• Section 1 - Purpose and Context
• Section 2 - Definitions
• Section 3 - Policy Statement
• Part A - Procurement Principles and Core Requirements
• Value for Money
• Probity and Equity Principles
• Segregation of Duties
• Conflicts of Interest
• Delegations and Approval
• Gifts and Hospitality
• Probity Plans and Advisers
• Record Keeping
• Environmental Considerations
• Mandatory and Preferred Suppliers
• Breaches
• Part B - Procurement Rules
• Table 1 - Procurement Matrix
• Part C - Purchase and Tender Board and Tender Committees
• Part D - NSW Government Or Procurement Consortium Suppliers
• Part E - UWS Suppliers
• Part F - Procurement of Restricted Goods and/Services
• Section 4 - Procedures
• Part G - Establishing UWS Supplier Arrangements
• Part H - Direct Negotiations
• Part I - Quotations
• Seeking Quotations
• Assessing Quotations
• Approving and Accepting Quotations
• Part J - Tenders
• Tender Process Approval
• Probity in Tender Processes
• Calling for Tenders
• Assessing Tenders
• Approving and Accepting Tenders
• Part K - Expressions of Interest
• Part L - Evaluation Panels
• Part M - Purchase and Payment Methods
• Minor Purchases/Reimbursement
• UWS Fuel Cards
• Corporate Credit Card
• Purchase Requisitions and Orders
• Purchase and Service Requisition
• Purchase Order
• Urgent Orders
• Cancellation of a Purchase Order
• Variation to Purchase Order
• Payments to UWS Suppliers
• Part N - Post-Purchase Requirements
• Receipt of Goods and/or Services
• Assets Management
• Review of Procurement
• Part O - GIPAA requirements
• Section 5 - Guidelines

Section 1 - Purpose and Context

(1) The Procurement Policy sets out the principles under which procurement will occur at the University of Western Sydney (UWS). It also outlines the approved methods and processes for procurement and purchasing.

(2) The purpose of the Policy is to establish a more strategic approach to procurement involving greater professional management and oversight, and better coordination and integration of procurement activity across the University.

(3) The policy applies to all procurement undertaken at the University. It covers procurement of all general and specified goods and services from external suppliers, including those purchased or leased.

(4) The policy has been developed to conform to the NSW Government Guidelines on Procurement and to comply with the Government Information (Public Access) Act (GIPAA) - that is the publishing of certain information regarding contracts, and the NSW Public Finance and Audit Act 1993. The policy should also be read in conjunction with the Purchase and Tender Board Policy, the Corporate Credit Card Policy, the Asset Management Policy, the Delegations (Administrative) Policy and other associated policies and procedures.

Section 2 - Definitions

(5) For the purposes of this policy:

1. UWS purchaser - a UWS employee or other person authorised to undertake purchasing for the University.

Section 3 - Policy Statement

Part A - Procurement Principles and Core Requirements

(6) All procurement activities will be undertaken in accordance with the University's statutory requirements and responsibilities, its policies and procedures, and align with the underlying principles of UWS as stated in its mission, vision and values.

Value for Money

(7) UWS seeks value for money in all procurement. Value for money is achieved in an open competitive environment in which suppliers can be confident that their proposals will be assessed on merit. It does not automatically mean "lowest price"; it incorporates and considers fitness for purpose; fair market price; return on investment; whole-of-life costs; timely delivery; post-delivery support; environmental sustainability; evidence of previous performance or experience, effective warranty and conformity to law.

Probity and Equity Principles

(8) All procurement activities will be undertaken with probity and equity. The principles of a probative and equitable approach to procurement are:

1. fairness and impartiality;
2. use of competitive process;
3. consistency and fairness of process;
4. tender and quotation security and confidentiality (for both UWS and suppliers);
5. identification and resolution of any real or perceived conflicts of interest; and
6. accountability and transparency.

Segregation of Duties

(9) Procurement processes must include appropriate oversight and segregation of duties to avoid end to end control by any individual.

Conflicts of Interest

(10) The UWS Code of Conduct establishes standards of behaviour expected of UWS staff members and the Conflict of Interest Policy provide further elaboration of the principles involved. Any real or perceived actual conflict of interest in relation to procurement activity must be reported to a staff member's supervisor. Conflicts of Interest should be reported and managed in accordance with the Conflict of Interest Policy.

(11) Where a procurement activity must go to tender, all people involved with the tender process on the University's behalf (employees and any external) must complete a formal "no interest" declaration, which will be placed on the TRIM file.

Delegations and Approval

(12) Procurement of goods and/or services can only be approved by persons holding the relevant delegation and where available funds exist within an approved budget or source of funds. The appropriate Financial Delegate should be aware of any significant procurement activities before any action commences.

Gifts and Hospitality

(13) Employees involved in procurement actions are prohibited from accepting gifts or extensive hospitality or other benefits from current or prospective suppliers. Modest hospitality (e.g. in house lunch, coffee, tea) associated with meetings to discuss goods and/or services being acquired by the University is acceptable but restaurant lunches and dinners, the provision of alcohol, tickets to the theatre or sporting events are not.

(14) While it is legitimate, as part of the procurement process, to travel to view prospective goods or services, such as equipment, situations where the potential supplier pays for such travel and associated accommodation should be avoided.

(15) Where there is confusion or difficulties surrounding proffered gifts and/or other benefits the Associate Director, Procurement should be consulted. The Gift and Benefit Acceptance Management Policy can also be used as a reference.

Probity Plans and Advisers

(16) Probity plans and advisers must be used for non-routine projects, e.g. relatively high value, complex or high risk. The relevant Tender Committee is responsible for advising on and endorsing the appointment of probity advisers.

Record Keeping

(17) Accurate and thorough records must be maintained throughout all procurement processes and filed on TRIM. Procurement practices are open to substantial internal and external scrutiny. Records relating to procurement processes can be examined through internal or external audit processes, by the Independent Commission Against Corruption (ICAC) and unsuccessful suppliers can seek access under the Government Information (Public Access) Act.

(18) Details of contracts in excess of $150K are required to be placed on the contracts disclosure register, under the GIPA Act. See Part O - GIPAA Requirements.

Environmental Considerations

(19) In line with the University's commitments, subject to costs and other considerations, procurement will be directed to purchasing goods and/or services that are environmentally friendly and sustainable, including in the disposal of such goods.

Mandatory and Preferred Suppliers

(20) The University will establish contracted suppliers for certain goods and/or services. Depending on the arrangements entered into by the University these suppliers may be "mandatory", that is they must be used to purchase those goods and/or services without exception. Alternatively, the suppliers may be "preferred", that is they are the main supplier of those goods and/or services to the University and are expected to be used in the first instance but other suppliers can be used; or they may one of several suppliers who can be used to provide certain goods and/or services.

(21) Where the University has an agreement with a mandated supplier then that supplier must be used to procure those goods/services.

(22) Where the University has an agreement with a preferred supplier then that supplier must be used to procure those goods/services in the first instance. If a unit recommends a supplier other than a preferred supplier for a purchase over $10K, a written justification must be submitted to and approved by the Associate Director, Procurement before the purchase is made.

Breaches

(23) Employees who breach the provisions of this policy or the Delegations (Administrative) Policy may be subject to action under the provisions of unsatisfactory conduct or misconduct as outlined in the relevant staff agreement. Such action may result in the withdrawal of delegation authority or other disciplinary action.

(24) The University has a clear obligation to report serious matters to the Police and/or the ICAC which potentially could result in civil or criminal proceedings. There is a statutory requirement for the University to report all suspected fraud to the ICAC, irrespective of the amount involved.

Part B - Procurement Rules

(25) The procurement matrix at Table 1 provides the minimum requirements for procurement activities, however, the head of unit can seek more quotes or elect to call tenders for any process. Advice can be sought from the Associate Director, Procurement.

Table 1 - Procurement Matrix

(26) The thresholds in Table 1 apply to the total value of the procurement of goods and/or services, including supply, freight, installation, training and ongoing service contracts over the whole term of the procurement activity. The exception is where it is usual for these components to be supplied by separate organisations.

(27) If it is estimated that the expected cost of the procurement may be close to the tender threshold in Table 1, then employees should undertake a tender process.

(28) Quotes and tenders must not be broken down into smaller parts to be under the thresholds in Table 1 for the purpose of avoiding the requirement to call for quotations or tenders. There must be no order or invoice splitting or purchasing goods and/or services over several months so that the overall invoice is under the thresholds.

(29) Variations to a tender or contract of 20% or more after the acceptance of tender or after entering into a contract for supply, must be submitted to the relevant Tender Committee in advance of accepting a variation. The relevant Tender Committee may recommend to the Financial Delegate that the variance be accepted, or a new process be undertaken.

(30) Whilst it is not the normal course of business, there may be situations in which a quotation or tender process cannot be undertaken. The Chief Financial Officer (CFO) or the relevant Tender Committee (for tenders) may approve an exemption with appropriate justification. Refer to Part H - Direct Negotiations.

(31) Procurement activities are subject to payment in accordance with the University's terms and conditions. The University will not pay in advance for the supply of goods and/or services over $5K (noting that credit card purchases are debited in advance) except where a legitimate deposit is required to secure the goods or services. The relevant delegate for the whole purchase may approve the payment of a deposit.

(32) Purchase and payment for procured goods and/or services must be made in accordance with the University's accepted methods, as outlined in Section 4 - Procedures.

Part C - Purchase and Tender Board and Tender Committees

(33) The University will have a Purchase and Tender Board that will oversight all tenders and purchases above the tender threshold. All tenders and purchases over the tender threshold must be approved by the Purchase and Tender Board. The membership and terms of reference of the Purchase and Tender Board are outlined in the Purchase and Tender Board Policy.

(34) The Purchase and Tender Board will also establish specialist Tender Committees that will review and assess certain tenders and purchases over the tender threshold. The Tender Committees approve the advertising of tenders and will make recommendations to the Purchase and Tender Board in regards to the acceptance of tenders. The individual Tender Committees are responsible for construction and infrastructure, information technology, scientific equipment, university-wide and general goods and services.

Part D - NSW Government Or Procurement Consortium Suppliers

(35) The NSW Government enters into contracts for the supply a range of goods and/or services. Similar arrangements are also available through Procurement Consortiums such as Procurement Australia or Higher Education Services Pty Ltd.

(36) UWS purchasers must use NSW Government or Procurement Consortium suppliers except where an alternative UWS supplier arrangement exists.

(37) UWS purchasers may procure under a NSW Government or Procurement Consortium contract without quotes or tenders, and with the relevant delegated officer's approval. Where the procurement exceeds the tender threshold, it must be reported to the Associate Director Procurement for noting at the next meeting of the relevant Tender Committee. Procurement Consortium contracts must have been established through a competitive process to be considered.

(38) UWS purchasers must seek approval from the Associate Director, Procurement to use suppliers other than the NSW Government or Procurement Consortium suppliers, except where a UWS supplier arrangement exists.

(39) Government contract details are available to all University staff following registration as a website user. Registration and contract information is available from the Procurement Office.

Part E - UWS Suppliers

(40) The University will establish contracts for mandated or preferred supplier arrangements under this policy and will be detailed on the Finance Office website.

(41) UWS purchasers must use UWS mandated suppliers and may use preferred suppliers, depending on the supplier arrangement.

(42) UWS purchasers may procure goods and/or services from a mandated or preferred supplier without quote or tender, and with the relevant delegate's approval. Where the procurement exceeds the tender threshold, it must be reported to the Associate Director, Procurement for noting at the next meeting of the relevant Tender Committee.

Part F - Procurement of Restricted Goods and/Services

(43) The University authorises certain units to negotiate and secure contracts for particular goods and/or services on its behalf, such as those leading to mandated or preferred suppliers mentioned in Part E. The procurement of these goods and/or services is restricted to the area of responsibility. These restrictions are approved by the Purchase and Tender Board, and are listed in the attached Schedule 1.

(44) Unauthorised procurement of restricted goods and/or services exposes the University to risk including: contravening legal agreements UWS has with contracted suppliers; damaging other university equipment or property because of non-compliance with required standards; and costing the university more because of additional work required to either secure the goods and/or services, or to resolve issues as a result of that purchase.

(45) UWS purchasers must use the relevant university-wide contracted arrangements for restricted procurement activities, and must liaise with the responsible unit with regards to the supply of those goods or services in any procurement process.

(46) To reduce the University's risk exposure, units that purchase restricted goods and/or services outside of the University-wide contract will be charged a non-standard purchasing levy. The levy will be set by the CFO annually. In addition, employees involved in unauthorised procurement of restricted goods and/or services may be subject to action under Clauses 23 and 24 of this policy.

Section 4 - Procedures

Part G - Establishing UWS Supplier Arrangements

(47) UWS supplier agreements may be for up to three years with the option at the University's discretion for an extension of one year, plus one year. The responsible unit must review the arrangements before the expiration of the contract.

(48) UWS supplier arrangements will be subject to a contract/agreement with the University and such contracts/agreements are subject to standards and advice from the Office of University Legal Counsel (OULC).

(49) UWS supplier agreements must be reviewed regularly by the responsible unit to ensure compliance with the agreement. Reviews must be forwarded to the Associate Director, Procurement who will report to the Purchase and Tender Board yearly on preferred supplier reviews.

(50) The responsible unit must advise employees of any such arrangements in place, including providing the training for any systems that are used for the purchasing/supply process. The Finance Office will also provide information about these contracted suppliers on their website.

Part H - Direct Negotiations

(51) Occasionally there is a need to enter into direct negotiations with a particular supplier without seeking competitive quotes or tenders from the market. This is different to a situation where quotes or tenders are sought through a competitive process but only one quote or tender is received. Direct negotiations relate specifically to situations where no quote or tender process is undertaken. Typically this can occur:

1. where there is only one available supplier for the goods and/or services;
2. where there is an ongoing or associated project and there is a compelling case to continue with a particular supplier;
3. where there is a legitimate reason to renew or rollover a contract;
4. in cases of emergency.

(52) Direct negotiations involve significant risk and it is essential that proper process is followed and that a unique or incumbent supplier is not unfairly or improperly advantaged. Managers involved in direct negotiations should seek advice on requirements from the Procurement Office and familiarise themselves with the "Guidelines for managing risk in direct negotiations" published by the ICAC.

(53) Formal approval to enter into direct negotiations with a supplier must be sought in advance. In these cases an exemption to the quotation or the tender threshold requirements must be submitted to the CFO or relevant Tender Committee for independent scrutiny and approval, or in the case of a tender to the relevant Tender Committee. The application must be endorsed by the relevant delegate above the staff member intending to engage in the direct negotiation and acquisition. Applications must be able to provide tangible and objective evidence of sole supplier status or emergency, or good performance in the case of incumbent suppliers.

(54) All approved exemptions will be reported to the next meeting of the Purchase and Tender Board.

Part I - Quotations

(55) Before seeking quotes, UWS purchasers should establish if a Government, Procurement Consortium or UWS mandated or preferred supplier exists for the goods and/or services they wish to purchase.

Seeking Quotations

(56) UWS purchasers seeking quotes must follow the Procurement Principles and Rules outlined in this policy.

(57) Verbal quotes will be documented by the UWS purchaser and attached to the documentation associated with the purchase, and submitted to the relevant delegate for approval.

(58) A UWS pro-forma is available for use when seeking written quotes. Suppliers should be provided with the University's terms and conditions of purchase which are available from the OULC website.

(59) UWS purchasers will prepare specifications for the goods and/services required. The specifications must be provided to potential suppliers and quotes should be based on these specifications. As specifications form the basis of a potential quote, they will be sufficiently detailed to ensure acceptable quality and fit-for-purpose of the goods and/or services the supplier provides. However, specifications should not be so narrow as to unreasonably limit the market.

(60) Procurement activities in excess of $50K also require the completion of a Procurement Plan prior to any procurement action commencing. The Procurement Plan is a checklist for UWS purchasers to undertake effective procurement. It especially assists UWS purchasers who do not regularly undertake procurement activities to ensure all aspects of the process are covered.

(61) All potential suppliers must be treated equitably, that is each potential supplier will receive the same information, and they must receive and respond to the request for a quote within the same timeframe.

(62) Where employees procure similar items time and again, they will undertake market benchmarking from time-to-time by seeking quotes from a range of suppliers to ensure continued market competitiveness.

(63) Employees must not give any indication to potential suppliers of the outcome of the process until quotations have been accepted by the relevant delegate.

Assessing Quotations

(64) For purchases over $20K, the evaluation criteria for assessing quotes must be established before quotes are received and can be made known to potential suppliers, for transparency. The complexity of the evaluation criteria will depend on the risk of the project and will form part of the quotation pro-forma.

(65) When assessing quotes, UWS purchasers should recommend acceptance of the quote that best meets the specification requirements and assessment criteria (if developed), and the value for money principles outlined in Part A. The relevant delegate may accept a recommendation for a quote other than the best fit where sufficient justification is provided in writing.

(66) UWS purchasers are not obliged to recommend acceptance of any of the quotes received if they do not meet the specification requirements, or if the UWS purchaser does not believe the quotes meet the principles of value for money.

Approving and Accepting Quotations

(67) All documents relating to the procurement activity, including the Procurement Plan, specifications, details of verbal quotes, evaluation criteria, written quotes received, and any other relevant information will be submitted by the UWS purchaser with a recommendation to the relevant delegate for purchasing approval. Even if a UWS purchaser has appropriate delegation they must not approve their own recommendation in relation to a procurement activity.

(68) If a purchase is less than $50K, the relevant delegate may approve a purchase where they are satisfied with the recommendation. For purchases of $50K to $250K, the relevant delegate may approve the expenditure but it must be submitted to the Associate Director, Procurement for endorsement that the required process has been followed prior to purchase.

(69) The acceptance of goods and/or services through quotations may require the University to enter into a written agreement with the supplier where the terms negotiated are more complex than, or not appropriate to, the supplier's standard terms of supply. The OULC has developed forms of standard contracts for use in particular circumstances. All contracts are subject to standards and advice from theOULC.

(70) The supply of goods and services must be reviewed against the conditions of the accepted quote or written agreement on a regular basis by the relevant unit.

Part J - Tenders

(71) Before seeking tenders, UWS purchasers should establish if a Government, Procurement Consortium or UWS mandated or preferred supplier exists for the goods and/or services they wish to purchase. Assistance should also be sought from OULC as soon as possible to assess whether it is appropriate to include in the tender documents a set of prescribed minimum terms.

Tender Process Approval

(72) All tender processes must be approved by the relevant Tender Committee before the call for tenders is sought. Submissions to the Tender Committee should include all relevant documentation, including evaluation panel membership, evaluation criteria, specifications and probity plan. A pro-forma document may be used.

(73) An evaluation panel must be established for each tender process. See Part L.

(74) The relevant Tender Committee may approve either open or selective tender processes. The decision to have an open or selective tender process depends on the circumstances of the procurement activity. In an open tender process all potential suppliers may submit a tender. The benefit of an open process is that the marketplace is tested for competitiveness because any potential supplier can submit a tender. Open tenders are usually advertised in wide-reaching media such as newspapers or tendering websites. In a selective tender process the tender is limited to specific suppliers. This may be because an expression of interest process has been undertaken and/or approved supplier panels are in place, or there are limits within the industry. Consideration must be given to the principles of procurement and value for money when recommending a selective tender process as it does not test the open market.

Probity in Tender Processes

(75) Probity must be a feature in all tender processes. Comprehensive written details of the tender process, including all activities relating to the decision making and communications with prospective suppliers, must be recorded and placed on TRIM. Probity advisers must be used for non-routine projects, e.g. relatively high value, complex or high risk, and must be endorsed by the relevant Tender Committee.

(76) Where required, a Probity Plan and Probity Report must be completed for all tenders processes. The plan and report will form part of the documentation relating to the tender and will be submitted to the Tender Committee as part of the recommendation process.

(77) All parties related to the University who are involved in a tender process must complete a "no interest" declaration which will form part of the process documentation. This includes members of evaluation panels and Tender Committees (Refer to the Conflict of Interest Policy).

(78) All information received from potential suppliers and tender documents remain confidential and the anonymity of potential suppliers must be maintained throughout the process.

(79) All potential suppliers will be treated equitably, that is where tenders are called each potential supplier must receive the same information, and they must receive and respond to tenders within the same timeframe. Late tenders will not be accepted.

Calling for Tenders

(80) UWS purchasers calling for tenders must follow the Procurement Principles and Rules outlined in this policy.

(81) Tender documentation will be approved by the relevant Tender Committee.

(82) Tenders must be submitted in accordance with the process as prescribed by the Purchase and Tender Board. Tenders not provided in accordance with the prescribed process will not be accepted.

(83) The University has developed a number of pro-forma tender documents, depending on the procurement activity, and the relevant pro-forma documents must be used.

Assessing Tenders

(84) Evaluation criteria and weightings for assessing tenders must be established before the tender process is approved. The extent of the criteria will be dependent on the risk of the project being undertaken.

(85) Evaluation criteria form part of the tender pro-forma and may be made known to potential suppliers.

(86) Evaluation panels should recommend acceptance of the tender that best meets the specification requirements and evaluation criteria (if developed), and the value for money principles outlined in Part A. The Evaluation Panel should provide justification in writing along with their recommendation to the delegate for approval.

Approving and Accepting Tenders

(87) UWS is not obliged to accept any of the tenders submitted.

(88) The recommendation from the evaluation panel will be submitted to the relevant Tender Committee, via the Associate Director, Procurement, who will review and assess the recommendation, in accordance with the Purchase and Tender Board Policy.

(89) The Tender Committee may recommend acceptance of the tender to the Strategic Tender and Purchase Board.

(90) The Purchase and Tender Board may approve tenders recommended to them by the relevant Tender Committee.

(91) Where a tender is not recommended for approval by the Tender Committee, the Associate Director, Procurement will liaise with the relevant unit.

(92) The acceptance of a tender may require the University to enter into a contract with the supplier where the terms negotiated are more complex than, or not appropriate to, the supplier's standard terms of supply. The OULC has developed forms of standard contracts for use in particular circumstances. All contracts are subject to standards and advice from the OULC.

(93) The supply of goods and services must be reviewed against the conditions of the tender contract on a regular basis by the relevant unit.

Part K - Expressions of Interest

(94) An expression of interest process openly tests the market, and suppliers are invited to express an interest in their capacity to supply goods and/or services as part of a future quotation or tender process. After the initial submission, successful suppliers are then invited to be part of a selective quotation or tender process.

(95) As an expression of interest process may result in a selective process, employees seeking to undertake an expression of interest process must have approval from the relevant Tender Committee in advance and in addition to any relevant delegation approval.

Part L - Evaluation Panels

(96) Evaluation panels must be established for all tender processes. Evaluation panels can be established for quotation processes where it is not appropriate for an individual to make a recommendation.

(97) Evaluation panels may be involved in preparing specifications and evaluation criteria, assessing quotations or tenders, and making recommendations. Large procurement activities such as a new university-wide systems (e.g. Callista), specialised equipment, and construction and infrastructure may require a panel of stakeholders, experts and independents to assess the various components, or for probity purposes.

(98) The relevant delegate may approve evaluation panels for quotes, and the relevant Tender Committee may approve evaluation panels for tender processes.

(99) The relevant Tender Committee may be an evaluation panel.

Part M - Purchase and Payment Methods

Minor Purchases/Reimbursement

(100) Where an employee has purchased goods and/or services of a minor nature (i.e. up to $100) in the course of their work, and they do not have a credit card or a credit card is not accepted, they may claim reimbursement subject to approval by the relevant delegate. Reimbursement is made by completing a Payment Requisition Form, and sending it and supporting receipts attached to the Finance Office after gaining approval from the relevant delegate.

UWS Fuel Cards

(101) UWS owned vehicles are issued with fuel cards which must be used to purchase fuel and oil.

Corporate Credit Card

(102) Corporate credit cards must be used where possible to purchase goods and/or services up to the $5k threshold. This includes any online purchases. The exception to this is the purchase of fuel and oil for UWS owned vehicles and IT software and hardware.

(103) Corporate Credit Card purchases are subject to the principles outlined in this policy, such as value for money, probity, equity and transparency.

(104) Corporate credit card purchases must be accounted for in accordance with the Corporate Credit Card Policy.

Purchase Requisitions and Orders

(105) Goods and/or services over $5K must not be purchased without first raising a Purchase and Service Requisition. When a UWS purchaser has approval for purchase they should complete a Purchase and Service Requisition, send it to the Finance Office who will raise a Purchase Order that is sent to the supplier. Only upon receipt of the Purchase Order should the supplier provide the goods and/or services, and submit a tax invoice for payment. This information is provided in the quotation pro-forma as part of the University's terms and conditions, so that suppliers understand the process.

(106) Purchases made without a corresponding Purchase Order put the University at risk in terms of financial management. UWS purchasers who purchase without raising a Purchase Order may be in breach of this policy.

(107) The process may vary for construction activities because of the interface between the Archibus and Oracle systems.

Purchase and Service Requisition

(108) A Purchase and Service Requisition must be completed for all purchases over $5K or for smaller value orders when other means are not appropriate.

(109) Purchase and Service Requisitions are controlled documents, individually numbered and linked to the corresponding Purchase Order.

(110) A Purchase and Service Requisition is completed by the purchasing unit and is sent to the relevant delegate for approval and the Associate Director, Procurement (if required). After approval it is submitted to the Finance Office who will use the Purchase and Service Requisition to raise a Purchase Order. The process may vary for construction activities because of the interface between the Archibus and Oracle systems.

Purchase Order

(111) A Purchase Order is the University's official contractual form issued to a supplier to procure goods and/or services. A Purchase Order is raised within the University's financial system (Oracle) and assists in tracking the University's purchasing commitments.

(112) A Purchase Order must be raised for all purchases over $5K or for smaller value orders when other means are not appropriate.

(113) Payment to the supplier will only be made by the Finance Office upon receipt of a tax invoice with the corresponding Purchase Order number, certified by the relevant delegate that the goods and/or services have been received.

Urgent Orders

(114) The issue of Purchase Order Nos. for the purpose of telephoning through to suppliers will only be made in cases of emergency such as equipment breakdown and storm damage repairs. Such circumstances still require the lodgement of an appropriately approved Purchase and Service Requisition with the Finance Office before an Order No. is allocated. Such orders will be endorsed as 'Confirmation Orders'.

Cancellation of a Purchase Order

(115) Previously placed Purchase Orders can only be cancelled by the Finance Office. Requests for cancellation must be made in writing and authorised by the original approving officer. The Finance Officer, Purchasing will confirm cancellation in writing with the supplier.

Variation to Purchase Order

(116) Previously placed Purchase Orders can only be varied by the Finance Office. Requests for variation must be made by submitting a second Purchase and Service Requisition clearly indicating that it represents a variation.

Payments to UWS Suppliers

(117) Payments to UWS suppliers may vary from those outlined in Part N because they may have been negotiated as part of the supply contract/agreement. This may include using an online purchasing mechanism (e.g. Corporate Express, the UWS Travel Portal), or where construction contracts exists through Archibus; or any other arrangement that the University has negotiated with the preferred supplier such as telephone ordering, purchase order or monthly invoice. These arrangements will be made known to UWS purchasers by the relevant responsible unit.

Part N - Post-Purchase Requirements

Receipt of Goods and/or Services

(118) Purchases of $5K or less should be received by the UWS purchaser or the UWS purchaser should authorise another employee to receive the goods and/or services.

(119) Goods and/or services supplied under contract must be delivered and received in accordance with the contract arrangements. Deviation to the contract arrangements should be reported to the UWS purchaser as part of the contract review process. The University may undertake a process of periodic assessment and confirmation of goods/services provided, e.g. this is common in construction activities.

(120) UWS purchasers must ensure that goods and services received meet the University's expectations. These expectations will be outlined in any specifications, or in a contract/agreement as a result of a tender or quotation process.

Assets Management

(121) The Asset Management Policy prescribes that assets of a certain value must be recorded on the central Assets Register managed by the Finance Office, and be tracked by the owning business area. The Assets Management Policy also provides the process for the management of assets and associated procedures and should be referred to for further information.

Review of Procurement

(122) Tender Committees will review all tender processes and will report annually to the Purchase and Tender Board.

(123) Tender Committees may require a cost benefit analysis or other comparative analysis to be undertaken of any tender process.

(124) Where a contract is entered into for the supply of goods and/or services over time, the supply must be reviewed regularly to ensure consistency with contracted arrangements. The responsible unit must conduct such reviews which they must undertake at least every six months for contracts of one year or more, or at the half way point and end point of contracts of less than one year. Reviews can occur more regularly if the supply warrants it.

(125) Reviews must be comprehensive and cover all aspects of a contract, including but not limited to an analysis of the supply of the goods in accordance with the contract, adherence to maintenance schedules, any additional charges incurred as part of the contract.

Part O - GIPAA requirements

(126) The Government Information (Public Access) Act (GIPAA) requires the University to publish the relevant details of all contracts of $150K or more.

(127) Where a procurement activity results in a contract for this amount or more the relevant details of the contract must be entered into the contract details database by the initiating business unit.

Section 5 - Guidelines

(128) Nil.