PCT Procurement Handbook

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PCT Procurement Handbook Step by step guide of
Interactive Procurement Plan
www.dentalaccess.nhs.uk
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PCT Procurement Handbook

• Contents

• 0. Introduction
• Build a Procurement Team
• Define PCT Essential Data
• Affordability Exercise
• Local Consultation
• Develop Procurement Plan
• Advert Issue
• Memorandum of Information
• Bidder Information Event
• Pre-Qualifying Questionnaire (PQQ)
• Evaluation of PQQ
• Invitation To Tender (ITT)
• Dentistry Contract (ITT Volume 3, the Contract)
• Evaluation of ITT
• Contract Award
• Mobilisation/Transition
• Full Service Commencement

Disclaimer The procurement documentation and best
practice guidance contained in the PCT
Procurement Framework for dentistry have been
produced by the Dental Access Programmes
Commercial Team, part of the Department of Health
(DH). The PCT Procurement Framework is intended
to assist PCTs participating in the Dental Access
Programme to deliver fair, open and transparent
local procurements PCTs should note that the
procurement documents have been produced as
template documents only and will require input by
the PCT to make the documents appropriate to
their particular local requirements. The DH
accepts no liability for the accuracy of the
contents of the procurement documents nor their
suitability in meeting the specific requirements
of a PCT. PCTs are advised to seek their own
legal advice when using the documentation and
guidance contained in the PCT Procurement
Framework. Best practice guidance contained
within the PCT Procurement Framework, should not
be taken in any way as constituting, or as a
substitute for, legal advice.
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PCT Procurement Handbook

• Introduction

• The PCT Procurement Handbook (PCT PH) should be
  used in conjunction with the other elements of
  the PCT Procurement Framework for dentistry,
  including the Interactive Procurement Plan and
  the Template Procurement and Guidance
  Documentation.
• The PCT PH should be viewed as guidance only and
  is not intended for use without PCT adaptation.
• Although the DH has considered the impact of
  local procurements on equality issues, each PCT
  will need to consider this in more detail at the
  time of each procurement.
• The PCT PH is designed for use as a reference
  document and provides a skeleton for the PCT to
  build its own local comprehensive procurement
  handbook for use in each procurement. This PH is
  further supported by the Template Procurement
  Plan.
• Each Step in the PCT PH has four elements
• Objective describes the overall objective of
  the step
• Task to complete provides a checklist of tasks
  to complete at each step
• Resource Guide provides guidance on the type
  of expertise required, the Template Procurement
  or Guidance Documentation required (completed
  Templates in italics) and the estimated time
  required to complete the tasks
• Outcome describes the expected outcome at each
  step
• Although each step is presented sequentially it
  is possible for steps to run in parallel.

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PCT Procurement Handbook

• Build a Procurement Team (Step 1)

Objectives To define the project scope To
assemble a Project Team with dedicated resources

• Tasks to complete
• Define resource requirements (e.g. type,
  activity, duration) for project
• Define roles and responsibilities for Project
  Team
• Assess in-house resource capacity and capability
• Buy, share or build resource capacity and
  capability
• Use external support if required using External
  Consultancy Guidance
• Nominate Project Lead (Board Level) and Project
  Manager
• Nominate Project Team members
• Produce organisational chart with lines of
  accountability
• Define internal and external governance
  requirements
• Estimate cost of the procurement team in
  Affordability Model

• Resources Guide
• Expertise
• Project Management
• Documents
• Interactive Procurement Plan
• Template Procurement Plan
• External Consultancy Guidance
• Conflicts of Interest Guidance
• Time
• 10 Man Days (MD)

Outcome Dedicated Project Team in place to
deliver procurement within required timeframe
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PCT Procurement Handbook

• Define PCT Essential Data (Step 2)

Objective To define the PCT Essential Data

• Resource Guide
• Expertise
• Clinical
• Commercial
• Workforce/IMT/Estates
• Communications
• Project Management
• Documents
• PCT Essential Data Sheet Template
• Affordability Model
• Time
• 20 MD

• Tasks to complete
• Identify local needs
• Use PCT Essential Data Sheet Template to provide
  framework for developing PCT Essential Data
• Develop outline clinical requirements using
  local clinical input
• Develop project proposals across various
  workstreams
• Populate PCT Essential Data Sheet Template with
  details of dental services currently being
  delivered
• Populate PCT Essential Data Sheet Template with
  details of service needs from this procurement
• Gain approval for completed PCT Essential Data
  Sheet Template in accordance with governance
  arrangements
• Use completed PCT Essential Data Sheet Template
  to inform the local consultation process

Outcomes Completed PCT Essential Data Sheet
Template to inform local consultation process,
affordability model and to feed into Scheme
details published in MOI
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PCT Procurement Handbook

• Affordability Exercise (Step 3)

Objective To define an affordability ceiling and
inform SHA for information

• Resource Guide
• Expertise
• Commercial
• Financial
• Clinical
• Workforce
• Documents
• Affordability model
• Completed PCT Essential Data Sheet template
• Time
• 10 MD

• Tasks to complete
• Confirm service requirements from the completed
  PCT Essential Data Sheet Template
• Confirm corresponding staffing component
• Establish non-staffing costs
• Confirm risk premium to be included
• PCT Board sign off on Affordability model
• Inform SHA for information

Outcome Completed Affordability Model
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PCT Procurement Handbook

• Local Consultation (Step 4)

Objectives To consult with key local stakeholders
on proposed project scope To allow PCT to
discharge its statutory obligations Section 242
of the National Health Service Act 2006

• Resource Guide
• Expertise
• Legal
• Clinical
• Commercial
• Documents
• Consultation Guidance
• Consultation Plan Template
• Time
• 10 MD (does not include time for consultation
  process)

• Tasks to complete
• Assess the need for formal consultation
  determined by
• Need for change
• Plan for Change
• Process for change
• Contractual mechanism
• Impact on local health economy
• Construct formal consultation plan using
  Consultation Plan Template
• Identify appropriate key stakeholders
• Consult with local OSC regarding substantial
  development or substantial variation of health
  service (Section 244) after review of
  Consultation Guidance
• Consult patient and public (Section 242) e.g.
  users, patient groups, voluntary bodies after
  review of Consultation Guidance
• Review consultation outcomes to update PCT
  Essential Data Sheet Template and Affordability
  Model

Outcome Completed local consultation process to
inform final project specifications that will
inform ITT
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PCT Procurement Handbook

• Develop Procurement Plan (Step 5)

Objective To set a procurement methodology and
develop an interactive tool for project management

• Resource Guide
• Expertise
• Commercial
• Legal
• Clinical
• Communications
• Documents
• OJEU Guidance
• Interactive Procurement Plan
• PCT Procurement Plan Template
• Time
• 10 MD

• Tasks to complete
• Review OJEU Guidance and set out process in
  accordance with procurement law
• Review completed PCT Essential Data Sheet
  Template to identify legally applicable
  procurement process
• Review PCT Procurement Plan Template and IPP to
  determine process to be followed (and
  acceptability of standard process)
• Set procurement methodology and integrate with
  Interactive Procurement Plan
• Define the body responsible (SHA, PCT or Bidder)
  for each step in the Interactive Procurement Plan
• Map timeframe for local consultation process
  onto Interactive Procurement Plan using completed
  Consultation Plan Template
• Set the communication plan for the procurement
  using Communications Guidance
• Set up dedicated communication routes (e.g.
  project website, email)
• Define the high-level evaluation strategy for
  the procurement

Outcomes Defined Procurement Plan (narrative) and
Interactive Procurement Plan (interactive
planning tool) for use by internal stakeholder
providing a strategic understanding of how the
procurement will be delivered, the key component
parts and a project management tool
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PCT Procurement Handbook

• Advert Issue (Step 6)

Objective To make all suitable bidders aware of
the procurement by directing them to the
Memorandum of Information

• Resource Guide
• Expertise
• Communications
• Legal
• Project Management
• Documents
• Advert Template
• Advert guidance (lead times and contacts for
  national journals)
• Time
• 2 MD

• Tasks to complete
• Draft advert detailing overview of the project
• Determine the target bidder market
• Select a range of appropriate national and local
  media and explore options for uploading advert
  onto PCT website
• Determine target week for advert publication
• Source publishing details, including lead times
  and costs for chosen media
• Identify clear next steps and refer to MOI on
  PCT website
• Publish Advert after completion of Advert
  Template

Outcome Receive interest from bidders which the
PCT is seeking to attract
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PCT Procurement Handbook

• Memorandum of Information (Step 7)

Objective To provide potential bidders with
sufficient information to enable them to make an
informed decision to proceed in the procurement
process

• Resource Guide
• Expertise
• Project Management
• Clinical
• Commercial
• Workforce/IMT/Estates
• Legal
• Documents
• MOI Template
• Commercial Options Guidance
• Bidder Information Event Guidance
• Expression of Interest Log Template
• Completed PCT Essential Data Sheet Template
• Time
• 10 MD

• Tasks to complete
• Complete Memorandum of Information (MOI)
  Template based on completed PCT Essential Data
  Sheet Template
• Complete MOI Template with selected commercial
  options from Commercial Options Guidance
• Complete MOI Template with details of
  procurement process with key dates from
  Interactive Procurement Plan
• Complete MOI Template with details of Bidder
  Information Event if required
• Publish completed MOI Template on PCT website
• Receive and log bidder expressions of interest
  on Expression of Interest Log Template

Outcome Completed Expressions of Interest Log and
well informed bidder market
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PCT Procurement Handbook

• Bidder Information Event (Step 8)

Objective To provide potential bidders with
information on the background, PCT requirements
and the procurement process to increase potential
for high quality responses to the PQQ

• Tasks to complete
• Appoint Event Co-ordinator
• Determine format and key messages for the Event
  based on Bidder Information Event Guidance
• Agree venue and date for the Event
• Invite all bidders that have submitted an EOI
• Prepare presentations
• Hold Bidder Information Event and a Bidder
  Surgery
• Log and circulate all questions and answers from
  the event to all bidders

• Resource Guide
• Expertise
• Communications
• Clinical
• Commercial
• Documents
• Bidder Information Event Guidance
• Time
• 20 MD

Outcomes Encourage suitable bidders to proceed in
the procurement and submit high quality
Pre-Qualifying Questionnaire (PQQ) responses
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PCT Procurement Handbook

• Pre-Qualifying Questionnaire (Step 9)

Objective To compile PQQ in order to evaluate
all interested parties capability, capacity and
eligibility to deliver the required services

• Resource Guide
• Expertise
• Project Management
• Clinical
• Commercial
• Financial
• Legal
• Workforce/IMT/Estates
• Documents
• PQQ Template
• Commercial Options Guidance
• PQQ Evaluation Plan Template
• PQQ CQ Log Template
• Completed PCT Essential Data Sheet Template
• Time
• 20 MD

• Tasks to complete
• Develop appropriate clinical, workforce,
  estates, IMT, legal, commercial and financial
  requirements based on completed PCT Essential
  Data Sheet Template
• Complete Pre-Qualifying Questionnaire (PQQ)
  Template with appropriate requirements
• Develop associated PQQ Evaluation Plan with
  short-listing methodology using PQQ Evaluation
  Plan Template compile appropriate evaluation
  team for responses
• Issue completed PQQ to all bidders that
  expressed an interest by way of email
• Log and respond to any bidder clarification
  questions using PQQ CQ Log template

Outcomes Finalised PQQ sent to interested
bidders Completed PQQ Evaluation Plan
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PCT Procurement Handbook

• Evaluation of PQQ (Step 10)

• Resource Guide
• Expertise
• Project Management
• Clinical
• Commercial
• Financial
• Legal
• Workforce/IMT/Estates
• Documents
• Clarification Question Template
• PQQ Evaluation Report Template
• PQQ Successful Bidder Notification Letter
  Template
• PQQ Unsuccessful Bidder Notification Letter
  Template
• Completed PQQ Evaluation Plan Template
• Time
• 70 MD

Objective To shortlist eligible and capable
bidders with the capacity to proceed to the
Invitation to Tender (ITT) stage

• Tasks to complete
• Log receipt of PQQ responses and record bidder
  contact details
• Ensure strict control and distribution of PQQ
  bidder responses to each workstream evaluator
• Conduct PQQ evaluation based on completed PQQ
  Evaluation Plan Template
• Manage Evaluator clarification questions and
  bidder responses using Clarification Question
  Template
• Consolidate workstream evaluation results for
  each bidder using PQQ Evaluation Report Template
• Select pre-qualified bidders to proceed to ITT
  stage in accordance with completed PQQ Evaluation
  Plan Template
• Notify successful and unsuccessful bidders of
  outcome using PQQ Successful and Unsuccessful
  Bidder Notification Letter Templates offering
  de-briefs for unsuccessful Bidders

Outcome Shortlist of bidders to proceed to ITT
stage
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PCT Procurement Handbook

• Invitation To Tender (Step 11)

• Resource Guide
• Expertise
• Project Management
• Clinical
• Commercial
• Financial
• Legal
• Workforce/IMT/Estates
• Documents
• ITT Volume 1 2 Templates
• ITT Volume 3 (the Contract) Template
• ITT Evaluation Plan Template
• ITT Mid-Tender Meeting Guidance
• CQ Log template
• Completed PQQ Evaluation Report Template
• Time
• 50 MD

Objective To compile ITT

• Tasks to complete
• Develop appropriate local, clinical, workforce,
  estates, IMT, legal, commercial and financial
  specifications and requirements
• Complete Invitation To Tender (ITT) Volumes 1
  (Process Overview and Guidance to Bidders) and
  ITT Volume 2 (Requirements and Bidder Responses)
  Templates with detailed project specifications
  and bidder requirements
• Complete ITT Volume 3 (Contract) Template (see
  Step 12)
• Develop associated ITT Evaluation Plan with
  short-listing methodology using ITT Evaluation
  Plan Template
• Issue ITT to short-listed bidders from
  Evaluation of PQQ (Step 10) using completed PQQ
  Evaluation Report Template
• Hold meeting with bidders after issue of ITT to
  clarify detail on ITT specifications and
  requirements using ITT Mid-Tender Meeting
  Guidance
• Log and respond to any bidder clarification
  questions using CQ Log template

Outcomes Finalised ITT sent to short-listed
bidders Completed ITT Evaluation Plan
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PCT Procurement Handbook

• Dentistry Contract (ITT Volume 3, the Contract)
  (Step 12)

Objective To set out the contractual terms for
the procurement

• Tasks to complete
• Reflect the requirements of the completed ITT
  Volume 2 in the Contract Template
• Review and complete the Front End of the
  Contract Template
• Complete all Schedules in the Contract Template
  with particular reference to
• Schedule 2 (Service Requirements)
• Schedule 3 (Payment Mechanism)
• Schedule 4 and 18 (Workforce and Training
  Specifications)
• Schedule 7 (Performance Management and Key
  Performance Indicator Specifications)

• Resource Guide
• Expertise
• Legal
• Commercial
• Clinical
• Financial
• Workforce/IMT/Estates
• Documents
• Contract Template
• Completed ITT Volumes 1 2 Templates
• Time
• 40 MD

Outcome Issue ITT Volume 3 (Contract) with ITT
Volumes 1 2 to bidders (see Step 11)
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PCT Procurement Handbook

• Evaluation of ITT (Step 13)

Objective To enable selection of a Bidder who
meets all the necessary required and can be taken
forward to proceed to Contract Award

• Resource Guide
• Expertise
• Project Management
• Clinical
• Commercial
• Financial
• Workforce/IMT/Estates
• Legal
• Documents
• Clarification Question Template
• ITT Evaluation Report Template
• ITT Successful Bidder Notification Letter
  Template
• ITT Unsuccessful Bidder Notification Letter
  Template
• Completed ITT Evaluation Plan Template
• Time
• 60 MD

• Tasks to complete
• Log receipt of ITT responses
• Ensure strict control and distribution of ITT
  bidder responses to each workstream evaluators
• Conduct ITT evaluations based on completed ITT
  Evaluation Plan Template
• Manage Evaluator clarification questions and
  bidder responses using Clarification Question
  Template
• Consolidate workstream evaluation results for
  each bidder using ITT Evaluation Report Template
• Select preferred bidder in accordance with
  completed ITT Evaluation Plan Template
• Obtain PCT Board approval for recommended bidder
• Notify successful and unsuccessful bidders of
  outcome using ITT Successful and Unsuccessful
  Bidder Notification Letter Templates offering
  debriefs to unsuccessful Bidders

Outcome Preferred Bidder selected who can be
taken forward to Contract Award stage
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PCT Procurement Handbook

• Contract Award (Step 14)

Objective To offer the Contract to preferred
bidder and to achieve Contract signature

• Resource Guide
• Expertise
• Commercial
• Financial
• Legal
• Documents
• Offer Letter Template
• Completed Contract Template
• Contract Award checklist
• Time
• 20 MD

• Tasks to complete
• Complete Offer Letter Template
• Send completed Offer Letter Template to
  preferred Bidder
• If Offer Letter accepted proceed to contract
  award of completed Contract Template
• If Offer Letter rejected send Offer Letter to
  reserve bidder
• Finalise details of Contract before signature
  (e.g. property leases, insurances, specific
  details for the Contract for ITT Volume 2
  responses)

Outcome Signed contract
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PCT Procurement Handbook

• Mobilisation/Transition (Step 15)

Objective To ensure the path from Contract Award
to Service Commencement is clearly defined

• Resource Guide
• Expertise
• Project Management
• Commercial
• Legal
• Clinical
• Workforce/IMT/Estates
• Documents
• Completed Dentistry Contract Template (Schedule
  14)
• Statement of Readiness Toolkit
• Time
• Variable

• Tasks to complete
• Ensure Provider follows completed Contract
  Template Schedule 14 (Operational Management
  Plan) which includes the Providers
  Mobilisation/Transition Plan (MTP)
• Monitor MTP for timely completion of MTP tasks
  utilising the Template Statement of Readiness
  Toolkit
• Satisfaction of Conditions Precedent

Outcome Full Service Commencement on target date
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PCT Procurement Handbook

• Full Service Commencement (Step 16)

Objective To formally start the contract period

• Resource Guide
• Expertise
• Project Management
• Commercial
• Financial
• Clinical
• Documents
• Completed Contract Template (Schedule 7)
• Statement of Readiness Toolkit
• Time
• 30 MD per year

• Tasks to complete
• Commence Contract Monitoring in particular
• Performance reporting requirements met
• Evaluate provider performance on monthly /
  quarterly basis
• Annual financial reconciliation
• Undertake quarterly joint service reviews
• Build positive relationship with Provider

Outcome Commence full service delivery to
patients in accordance with the contract
requirements