2 Construction Procurement Guidance Issued by the Treasury Procurement Group
(Procurement Guidance Series)
No 1: Essential Requirements for Construction Procurement provides
a framework for investment decision makers, project owners and project sponsors
and gives best practice advice on procurement at a strategic level.
No 2: Value for Money in Construction Procurement (supersedes CUP
guidance Nos. 33 & 41) explains the concepts of accountability,
value for money, lowest price and judgement and describes a framework of
activities essential for achieving value for money.
No 3: Appointment of Consultants and Contractors (supersedes CUP guidance
Nos. 13 & 26 a&b) provides advice on the appointment of consultants and
contractors for works projects.
ANNEX 4 - INTELLECTUAL
PROPERTY TERMINOLOGY
This Annex contains definitions for intellectual property rights terminology
as used in Procurement Manual section D.3 -
INTELLECTUAL PROPERTY RIGHTS, OWNERSHIP OF RESULTS AND CONFIDENTIALITY.
In particular it covers items discussed in sub-section
D.3.2 - General.
Contents
Patents
Copyright
Registered Designs
Design Rights
Semiconductor Topographies
Rights in Performances
Trade Marks
Confidential Information
Patents
Patents relate to the protection of ideas. A patent must be applied for and,
if granted, may last for 20 years (subject to renewal every four years); it is
granted to an inventor or his/her employer for a product or process which must
be new, inventive and capable of industrial application, for example a
machine part or manufacturing process. A patent gives the patentee (holder of
the patent) the right to prevent anyone else from making, using, selling or
importing any goods or processes which include the patented invention. A
patentee may grant licences to make, use or sell goods or processes including
the patented invention. The ownership of a patent may also be transferred in
which case the new owner acquires the full rights as above. Licensees usually
agree to pay a royalty or royalties for the commercial use of the patented
invention.
Copyright
Copyright relates to the protection of works. It exists automatically when
the work to which it relates is created, usually without any requirement for
registration, in any literary, musical, dramatic or artistic work (including
compilations, databases, machine drawings and computer programs) created by
their "author". The owner of the copyright, who is in the first
instance normally the author, (except where the author of a work is an employee
who creates the work in the course of his employment - then the employer is the
first owner) has the right to prevent anyone else from copying the work but
cannot prevent anyone from creating a similar or identical work without copying.
"Copying" includes photocopying and other forms of reproduction,
whether in hard copy or electronic form. It is normal practice to include a
copyright notice. The ownership of copyright can be transferred and licences can
be granted to use or copy copyright materials (e.g. program licences). Copyright
generally expires 70 years after the death of the author but duration can differ
depending upon the nature of the work (e.g. sound recordings) and whether the
author is known or where the work is Crown or Parliamentary copyright.
Registered Designs
Registered designs aim to protect the appearance of articles made to the
design and where those designs have a novel aesthetic element (e.g. the
appearance of a piece of equipment), which is not dictated by the function of
the article. Registration must be applied for and it provides protection for up to 25
years (renewable every five years). The holder of the registration has the right
to prevent anyone else from making, using or selling any goods which include the
registered design, and he may grant licences to make, use or sell goods
including the registered design. The ownership of a registration may also be
transferred giving the new owner the full rights as above.
Royalties are also usually payable by licensees.
Design Rights
Design rights are rights similar to copyrights in that they arise
automatically without any requirement for registration and are similar to (but not
the same as) registered designs, in that they protect the design of an article
provided that it is not a feature which enables the article to fit with or match
with or form an integral part of another article. The design must be recorded in
a design document and must be original. The protection lasts for (a) 15 years
from the end of the year in which the design was first recorded or an article
was made to the design, which ever happened first, or (b) if articles made to
the design are sold or hired out within five years of the end of the year in
(a), then at the end of 10 years from the end of the year in which the first
sale or hire took place.
Semiconductor Topographies
The Semiconductor Regulations are grafted onto the design right provisions
and protect the design of the layout or pattern of the material layout of a
semiconductor product. The protection lasts for the same periods of time as
design rights subject to the same conditions.
Rights in Performances
Performers have rights in their performances. They can prevent their live
performances from being recorded or broadcast or included in a cable programme
service. They have rights in respect of copies of recordings made without their
consent.
Trade Marks
Trade marks are visual symbols, such as brand names or logos, used to
distinguish the goods or services to which they relate from those of other businesses. Marks must be distinctive and
unlikely to give
rise to deception or confusion amongst the general public. They can be
registered or unregistered. Protection of a registered trade mark is maintained
provided that the mark is in use and the registration is renewed by payment of
renewal fees in the case of some old marks, after 7 years, and in the case of
newly registered marks, every 10 years. The holder of the registration has the
right to prevent anyone else from using the registered trade mark in association
with their goods but can license the use of the trade mark. The ownership of
a registered trade mark can also be transferred. Ownership of rights in an
unregistered mark may also be transferred but this usually only occurs with a
transfer of business goodwill. Rights in the unregistered trade mark are
protected by way of an action for passing-off. This requires a person to show
that another person is using the mark in relation to similar goods or services
so as to pass off his goods or services as those of the owner of the
unregistered mark. It is sometimes necessary to indicate that a trade mark is
registered whenever it is used.
Confidential Information
Confidentiality allows valuable information to be protected from unauthorised
disclosure or use. Any person can classify certain types of information as confidential. The information must not have become publicly
available before it is classified. Confidential information can be disclosed to
another person under a confidential relationship, which is either established by
a written agreement or created verbally or by circumstances. If a person
knowingly receives confidential information from another he must not disclose
that information to any third person nor use it without the consent of the
provider of the information, except as allowed for under the terms of the
confidential relationship established. The original possessor of confidential
information has the right to take action against misuse of the confidential
information.
ANNEX 5 - GUIDANCE NOTES ON THE USE OF DTI PROCUREMENT
FORMS
Contents
Background
PF30 - Invitation to Tender/Quotation Request
Mentor Form AP1a - DTI Supplier Information
Form
Mentor Form AP1 - DTI Payee/Supplier Maintenance
Form
PF31 - DTI Standard Terms and Conditions of Contract
for Services & PF32 - DTI Standard Terms and Conditions
of Contract for Supplies
PF50 - Summary of Tender Opening
Mentor PO1 - DTI Purchase
Requisition Form
Mentor PO3 - DTI Amend Purchase Requisition
Form
Purchase Order - Contract Offer
Letter
Background
The aim of these notes is to provide guidance on the use of the various procurement
forms and documents currently in use. The terms "forms" and
"documents" (including letters) are used in a general sense and cover all of the
various document formats used for procurement purposes – both internally and
those issued to suppliers. This paperwork should take the place of any local
desk instructions issued by any Units.
Over the last few years, with the
increasing use of I.T. and the introduction of ORACLE Financials many of the
previous forms – some of which were printed, are no longer in use. In fact,
at this point in time, there are no longer any printed forms or documents –
all are accessed electronically.
The documents listed are in
chronological order of use. Some of these are MENTOR forms and can be accessed
from the MENTOR DTInet site (this site is
only available to users of the DTINet). Others are PPS produced forms also
accessed via DTInet.
PF30 -
Invitation to Tender/Quotation Request Letter
Purpose
The PF30 - Invitation
to Tender/Quotation Request is a letter that is issued to
all prospective bidders when requesting a bid or tender for required
goods and services. It will of course be preceded by a business
case obtaining authority for the work in the first instance.
The current guidance is that an estimated piece of work less of
than £10,000 can be obtained by requesting informal quotes – using
the above letter. However for work estimated to cost more
than £10,000 the same letter should be used specifying the need
for a formal tender response.
Use
Complete all
information on the front page of the letter in respect of to whom it is
addressed as well as your own details – as originator. There is also space
for a DTI reference number, "DTI Ref", in which a specific competition or file
number may be entered. The heading on the letter reflects the details of the
particular requirement. The letter may also contains attachments some of
which are detailed below. The letter specifically requires the bidder to make
a formal declaration of his offer.
Give each prospective bidder a unique
"ITT No".
Send one duly completed form to each prospective bidder, together with any
specification or relevant Terms and Conditions of Contract, as will be indicated on the front page. Where applicable, enclose any documents, patterns or
samples, which should also be listed in an accompanying schedule and indicated
on the front page.
Retain a copy of the front sheet of this form before sending it to the bidder
and place it on file.
Mentor Form AP1a - DTI Supplier Information Form
Purpose
The
Mentor AP1a -
Supplier Information Form accompanies the PF30 and is sent to each
prospective bidder. It captures information about the supplier at the same
time as bid submission. It requests basic data such as the company name, VAT
number, address and bank details. In addition it captures information in
respect of the predominant gender of the owners as well as ethnicity (if
known). The total number of full time employees is also requested. Much of
this information is required for data analysis purposes.
Use
Once the requested information is
received and, only if the particular bidder is the one chosen for
contract award, is the information transferred to the supplier database via
the on-line AP1 form.
Mentor AP1 - DTI Supplier Maintenance Form
Purpose
The
Mentor AP1 - DTI
Supplier Maintenance Form is used once the supplier has been selected. It
provides AMEY with the information requested on the AP1a form. It is an
on-line form and essentially transfers the supplied data received from the
AP1a form to a supplier database on the Mentor system.
Use
This is a case of entering the MENTOR
forms system and arranging for the information to be input to the AP1 and then
onwardly transmitting to AMEY data maintenance. Before doing so you must check
to ensure that the supplier does not already exist on the system. Even if
they do you must check to see if any details have changed such as bank account
numbers. If so this needs to be recorded on the form When received by AMEY
they will arrange for the new supplier or amended details of an existing
supplier to be added to the supplier database.
PF31-
DTI Standard Terms and Conditions of Contract for Services & PF32 -
DTI Standard Terms and Conditions of Contract for Supplies
Purpose
These are the Department’s standard terms and conditions
and should be used for all DTI contracts. They have been drafted by the
Department’s lawyers and afford maximum protection to the Secretary of State.
PF31 - Standard
T&Cs of Contract for Service relates to the procurement of all services,
including consultancy services.
PF32 - Standard
T&Cs of Contract for Supplies relates to the provision of supplies or goods.
Use
Enclose a copy of the appropriate Terms and
Conditions with the Invitation to Tender/Quotation Request (PF30)
in the case of competitive tendering.
If an order is being placed after receipt of an oral quotation
or if for any reason you have not issued the standard PF30 form,
send a copy with the Purchase Order. Potential bidders can
access both of these forms from the DTI Website.
PF50 -
Summary of Tender Opening
Purpose
The PF50 - Summary of
Tender Opening form is for the Tender Opening Board to formally record the details of
the tendered bids opened.
Use
Once the Tender Opening Board has been
convened and prior to opening the bids, a member of the Tender Board should
enter details of the tender subject, title of work and each bidder's name
and/or ITT number on the form. Once the bids have been opened, the
information contained therein is recorded in the appropriate columns in the
form. The form requires signatures that once completed should be filed for
MATRIX purposes.
Mentor PO1 - DTI Purchase Requisition Form
Purpose
The
Mentor PO1 - DTI
Purchase Requisition Form is used once the supplier with whom the Purchase
Order is to be placed is selected. This form initiates a process in which the
budget holder agrees the proposed contract by authorising the requisition.
This process goes on to produce the physical Purchase Order.
Use
This is another on-line MENTOR form.
Once the details of the goods or services required from the supplier are
finalised, the “contract” information is entered on this form. Enter ALL
information including supplier name, details, the item(s)/services required,
the quantity, the price and other details. Once completed the form is
transmitted electronically to the budget holder (Key Control 1 –KC1) who gives
financial authority to proceed with the purchase.
Mentor PO3 - DTI Amend Purchase Order Requisition
Form
Purpose
The
Mentor PO3 - DTI Amend
Purchase Order Requisition Form is used if you need to amend an existing
Purchase Order for any reason
Use
An on-line MENTOR form that records
the number of the Purchase Order that is to be amended and the details of the
amendment. The form requests the specification of the line number to be
amended or any new lines that are to be added and the relevant details for
each. The process is then the same as that for the PO1 as the form is
transmitted electronically to the KC1 who gives financial authority to
proceed. Finally an amended Purchase Order is produced.
Purchase Order - Contract Offer Letter
Purpose
Following on from production and approval of the Purchase
Order Requisition, the Purchase
Order - Contract Offer Letter is forwarded to the MUFO or the individual who
has the required delegated financial authority to approve production of a
Purchase Order – the Key Control 3 (KC3). This approval allows production of
the purchase order.
Use
The Purchase Order is the final document in this chain. It
is sent to the chosen contractor and represents the acceptance of their offer.
There may be circumstances when it is deemed inappropriate to issue a Purchase
Order and a letter would better suffice. The Contract Offer letter can be used
as a substitute to or in conjunction with the Purchase Order.
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