTC. As per The Financial Regulations, any prequalification process that is undertaken without approval from the CTC shall be deemed legally void and of no effect. Task Responsibility Process Requirements The completed PRF shall include: 2.1 Complete the prequalification request form (PRF) Entity PO The entity PO completes the prequalification request form (PRF) the entity name the name and contact details of the PO delegated to manage the prequalification process a summary of the overall project including the: scope and requirements estimated cost, approximate start and completion dates for the: prequalification process tender process, supply of the works / goods / services. the reasons why prequalification is necessary, including the advantages and potential risks that prequalification will provide versus using only open tendering an outline of the proposed evaluation criteria that will be used to prequalify potential suppliers and how these relate to the specific requirements of the project. The evaluation criteria that will be used to assess prequalification applications do not need to be specifically defined at this stage, however, when presenting the request to the CTC in step 2.4 the PO will need to have available: the specific evaluation criteria, the method of evaluation, and the evidence that a potential supplier will need to provide to demonstrate their qualification 2.2 Sign-off PRF CO / CEO / Board (or delegate) Entity CO / CEO / Board The entity CO / CEO, Board, or delegated PO, signs off the PRF. 2.3 Send the PRF to the CTC. Entity PO / CTC Secretary The entity PO s ctc@gov.ky a copy of the signed-off PRF. The CTC Secretary checks that the PRF has been completed and confirms its receipt with the PO within 3 working days together with the date and time for it to be presented to the CTC. 12 Central Tenders Committee (CTC) Prequalification Process

15 Task Responsibility Process Requirements At the designated CTC meeting and point on the agenda, the CTC Secretary invites the entity PO to join the meeting to review the PRF. The entity PO gives an overview of the prequalification request. The CTC members raise any concerns or queries. 2.4 CTC Meeting - Present the prequalification request to the CTC CTC / Entity PO The entity PO is asked to leave the room whilst the CTC vote whether to approve the prequalification request. The request shall be approved based on a majority vote. The CTC Secretary shall record the vote and each CTC member shall sign to confirm the voting record. The prequalification request may be approved by the CTC on condition that certain additional requirements are met. These additional requirements shall be documented. The entity PO shall present a summary of the project and the reasons why prequalification is being requested as per the details in the PRF in step 2.1. The CTC secretary documents: all queries and issues raised by the CTC members and the responses; the result of the vote showing who voted for and against the recommendation and the reasons why if voting against; where the prequalification request has been conditionally approved, the further requirements that need to be completed; and where the prequalification request has been rejected, the reasons for the rejection. Where the prequalification request is rejected by the CTC, the reasons for rejection shall be documented. The CTC Chairman stamps Approved, Conditionally Approved or Rejected on the PRF according to the decision made. 2.5 Advise the PO of the CTC decision CTC Secretary The CTC Secretary advises the PO of the CTC decision within 3 working days. If prequalification has been approved, the CTC Secretary assigns a CTC tender number to the project and includes this in the correspondence, advising the entity that the CTC should be included in all prequalification and tender documentation. The correspondence shall contain: for approved requests, a reminder that the prequalification documents and advertisement are to be sent to the CTC prior to the process commencing; for conditionally approved requests, the additional requirements that need to be met and the evidence required to be provided to the CTC prior to the process proceeding any further; for rejected requests, the reasons for rejection and that as a result of the prequalification request having not been approved the open tender process shall be used. Central Tenders Committee (CTC) Prequalification Process 13

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17 Prepare the Prequalification Documents 3

18 3. Prepare the Prequalification Documents The preparation of the prequalification documents is a key phase in the prequalification process. The documents must provide suppliers with a clear understanding of the requirements of the project to enable them to assess if it is in their interests to participate, and must also facilitate the receipt of the correct information to the entity so that they can easily distinguish those suppliers capable of fulfilling the contract. Well defined and appropriate evaluation criteria and application methodology are essential to ensure that the process produces the desired results without placing any unnecessary restrictions or burdens on suppliers. Task Responsibility Process Requirements The entity PO manages the preparation of the prequalification documents. The content of the prequalification documents shall include: 3.1 Prepare the prequalification documents Entity PO The documents shall include where appropriate: the Invitation to Prequalify advertisement instructions for applicants; the scope of the goods / works or services an application form and / or prequalification questionnaire; any required specifications, drawings, approximate bill of quantities or relevant technical details; a summary of the principal required terms and conditions of the procurement contract that will be entered into by the successful applicant; and any other necessary documents or information. The advertisement requirements for the invitation to prequalify are listed in the Prequalification Issue section. A scorecard that outlines how the evaluation criteria will be applied and scored will need to be produced by the PO and be made available to the CTC at the application opening meeting. the criteria required for applicants to be eligible to apply to prequalify, and the evidence that the applicant shall need to provide to prove that they meet the criteria; the mandatory requirements and terms and conditions for prequalification applications to be deemed responsive; the evaluation criteria that will be used to assess applications and the evidence that suppliers will need to provide; the process, contact details and timings for potential applicants to raise queries regarding the prequalification documents and process; the prequalification application: address (see Application Receipt section 5); receipt deadline date and time; format and number of copies; and method (by hand or courier. There is no postal delivery). that the person signing the prequalification application is authorised to do so on behalf of the applying company a statement that the CIG is not bound to accept any prequalification application and can cancel the prequalification process at any time without incurring any costs or liability. The scope of works shall provide sufficient information for an applicant to decide whether or not to compete and whether they will need to use subcontractors for specific parts or form a joint venture. 16 Central Tenders Committee (CTC) Prequalification Process

19 Task Responsibility Process Requirements 3.2 Sign-off prequalification documents Entity CO, CEO, Board (or delegated PO) The entity CO / CEO, Board, or delegated PO, signs off the prequalification documents and confirms that the correct budget controls are in place. All of the prequalification documents and the Invitation to Prequalify advertisement (ITP) shall be available before being signed-off. If the prequalification documents are produced before the tender documents are signed-off, the entity must ensure that the budget controls are in place prior to suppliers incurring costs as part of the prequalification process. 3.3 Send prequalification documents to the CTC. Entity PO The entity PO s ctc@gov.ky a copy of the prequalification documents including the advertisement ITP, three working days prior to the advertisement publication deadline. The prequalification documents must have the CTC tender number written on the front of each document. Central Tenders Committee (CTC) Prequalification Process 17

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21 Issue the Prequalification Documents 4

22 4. Issue Prequalification Documents The prequalification issue phase is to be open, transparent and adhere to the requirements of the Financial Regulations. All prequalification documents, including the ITP advertisement, shall be identified by a CTC tender number. The entity is responsible for achieving value for money by promoting competition through clearly worded advertisements with appropriate content, and by setting a realistic deadline for application submissions that provides sufficient time for an accurate application to be produced. All prequalification information shall be communicated to all potential applicants to ensure fairness and equity, (unless doing so would breach confidential business information), and to the CTC for information. Task Responsibility Process Requirements The advertisement shall contain: 4.1 Advertise the invitation to prequalify. Entity PO The entity PO advertises the Invitation to Prequalify. The minimum advertising requirements are: 2 advertisements over 2 weeks in at least 1 local newspaper the CTC Tender # and title of the tender; the entity name; a summary description of the project; the eligibility requirements for applicants; the process for prospective applicants to collect the prequalification documents (i.e. contact name, collection deadline); the deadline date and time for receiving prequalification applications; the dates and times for any site viewing or consultation; if there is a fee to be paid for the prequalification documents, what the cost of the fee is and if it is refundable. Additional advertisements can be placed locally or internationally. The advertisement shall also contain a statement that: evaluation criteria will be used to assess applications to determine if they meet the prequalification requirements the CIG is under no obligation to accept any application the CIG shall not be bound to give any reason for not prequalifying an applicant and will not defray any costs incurred in the preparation of applications. 20 Central Tenders Committee (CTC) Prequalification Process

23 Task Responsibility Process Requirements When a prospective applicant receives the Prequalification documents he/she signs a receipt form that advises: The name and contact details of all prospective applicants who receive the prequalification documents shall be recorded by the entity so that they can be contacted with any changes or addendums if required. 4.2 Issue prequalification documents. Entity PO the deadline date, time and address for receipt of prequalification applications (see Application Receipt for the address); the format for applications hard copy; the number of copies to be submitted that a receipt must be signed and received at application submission; that late applications received after the deadline will not be evaluated and will be returned to the applicant after the prequalification application opening meeting; and the CIG: is under no obligation to accept any prequalification applications can cancel the prequalification process and/or reject any or all applications at any time. The entity may charge a fee for the receipt of prequalification documents. The receipt shall state if the fee is non-refundable or will be refunded on receipt of either a submitted application or the returned prequalification documents. Where a fee is charged, a process shall be in place to: provide the prequalification document recipient with a receipt; account for the funds received; store the funds received; and return the funds received when applicable. No fee shall be applied to prequalification documents that would potentially prohibit eligible suppliers from participating. Prequalification queries are confidential and shall only be received and viewed by the entity PO stated in the prequalification documents. Verbal queries are not to be responded to and the applicant shall be asked to put the query in writing. All queries shall be submitted in writing by letter or by to the authorised entity PO. All queries, responses and addendums shall show the date and time they were received and responded to and shall be kept on file. 4.3 Receive and respond to prequalification queries. Entity PO Unless doing so would divulge confidential business information, all queries and responses shall be communicated in writing to all prospective applicants, without revealing the identity of the source of the query. All changes or addendums must be communicated in writing to all potential applicants who received the prequalification documents. The CTC shall be copied on all communication to and from applicants. Query responses and changes or addendums shall be made available to those applicants who do not have access to electronic information. If a specified deadline for queries and responses to be completed by cannot be adhered to, or, if significant queries are still being raised close to the deadline, the entity PO is to consider if it is necessary to extend the deadline in order to provide sufficient time for applications to be compiled. Central Tenders Committee (CTC) Prequalification Process 21

24 Task Responsibility Process Requirements Responses to requests for a deadline extension shall be made by the same method that the request was received. Requests from applicants for a deadline extension shall be received by the PO, in writing (letter or ) with the reason for the request. The deadline extension shall be communicated in adequate time for applicants to revise their applications, if required, prior to the deadline. 4.4 Extend prequalification deadline (if required). Entity PO The PO issues a request to the CO / CEO, or delegated PO, for a new deadline due to an applicant request or as a result of changing information relating to the prequalification requirements. The CO / CEO, or delegated PO, authorises or rejects the request: If the deadline is extended, the information shall be communicated by the PO to all potential applicants who received the prequalification documents. The PO shall ensure that those potential applicants without electronic means of communication receive the information in writing. If authorised, the entity PO advises all of the potential applicants and the CTC of the new deadline and reason for the extension. If rejected the requestor and the CTC shall be informed in writing with the reason. The entity PO discusses with the CTC Chairman how the deadline change can be accommodated in the CTC s meeting schedule. The new deadline date and time shall coincide with the CTC meeting schedule where possible. The CTC shall be copied on all deadline extension correspondence by Central Tenders Committee (CTC) Prequalification Process

25 Application Receipt 5

26 5. Application Receipt It is vital that the process for receiving prequalification applications is controlled, impartial and transparent and ensures that all application information is treated confidentially. All applications are to be submitted sealed and are to be placed in a locked tender box and remain there until the next CTC meeting. Late applications can be submitted but will be subsequently rejected at the application opening stage. Task Responsibility Process Requirements Applicants are solely responsible for ensuring that prequalification applications are received prior to the deadline date and time. 5.1 Receive prequalification applications. Applicant Applications are to be addressed and submitted to: CTC Tender number and Title, Prequalification Application The Secretary of the Central Tenders Committee, Ground Floor, Government Administration Building, 71A Elgin Avenue, George Town, Grand Cayman, KY All prequalification applications shall be submitted in hard (paper) copy in a sealed envelope (or package e.g. FedEx box) either by hand or courier. The CTC tender number and Title and Prequalification Application shall be clearly written as the first lines of the address, on the outside of the envelope or courier box. If the envelope is open or partially open, the cashier shall: 5.2 Stamp the envelope and write on the time received. Treasury Cashier The cashier: checks that the envelope is sealed; checks that the CTC tender number and title are written on the outside of the applicant envelope; stamps the outside of the envelope with Confidential Tender and the current date; writes on the stamp the: time the application was received receipt number; and initials the stamp. provide tape and ask the person submitting the application to seal it; and initial the seal and write Sealed on Submission in the receipt book. If the application is submitted in a FedEx box or other similar material package, the cashier shall ensure that the stamp is placed where it will not rub off. If the CTC tender number and title are not on the envelope, the cashier shall ask the person submitting the application to write these details onto the package. If the application is being submitted by a third party (e.g. a courier) who is unable to provide this information, then the cashier should write No Tender number on the envelope. 24 Central Tenders Committee (CTC) Prequalification Process

27 Task Responsibility Process Requirements 5.3 Issue a receipt. Treasury Cashier The cashier writes out a manual receipt with: the name of the person submitting the application; the organisation / applicant submitting the application; the date and time the application has been received; and the tender number and title Both the cashier and the person submitting the application shall sign the receipt. The cashier gives the person submitting the application the top copy of the receipt. The bottom copy is left in the receipt pad. If the application is being submitted by a third party (e.g. a courier) the name of the courier and company shall be written on the receipt. The receipt shall state: that the person signing the receipt agrees with the date and time the application has been submitted, and there is no recourse by them or any other person to dispute these facts at a later stage; and that although a late application may be received by the cashier it will rejected as a late application during the prequalification opening process and will be returned to the applicant immediately afterwards. The cashier places the application envelope in the tender box slot. The cashier should ensure that the person submitting the application witnesses it being placed into the tender box. 5.4 Put envelope into the tender box. Treasury Cashier If the envelope is too big to go through the slot, the cashier opens the tender box and places the application inside. If the tender box has insufficient room for the application, the cashier advices the person submitting it that it will be placed in the Treasury vault. The envelope should immediately be placed into the vault and IN VAULT written on the Treasury copy of the receipt. Only the cashier, CTC Chairman and CTC Secretary shall have keys to the tender box. The tender box shall remain locked at all times and shall only be opened: to retrieve envelopes prior to a CTC meeting; and to place oversized envelopes into the box if they will not fit in the slot. Central Tenders Committee (CTC) Prequalification Process 25

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29 Application Opening 6

30 6. Application Opening The objective of the application opening process is to demonstrate that a systematic, open, fair and transparent process is adhered to under the oversight of the CTC, and in the presence of a representative Procurement Officer from the tendering entity. Applications will only be opened in the presence of the CTC and the details shall be recorded. Task Responsibility Process Requirements Immediately prior to the CTC meeting, the CTC Secretary: 6.1 Open tender box and remove envelopes. CTC Secretary opens the tender box and removes all of the envelopes retrieves any envelopes from the vault as indicated in the receipt book checks the envelopes from the tender box and the vault against the receipts issued to confirm that there are no envelopes missing or extra. If there are any envelopes missing or extra the CTC Chairman shall launch an immediate investigation to determine the reason for the discrepancy. 6.2 CTC meeting - Identify and sort envelopes by CTC # CTC Chairman At the beginning of the CTC meeting, the Secretary and Chairman sort the envelopes by tender number as per the agenda. The Secretary gives the Chairman any envelopes that have no tender number on the outside who: opens the envelope to identify the tender number; writes the tender number on the envelope; puts the documents back into the envelope; and places the envelope with the others envelopes for that tender number. If an envelope has been opened to find out the tender number and is not scheduled to be opened until a later meeting, it shall be re-sealed in the meeting and signed by the CTC Chairman prior to going back into the tender box. A note shall be made on the receipt that the envelope was opened and resealed with the date and Chairman s initials. Any envelopes that are not due to be opened until a later meeting are placed separately to go back into the tender box. A note shall be made on the corresponding receipt stating that the envelope has been returned to the tender box. 6.3 Confirm no conflict of interest CTC Chairman Prior to the start of the meeting, the Chairman confirms if a member of the CTC has a conflict, or where there could be a perceived conflict, of interest with any agenda item. Where a conflict or perceived conflict of interest exists, the CTC member leaves the meeting for that agenda item. This action shall be documented as part of the meeting minutes or on the application opening form. 28 Central Tenders Committee (CTC) Prequalification Process

31 Task Responsibility Process Requirements 6.4 CTC meeting - application opening. CTC Chairman At the appropriate point on the agenda the CTC Secretary invites the PO from the tendering entity to join the CTC meeting. The CTC Chairman reads out the tender number, title, and receipt deadline date and time. The entity PO gives an overview of the project and prequalification process to date. The CTC Secretary hands the Chairman the corresponding application envelopes. The Chairman opens each envelope and reads out the following information for the committee to hear: the sequential number (starting from 1); if there is any indication that the application has been opened or tampered with prior to the official opening; the name and organisation the application is from; the date and time received; if the application was late; and the receipt number. The CTC Secretary writes the above information on the prequalification opening form. For applications received after the receipt deadline, the CTC Chairman stamps Late on the envelope and covering letter. For applications received prior to the receipt deadline, (i.e. not for late applications), the CTC Chairman: stamps Received and initials the covering letter and any pages with pricing information initials any obvious changes / deletions or corrections made to the application documents prior to submission. draws a line and initials through any obvious omissions or blanks in the application submission documents Once the opening is completed the CTC members and entity PO check and sign the prequalification application opening form. The agenda is compiled and distributed prior to the CTC meeting by the CTC Secretary. The Secretary shall arrange a time for the entity PO to be available to witness the prequalification application opening and is to confirm prior to the meeting that: they have signed a declaration of interests; there is no conflict, or potential perceived conflict of interest with their involvement in the process; and the method of application and scoring of the evaluation criteria is available. The PO overview of the project is to include: the tender process aims and requirements; the ITP advertisement content and communication; the eligibility criteria and how they will be assessed the evaluation criteria; the scoring methods that will be used to apply the evaluation criteria (scorecard). If the scorecard has not been developed, the application opening will be rescheduled for a later date; the number of potential applicants who received the prequalification documents; the queries received and responses / addendums issued; any deadline extension(s) and the reasons; the budgeted and estimated costs; members of the DTC and any other persons who will be evaluating the applications; and the proposed date to present the ESPAR report to the CTC. If an application envelope shows evidence of being opened, the Chairman shall confirm if it was opened previously to determine the tender number. If there is no record of opening the CTC Chairman shall investigate. Any application that is received after the deadline date and time is defined as late. For example, if the deadline is 12.30pm Fri 13th July: up to and including 12.30pm 13 July is not late from 12.31pm onwards 13 July is late The CTC Secretary records details of all changes / deletions / corrections and omissions in the prequalification application opening form or meeting minutes or other appropriate log. The CTC Secretary attaches the corresponding receipts to the back of the prequalification application opening form before filing. Central Tenders Committee (CTC) Prequalification Process 29

32 Task Responsibility Process Requirements 6.5 Give applications to entity PO. CTC Chairman The CTC Chairman gives the applications to the entity PO confirming that all application information is confidential. A date, or provisional date, for the entity Evaluation Summary and Prequalification Award Recommendation (ESPAR) report to be presented to the CTC shall be agreed prior to the entity PO leaving the meeting. The PO shall ensure that all applications are stored securely in a locked receptacle and are only viewed by the Department Tender Committee (DTC) members authorised to review them. 6.6 Send confirmation to applicants CTC Secretary The CTC secretary sends a letter to each applicant confirming that their application has been opened and passed to the entity for evaluation. The letter shall include the name of the entity that is evaluating the application and, where possible, an indication of the approximate date of when prequalification is scheduled to be awarded. 6.7 Return late applications. CTC Secretary The CTC secretary photocopies the envelope for each late application to retain evidence of the date and time received. The CTC Secretary sends any late applications directly back to the applicant with a letter advising that the application was late and could not be considered. The photocopy of the envelope shall clearly show the received stamp and date and time and shall be filed by the CTC secretary with the copy of the receiving receipt. The letter shall also: thank the applicant for their submission; include the deadline date and time; and the date and time the application was received. 30 Central Tenders Committee (CTC) Prequalification Process

33 Application Evaluation 7

34 7. Application Evaluation The integrity of the public sector relies on all applications being evaluated fairly and impartially against the eligibility and evaluation criteria stated in the ITP advertisement and prequalification documents. The entity Departmental Tender Committee (DTC) is responsible and held accountable for ensuring that the process of application evaluation is carried out in an ethical, fair, consistent and transparent manner and that the prequalification award recommendation includes only those applicants who are capable of completing the contract based on the evaluation criteria whilst adhering to Cayman Islands and Government legal requirements. Task Responsibility Process Requirements All of the eligibility criteria shall be met for an application to be deemed eligible for evaluation. 7.1 Check applications for eligibility Entity DTC The DTC checks each application for conformance to the eligibility criteria stated in the prequalification documents. Applications that are deemed not to meet the eligibility criteria shall not be considered further. Minor non-conformance can be rectified by a member of the DTC contacting the applicant to obtain information prior to the evaluation process e.g. if a piece of documentation to prove eligibility has been omitted. This cannot be used as an opportunity for an applicant to correct errors or revise the application. The details of any applications rejected at this stage and the reasons for rejection shall be documented on the ESPAR. All contact and responses shall be made in writing with the date and time and the names of the people involved and shall be made available to the CTC upon request. If the supplier does not respond to a request for information in a reasonable time the application shall be rejected. 7.2 Check applications for responsiveness Entity DTC The DTC checks each application for responsiveness to the mandatory requirements and terms and conditions specified in the prequalification documents. Applications that are deemed not to be substantially responsive shall not be considered further. An application shall be deemed not to be substantially responsive if it contains material deviations from, or reservations to, the terms, conditions, and specifications in the prequalification documents, or has not fulfilled the specified mandatory requirements in the prequalification documents, e.g. not providing all of the required information requirements in the prequalification questionnaire. Material deviations are those that, if accepted, would not fulfil the purposes for which the application is requested, or would prevent all of the evaluation criteria being applied, or applied consistently in comparison with those applications are properly compliant with the prequalification requirements. The details of any applications rejected at this stage and the reasons for rejection shall be documented on the ESPAR report. Material deviations cannot be rectified by the applicant, e.g. not completing the mandatory requirements. If a piece of documentary evidence has been omitted this can be rectified by a member of the DTC contacting the applicant to obtain information prior to the evaluation process. This cannot be used as an opportunity for an applicant to correct errors or revise the application. If the supplier does not respond to a request for information in a reasonable time the application shall be rejected. 32 Central Tenders Committee (CTC) Prequalification Process

35 Task Responsibility Process Requirements Each responsive application shall be: 7.3 Evaluate responsive applications Entity DTC evaluated objectively, consistently and fairly against the evaluation criteria stated in the tender documents. If the information received in an application is not clear, the applicant may be contacted for clarification by a member of the DTC, but this cannot be used as an opportunity for a applicant to correct errors or revise the application. The evaluation criteria, weighting and scoring shall be applied as communicated to the CTC during the application opening meeting. All contact with applicants shall be in writing and the query and response shall contain the date and time and the name of the person(s) involved. The ESPAR report shall contain: 7.4 Produce evaluation summary and prequalification award recommendation (ESPAR) report. Entity DTC for all applications: the applicant s name; if the eligibility criteria have been met any action taken to address minor non-conformance and the result of that action; if the application is responsive, i.e. all of the mandatory application submission requirements have been met; and if an application is not responsive, the reason why. for evaluated responsive applications only: how the application scored against the evaluation criteria; and whether the application failed against any of the criteria and the reason why. a summary of : the evaluation process and outcome; and any additional correspondence produced during the evaluation process. the application evaluation results and a recommendation as to which application(s) should be awarded prequalification status. All eligible, substantially responsive applications that meet the required evaluation criteria requirements shall be recommended for prequalification status. 7.5 Sign-off ESPAR report Entity CO, CEO, Board (or delegated PO) The ESPAR report is signed-off by the CO / CEO, Board, or delegated PO, as authorisation that the: award recommendation is approved appropriate funding and cash-flow is available to cover the contractual and total project costs. The ESPAR report shall be signed-off in accordance with the authorised procurement tender delegations within each entity. Central Tenders Committee (CTC) Prequalification Process 33

36 34 Central Tenders Committee (CTC) Prequalification Process

37 Prequalification Recommendation and Award 8

38 8. Prequalification Recommendation and Award Once the ESPAR report has been signed-off, the entity PO presents the recommendation to the CTC in order to demonstrate that the evaluation process was carried out fairly, consistently, ethically and transparently, in adherence to Cayman Islands Legislation and public sector guidelines, and that the application(s) being recommended for the prequalification award meet(s) the requirements for the contract to be fulfilled. The CTC will vote to decide whether to support or reject the prequalification recommendation. Where the recommendation is supported, the CTC will send out the letter of award to the successful and unsuccessful applicants. Task Responsibility Process Requirements The entity PO sends the ESPAR report to the CTC for review three working days prior to the meeting. The ESPAR report: 8.1 Send ESPAR report to CTC. Entity PO / CTC Secretary The CTC Secretary: checks that the ESPAR report has been completed and signed off by the CO, CEO, Board or delegated PO; and confirms the CTC meeting date and time with the PO for the ESPAR to be reviewed and places this on the agenda. shall be sent to the CTC Secretary 3 working days (e.g. on Tuesday) prior to the CTC meeting (e.g. on Friday); shall be circulated to the CTC members; and is not to be circulated to any member of the CTC where a conflict or perceived conflict of interest has been recognised previously. The CTC Chairman circulates the ESPAR to the CTC for review prior to the next CTC meeting. The entity PO shall: 8.2 CTC meeting to approve the ESPAR report. CTC / entity PO At the designated CTC meeting point on the agenda the CTC Secretary invites the entity PO to join the meeting to review the ESPAR report. The entity PO gives an overview of the evaluation process and the result as per the ESPAR report. The CTC members raise any issues or queries regarding the process or award recommendation. The entity PO is asked to leave the room whilst the CTC vote whether to support or reject the recommended prequalification award. The recommendation shall be supported based on a majority vote. The CTC Secretary shall record the vote and each CTC member shall sign to confirm the voting record. demonstrate that the evaluation process was carried out fairly, consistently, ethically and transparently as per Public Sector guidelines; advise the CTC of any applications that were not considered eligible or responsive and the reasons why; and provide evidence that the prequalification award recommendation is as a result of applying the stated eligibility and evaluation criteria fairly and consistently to all responsive applications. Documentary evidence of the information summarised in the ESPAR report is to be available on request by the CTC. The CTC secretary documents: all queries and issues raised by the CTC members and the responses; and the vote showing who voted for and against the recommendation and the reasons why if voting against. 36 Central Tenders Committee (CTC) Prequalification Process

39 Task Responsibility Process Requirements 8.3 Advise the PO of the CTC decision CTC Chairman The CTC Secretary advises the entity PO of the CTC decision by within 3 working days. If the prequalification recommendation is rejected, the entity PO is directed by the CTC to reconsider the recommendation decision and return to the CTC at an agreed date. If the prequalification recommendation is rejected, the shall contain the reasons why the CTC does not support the prequalification recommendation and the actions that need to be taken prior to a further meeting with the CTC. The CTC sends out a letter of award within 3 working days of the CTC meeting to: 8.4 Notify suppliers of prequalification award. CTC Chairman the successful applicants advising them that they have been awarded prequalification status and will receive an invitation to tender; and the unsuccessful applicants thanking them for their application and advising them; unfortunately they did not prequalify; and the received applications were evaluated against the stated eligibility and evaluation criteria. The release of information to applicants and the general public is being reviewed as part of the Freedom of Information (FOI) implementation project. Until the guidelines and policy have been developed, all information relating to applications shall remain confidential. Copies of the letters are to be sent to the entity PO for information. Central Tenders Committee (CTC) Prequalification Process 37