3. Procurement in Mid and East Antrim Borough Council

3.1 MEA Procurement Approach

Mid and East Antrim Borough Council adopts a hybrid approach to procuring, whereby a central Procurement Unit supports staff within directorates with the procurement process.

However, ultimate responsibility for procurement resides with the Council service area where the expenditure is being incurred.

This includes ensuring that the requisite budget is in place and that the procurement is supported, where required, by a business case or economic appraisal.

Where appropriate, the Council will make use of Government Procurement Frameworks and other relevant frameworks will be explored to support the competitive procurement process.

Collaborative procurement opportunities should also be considered where relevant.

For procurement exercises conducted under the 2023 Act, the Council will act in accordance with applicable legislation and have regard to the importance of the following objectives:

• delivering value for money;
• maximising public benefit;
• sharing information for the purpose of allowing suppliers and others to understand the authority’s procurement policies and decisions; and
• acting, and being seen to act, with integrity.

In accordance with the 2023 Act, conflicts of interest must be assessed throughout the duration of the contract.

3.2 Overview of MEA Procurement Process

3.2.1 - Step 1: Needs Identification and Planning

Effective procurement planning is crucial to ensuring that procurement exercises address Council needs.

Each Department of the Council will maintain a procurement pipeline, setting out planned procurement exercises.

Each Department must ensure that the Procurement Unit receives appropriate, timely notification of the need for a procurement exercise, to ensure appropriate steps are taken to manage the procurement process.

Early planning is particularly important where the expected contract value is close to or above the UK procurement thresholds and the Council tender level set out at Appendix 1.

Procurement planning may require market research and, in the case of procurement above UK Procurement Act, pre-market engagement is encouraged, in particular where the procurement is potentially more complex.

Appendix 1, Table 1 sets out the applicable UK procurement thresholds. The Procurement Unit can advise spending departments on this process.

An approved business case is required for expenditure of £50,000 and over (excluding VAT) or, for expenditure of £500,000 and over (excluding VAT), an approved economic appraisal is required.

These processes provide an opportunity for options to be fully considered. An approved budget must be confirmed.

The Procurement process cannot proceed until these approvals are in place.

A procurement plan for the exercise will be developed and agreed between the spending Department and the Procurement Unit.

This will include consideration of the procurement approach, risks, and issues.

3.2.2 - Step 2 - Request Quotation and Tender

The spending Department will complete a specification.

A specification is a set of documented requirements which, in the sense of a procurement project, will be issued to the supply market to ensure that the end product, services or works are fit for purpose, and offer the required quality at the most reasonable cost.

The purchasing department will be responsible for specifying their requirements.

The Procurement Unit will advise officers on the form of a specification and evaluation criteria.

Taking account of regulatory requirements and policy context, the Council has developed and maintains tables summarising the thresholds that apply to Council procurement.

These tables can be found at Appendix 1.

Table 2 sets out the thresholds for tenders and quotations including the number of quotes that should be sought.

It is important to note that the thresholds applied must reflect the full economic cost over the duration of a contract and that care needs to be taken to consider whether VAT is / is not applicable to the expected contract amount.

The Procurement Unit are responsible for the advertisement/issue and the collection / collation of the tender/quotation (above £5k) bids.

The Procurement Unit are responsible for recording the bids received.

Tenders are received via the e-sourcing NI portal, they are time and date stamped.

Quotations above £5k are received by email, to procurement@midandeastantrim.gov.uk.

Quotations below £5k will be sought by designated officers in the spending department who must ensure email responses are retained for evaluation and audit purposes.

The onus is on the potential supplier to ensure that their fully completed submissions are received by Mid and East Antrim Borough Council by the time and date specified.

Late submissions will not be accepted.

3.2.3 - Step 3 - Evaluation and Award

All quotations / tenders will be evaluated according to the evaluation criteria set out in the tender documents.

Evaluation will generally include pre-qualification criteria and assessment criteria (usually cost and quality) but also, for example, timescales and other relevant factors.

The Council will exercise due diligence in assessing bidder's ethical practices where appropriate and will request standard compliance information with each procurement exercise where this is required.

The Council has established governance arrangements, including a Scheme of Delegation, that determines who / what body may approve the award of contracts, including Direct Award Contracts.

This is set out at Appendix 1, Table 3.

Direct Award Contracts (DACs)

DACs are contracts where a contract is awarded to a supplier without competition.

There are limited circumstances where DACs may be permitted.

These are laid out in Schedule 5 Direct award justifications in the Procurement Act 2023.

Examples include:

• where works, supplies or services can only be supplied by a particular supplier,
• matters of extreme urgency,
• exclusive rights / intellectual property ownership.

Before proposed DACs are submitted to SMT for approval, they must be reviewed by the Procurement Unit, then approved by the Senior Management Team (SMT).

They must be approved in line with the Scheme of Delegation at Appendix 1, Table 3.

Procurements that meet the UK Public Tender threshold are subject to a standstill period.

This period requires at least 8 working days to elapse between the announcement of the contract award decision and the date of contract award.

Subject to not receiving any notice during the standstill period of any intention to legally challenge the award process, Council will proceed to award the contract to the preferred bidder.

As part of the Procurement process feedback will be made available to all bidders.

This will be formed from the panels moderated comments.

Officers will be required to provide further feedback upon request from the Procurement Unit.

Emergency Procurement

Under the Procurement Act 2023, a contract may be directly awarded without a competitive tender process if it is strictly necessary for reasons of extreme and unavoidable urgency.

In circumstances as outlined above, a direct award contract would be the appropriate action.

It will remain a requirement for the DACs to be approved in line with the scheme of delegation.

3.2.4 - Step 4 – Contract Management and Closure

The sealing of a local government document is governed by Section 120 of the Local Government Act (Northern Ireland) 1972, which refers to the requirement for the official seal of the council to be affixed to certain documents, including contracts of £30,000 or more.

The Common Seal of the Council is kept secure in the custody of the Clerk and Chief Executive.

The Common Seal of the Council shall not be affixed to any documents unless the sealing has been authorised by a resolution of Council or of a Committee of Council having lawful powers or to which Council has delegated its powers in this behalf, authorising the acceptance of any tender, purchase, sale, letting or taking of any property the issue of any stock, the presentation of any petition, memorial, or address, the making of any rate or contract, or the doing of any other thing, shall be a sufficient authority for the sealing of any document necessary to give effect to the Resolution.

The seal shall be attested by the following persons at the sealing, namely, the Mayor or Chair of the Council (or other Member of the Council) and the Clerk and Chief Executive (or in their absence, another senior Official duly authorised). An entry of the sealing of every deed and other document to which the Corporate Seal shall have been affixed shall be made in the Minutes of the Meeting of the Council at which the affixing of the Seal took place.

Once contracts have been awarded, Contract Managers are responsible for ensuring that the appropriate agreements are sealed and that sealed copies are returned to the Procurement Unit for reference and retention.

Contracts will be entered on the Council’s contract register and input to the Tech One system by the Procurement Unit.

The Procurement Unit will allocate Contract Managers who will have access to all associated information via Tech One.

Contract Managers must ensure that any Purchase Order raised is aligned with the correct reference and contract information.

Any increases in value of works during the lifetime of contracts will be considered by Council but this would have to be in line with inflation, and related to Recommended Retail Price (RPI), National Living wage and minimum wage changes.

Successful contract management is an extension of the tendering/contract award phase and should be planned for from the start of the procurement process.

Each contract will have a nominated contract manager, responsible for overseeing its administration and management, including monitoring expenditure and delivery.

The role encompasses a wide range of activities, from core administrative tasks—such as raising requisitions, inspecting goods on receipt, and subsequently receipting goods and services on the system to authorise payment—to more developmental and strategic responsibilities.

These include supplier relationship management, supplier development, and market management, as well as ensuring the delivery of social clauses.

Supplier relationship management focuses on building and maintaining effective partnerships with suppliers to secure quality, reliability, and value.

Supplier development involves supporting and enhancing supplier performance, capability, and innovation to meet organisational needs.

Market management refers to monitoring and influencing the wider supply environment, identifying opportunities, managing risks, and ensuring competitive and sustainable sourcing.

Contract managers are responsible for the management of any social value delivery plan, whether via an external consultant or personal responsibility.

Contract Managers will be responsible for ensuring that expenditure remains within the approved budget, business case, and governance approval levels.

If spend is projected to exceed approved budget and / or business case limits, then the contract arrangements should be reassessed as soon as possible and action taken to address the issue.

Continued contract spend once the contract and business case / economic appraisal limits have been reached is not permissible.

Contract managers should maintain written correspondence with bidders in line with KPI’s and contract performance.

Contract Managers should refer to the Council’s terms and conditions and consult with the Procurement Unit / Legal Services if termination is to be considered.

3.3 Roles and Responsibilities

3.3.1 Members

The Northern Ireland Local Government Code Of Conduct For Councillors sets out the principles and rules of conduct for Elected Members.

The Code of Conduct outlines expectations for councillors in several key areas:

• Principles: Fundamental ethical standards for public service, such as acting with integrity and in the public interest.
• Rules of Conduct: Practical guidelines for applying these principles, including:
  • Declaration of Interests: Councillors must declare any personal interests that could affect their decisions.
  • Use of Council Resources: How councillors should responsibly use council resources.
  • Behaviour: How councillors must treat others with respect and avoid unfairness.
  • Planning Element: Specific guidance for councillors regarding planning matters.
• In relation to procurement, it is particularly important that Councillors observe the Code’s requirements for the disclosure and declaration of any potential conflicts of interest and receipt of gifts and hospitality and the Council’s financial threshold for declaring levels of gifts and hospitality received as set out in the Council’s Gifts and Hospitality Policy.
• In relation to contracts coming under UK Procurement thresholds (see Appendix 1, Table 1), the Council is required to maintain an assessment of conflicts of interest throughout the duration of the contract, so the provisions of the Code apply beyond initial contract award.
• Receipt and review of procurement reports to Committee on contract awards, DACs, and related procurement issues, including approval in accordance with the Council’s Scheme of Delegation.

3.3.2 Officers

• All employees are expected to follow this Policy and the related procurement procedures and guidance and take the appropriate action to meet the aims and objectives.
• The Senior Management Team must familiarise themselves with and should, bar in exceptional circumstances, which must be documented, observe this policy and associated governance arrangements and ensure that it is understood and observed by Departmental staff.
• The Senior Management Team must ensure that procurement pipelines are created and maintained for their Department and regularly discussed with the Procurement Unit.
• All officers should have regard to the Code of Conduct for Local Government Employees and related Council policy on gifts and hospitality and conflicts of interest.
• Officers should ensure that they have attended procurement training before becoming involved in procurement evaluation exercises.
• Departments are responsible for allocating a contract manager for each contract.
  This person will be responsible for monitoring contract spend, including ensuring it remains in budget and within the approved business case (where applicable) and governance approval levels.
  They will also monitor delivery and outcomes (including social value outcomes, where applicable) and ensure that re-tender exercises are properly planned, and included in the procurement pipeline.
  If a Contract Manager leaves their post or is absent due to illness, the relevant Director must promptly allocate a suitable replacement to ensure continuity of contract management.
• Where external funding is involved, the service area can lead on any necessary procurement in order to ensure adherence to the funders’ requirements and the eligibility of and safeguarding of the awarded funds.

• The Procurement Unit shall, without diminishing the responsibility of the officers requesting the procurement exercise to deliver an appropriate specification etc., be responsible for the control and delivery of all procurement with an anticipated value over £50,000 (excluding VAT).
• The Procurement Unit shall also provide assistance to services in quotation exercises.
• The Procurement Unit will provide training and support to spending departments / officers on the application of this policy and related procedures.
• Members of the Procurement Unit are also expected to observe and comply with codes of conduct set out by the Charted Institute of Procurement and Supply.
• Preparation of reports to SMT, Committees and Council on procurement activity, including contract awards and DACs.
• Responding to requests for procurement / contract information made under the Freedom of Information Act (FoIA).

3.4 Related Policies

A non-exhaustive list of current policies that should also be reviewed in conjunction with this Policy is provided below:

• Code of Conduct for Local Government employees
• The Northern Ireland Local Government Code of Conduct for Councillors
• Fraud & Bribery Policy
• Fraud Response Plan
• Gifts and Hospitality Policy
• Freedom of Information Policy
• Retention and Disposal Policy
• Risk Management Policy
• Modern Slavery Policy Statement
• Access to Information Policy
• Data Protection Policy
• Conflicts of Interest Policy (UNDER DEVELOPMENT)
• Scheme of Delegation
• Complaints Policy and Procedure

3.5 Complaints

The Council is committed to the provision of high-quality services. Our Complaints Handling Procedure reflects the Council’s commitment to valuing complaints.