[insert procurement name and number] Commercial-In-Confidence Evaluation Plan
EVALUATION PLAN
(Complex procurement)
for
[…INSERT PROCUREMENT NAME AND NUMBER…]
COMMERCIAL-IN-CONFIDENCE
COMMERCIAL–IN–CONFIDENCE
[insert procurement name and number] Commercial-In-Confidence Evaluation Plan
1 OVERVIEW 1
1.1 Introduction (Core) 1
1.2 Aim (Core) 1
1.3 Background (Core) 1
1.4 Indicative Schedule of Activities (Core) 1
2 EVALUATION CRITERIA 1
2.1 Evaluation Criteria (Core) 1
3 approvals, delegations and Evaluation TEAM 1
3.1 Organisational Chart (Optional) 1
3.2 Approvals and Delegations (Core) 1
3.3 Evaluation Team (ET) (Core) 1
3.4 Evaluation Board (EB) (Core) 1
3.5 Tender Evaluation Working Group (TEWG) (Optional) 1
3.6 Access and Review of Deliverables (Core) 1
3.7 Steering Committee (Optional) 1
4 Ethics, Probity and Fair Dealing 1
4.1 Evaluation Requirements (Core) 1
4.2 Accountability, Probity, Ethics and Fair Dealing (Core) 1
4.3 Conflicts of Interest (Core) 1
4.4 Confidentiality and Security of Documentation (Core) 1
4.5 Communication with Third Parties (Core) 1
4.6 Clarification of Tenderer’s Responses (Core) 1
4.7 Site Visits (Optional) 1
5 TENDER EVALUATION PROCESS AND METHODOLOGY 1
5.1 Registration of Tenders (Core) 1
5.2 Late Tenders (Core) 1
5.3 Initial Distribution (Core) 1
5.4 Initial Screening (Core) 1
5.5 Shortlisting (Optional) 1
5.6 Discretion of EB to Set Aside a Tender (Core) 1
5.7 Detailed Evaluation, Methodology, and Production of the ER (Core) 1
5.8 Offer Definition Activity (ODA) (Only to be used if Offer Definition was included in the Request Documentation) 1
5.9 Notification and Debriefing of Tenderers (Core) 1
ANNEXES
A. Indicative Schedule of Activities (Core)
B. TEWG Responsibility for Evaluation Criteria (Optional)
C. Deliverables (Core)
D. Evaluation Guide and Definitions (Core)
E. Screening and Shortlisting Template (Optional)
F. Probity register(Core)
G. Conflict of Interest Declaration (Core)
H. Deed of Confidentiality (Core)
I. Communications Register (Core)
5
COMMERCIAL–IN–CONFIDENCE
[insert procurement name and number] Commercial-In-Confidence Evaluation Plan
References:
- […INSERT EITHER “Acquisition Strategy” OR “Procurement Plan”];
- […INSERT ADDITIONAL REFERENCES AS APPLICABLE…]
1 OVERVIEW
1.1 Introduction (Core)
1.1.1 This Evaluation Plan (EP) details the arrangements and framework for evaluating tenders for the supply of […INSERT DESCRIPTION…] to the requirements of […INSERT REQUEST DOCUMENTATION TITLE AND NUMBER…] to be issued on […INSERT PROPOSED RELEASE DATE…].
1.2 Aim (Core)
1.2.1 […INSERT OVERALL OBJECTIVE OF THE EVALUATION PROCESS…]
1.3 Background (Core)
1.3.1 […INSERT BACKGROUND OF REQUIREMENT…]
1.4 Indicative Schedule of Activities (Core)
1.4.1 The evaluation will be conducted in accordance with the Indicative Schedule of Activities provided at Annex A.
2 EVALUATION CRITERIA
2.1 Evaluation Criteria (Core)
2.1.1 The evaluation criteria will form the basis for the evaluation of tenders and assessments against which value for money ranking and recommendations will be made. Evaluation criteria to be applied for the purposes of evaluation will include the following, not in any order of importance:
a. […INSERT THE EVALUATION CRITERIA FROM THE REQUEST DOCUMENTATION…]
b. etc
c. etc
2.1.2 The evaluation criteria above are sourced directly from the Request Documentation and have not been weighted or otherwise put in an order of priority.
3 approval and Evaluation TEAM
3.1 Organisational Chart (Optional)
3.2 Approval (Core)
3.2.1 Officials nominated in the […INSERT EITHER “Procurement Plan” OR “Acquisition Strategy” AS APPLICABLE…] to approve actions, and persons/ bodies who will provide review and advise of actions, are as follows:
Action / Delegate / Review and AdviceApprove Request Documentation for release / FINMAN 2 Schedule 1 / Legal Adviser
Commercial Adviser
Probity Adviser
Procurement Adviser
Approve EP / FINMAN 2 Schedule 1 / Legal Adviser
Commercial Adviser
Probity Adviser
Procurement Adviser
Sign off and Approve Evaluation Report / FINMAN 2 Schedule 1 / Legal Adviser
Commercial Adviser
Probity Adviser
Procurement Adviser
TEWGs and EB/Steering Committee.
3.3 Evaluation Team (ET) (Core)
3.3.1 The Evaluation Team (ET) consists of the members of the Evaluation Board (EB) and the members of any Tender Evaluation Working Group (TEWG) formed.
3.3.2 All members of the ET must understand their obligations and comply with this EP.
3.4 Evaluation Board (EB) (Core)
3.4.1 The EB is formed specifically to conduct evaluation of each of the tenders in accordance with this EP and to provide an Evaluation Report (ER), including a recommendation, to the delegate.
3.4.2 The EB shall:
a. comply with all relevant legislative and regulatory requirements and all relevant procurement policies;
b. conduct the evaluation in a manner which is ethical and fair; and
c. minimise the costs of evaluation for Defence; and
d. use methodologies that are consistent with this EP and appropriate to its various components evaluated.
3.4.3 The EB comprises:
Position / Name / Title/RoleChair
Member
Member
Member
Member
3.4.4 The EB Chair responsibilities include:
a. ensuring that the ET members are aware of and comply with the requirements of the EP;
b. managing the assessment of each tender against the requirements of the Request Documentation in accordance with the EP;
c. ensuring consistency of approach and evaluation methodology by the ET;
Option: Where screening or shortlisting report is used
d. developing a Screening and Shortlisting […DELETE AS APPLICABLE…] Report;
Option: Where TEWGs are formed
e. reviewing TEWG Reports for consistency and inclusion as annexes to the ER;
f. developing an ER with the assistance of the ET; and
g. making a recommendation to the delegate.
Option: Where further advice and guidance is required3.4.5 The EB may seek advice and guidance from the following advisers:
Area of Expertise / Name / Work area
Probity Advice
Legal Advice
Engineering Advice
Contracting Advice
Financial Advice
3.5 Tender Evaluation Working Group (TEWG) (Optional)
3.5.1 Annex B contains a list of TEWGs formed, TEWG Leaders, TEWG members, and identifies the evaluation criteria assigned to each TEWG.
3.6 Access and Review of Deliverables (Core)
3.6.1 The Deliverables provided as part of each tenderers response may be applicable to more than one evaluation criteria.
3.6.2 Annex C contains a table which maps evaluation criteria against Deliverables that may be delivered as part of each tender.
3.6.3 For probity reasons, ET members who are not conducting the financial and commercial evaluation should not have access to financial and pricing volumes of each tender prior to providing the EB Chair with their report on detailed evaluation.
3.6.4 If a ET member requests access to particular Tender Deliverable in order to conduct its evaluation and that Tender Deliverable is not attributed to evaluation criteria the ET member is evaluating at Annex C, the EB Chair will determine whether or not access to the Tender Deliverable is granted.
3.7 Steering Committee (Optional)
3.7.1 The EB will present its recommendation and ER to the […INSERT TITLE OF STEERING COMMITTEE…].
3.7.2 The role of the Steering Committee is to provide high level input from stakeholders such as the end user, those involved providing resources to maintain or support the capability (for example, Defence Services Group), and management input from outside of the EB.
3.7.3 The Steering Committee may review and report on the EB’s recommendation and ER and provide any comments to the delegate. Information required by the delegate may include comments on the following issues:
a. whether sufficient resources are committed to the procurement;
b. whether appropriate specialist skills are involved in the procurement; and
c. whether the Supplies or Services to be delivered are planned and checked against user requirements.
4 Ethics, Probity and Fair Dealing
4.1 Evaluation Requirements (Core)
4.1.1 Prior to the receipt of tenders the EB Chair will brief the ET on requirements of the EP. This briefing will include such things as:
a. accountability, probity, ethics and fair dealing;
b. conflicts of interest;
c. security requirements and arrangements;
d. the tender clarification process;
e. administrative arrangements (for example distribution of tender volumes, the venue for evaluation, the use of evaluation tools and database); and
f. areas of responsibility for evaluation, evaluation Stages and required outputs, and the evaluation schedule.
4.2 Accountability, Probity, Ethics and Fair Dealing (Core)
4.2.1 Staff involved with the evaluation must recognise their public duty and ensure that the principles and ethics of probity are upheld. APS staff and ADF members are not required to sign personal non-disclosure agreements as they are held accountable under the Public Service Act 1999 or the Defence Force Discipline Act 1982 (as applicable).
4.2.2 The following principles must be demonstrated and adhered to at all times:
a. accountability – see the CPR’s; and
b. probity, ethics and fair dealing – see DPPM Chapter 3.13.
4.2.3 The probity register at Attachment […INSERT REFERENCE AS APPLICABLE…] will be used to record all probity issues and risks.
4.3 Conflicts of Interest (Core)
4.3.1 The EB Chair will brief the ET on the risks associated with real or perceived conflicts of interest prior to evaluation. Any non-Defence personnel participating in the evaluation process will be required to submit a conflict of interest declaration at Attachment G to the effect that they have no conflict of interest with tenderers or their potential subcontractors.
4.3.2 Participants in the evaluation process will be advised that should a real or perceived conflict of interest situation arise at any time over the course of the evaluation they will be required to declare this and may be required to exclude themselves from further participation in the process.
4.4 Confidentiality and Security of Documentation (Core)
4.4.1 Throughout the evaluation process, all tendered material must be handled appropriately. Information provided by tenderers will be treated as Commercial-in-Confidence (CIC), kept secure and not be used for personal gain or to prejudice fair, open and effective competition. Any non-Defence personnel participating in the evaluation process will be required to submit a Deed of Confidentiality form as Attachment H. For further information on security and confidentiality principles see DPPM Chapters 3.9 and 3.11.
4.5 Communication with Third Parties (Core)
4.5.1 EB members are not permitted to contact any respondents during the evaluation without prior approval from the EB Chair. All contact must be documented in writing throughout the procurement process.
4.5.2 The communications register at Attachment […INSERT REFERENCE AS APPLICABLE…] will be used to retain a record of communications (including complaints, requests for information, clarifications, extension to the tender open period, etc) and will provide evidence of communication between Defence and third parties.
4.6 Clarification of Tenderer’s Responses (Core)
4.6.1 Communication between the Commonwealth and tenderers must not be designed to solicit new information from tenderers. Any communication between the Commonwealth and tenderers will be restricted to clarification of issues that would assist the evaluation process, thereby improving the level of confidence attached to the evaluation. Clarification questions must be approved for release by the EB Chair. When a tenderer’s response to a clarifying question foreshadows a change in scope, schedule or cost, the EB Chair will determine whether the information is admissible for evaluation purposes.
4.6.2 Any unsolicited information received from tenderers after the tender closing date will be passed to the EB Chair. If the EB Chair determines that such information is inconsistent with the principles for the handling of late tenders as outlined in the Request Documentation, this information will be withheld from the evaluation.
4.6.3 Any clarification questions will be consolidated into a single request and passed to the EB Chair (or nominated officer). Requests for clarifying information will be issued by the EB Chair to the relevant tenderers in writing.
4.6.4 The communications register at Attachment […INSERT REFERENCE AS APPLICABLE…] will be used to retain a record of communications when clarifying information and will provide evidence of communication between Defence and third parties.
4.7 Site Visits (Optional)
4.7.1 Site visits to tenderers’ premises, as outlined in the Conditions of Tender may be required during the detailed evaluation of tenders. The purpose of these visits is to verify or clarify attributes of the tendered solution. Requests for site visits by ET members must be organised through the EB Chair.
4.7.2 The EB Chair may request to visit the facilities of tenderers and their proposed Subcontractors to verify or clarify attributes of the tender responses.
4.7.3 All travel and associated costs (including meals) incurred by members of the ET in the course of any visit are to be borne by the Commonwealth.
4.7.4 All discussions with tenderers must be fully documented in the communications register and at least two ET members must be present at all times.
5 TENDER EVALUATION PROCESS AND METHODOLOGY
5.1 Registration of Tenders (Core)
5.1.1 A representative of Defence will register the receipt of all tenders in the presence of at least two witnesses in accordance with Defence’s policy and procedures as described in the DPPM at Chapter 5.5.
5.1.2 All tenders will be stored securely by the representative in a manner that ensures no person, including members of the ET, has access to them until the evaluation commences.
5.2 Late Tenders (Core)
5.2.1 Tenders lodged after the closing time specified in the Request for Tender may be deemed to be “Late Tenders”.
5.2.2 Late Tenders must be treated in accordance with the ‘Late Submission’ guidelines found at paragraphs 10.24-10.27 of the Commonwealth Procurement Rules and Chapter 5.5 of the DPPM.
5.3 Initial Distribution (Core)
5.3.1 The EB Chair will ensure that copies of the relevant volumes of each tender are made available to each member of the EB. These copies are to be held in a secure lockable storage medium. If the members of the EB are geographically dispersed then the distribution of the tenders will be treated as Commercial in Confidence (CIC) and the appropriate security measures adhered to in accordance with paragraph 4.4.
5.4 Initial Screening (Core)
5.4.1 The EB will initially check tenders against the:
a. minimum content and format requirements;
b. conditions for participation; and
c. Essential requirements identified in the Request Documentation.
Option: For procurements subject to the additional rules that apply under Division 2 of the CPRs
5.4.2 Tenders that do not satisfy the minimum content and format requirements, do not meet the conditions for participation, or do not satisfy Essential requirements specified in the Request Documentation must not be considered for detailed evaluation and will be set aside.