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NIGP reviewed the Procurement Manual to ensure that it provides the right guidance for those who participate in the procurement process. NIGP also reviewed the Manual to determine whether there are adequate internal controls and safeguards in the procurement program.

The Manual should cover the full range of procurement activities, including:

 Planning;

 Procurement;

 Quality assurance;

 Contract management;

 Dispute resolution;

 Property management and disposal;

 Vendor relations;

 Procurement consulting and training; and

 Procurement data and technology management.

Assessment of the Procurement Manual:

Overall, the manual is deficient in laying out procurement policies, but even weaker in its explanation of procurement procedures. It needs to effectively delineate the differences between policies and procedures.

A number of important procurement activities are missing or inadequately covered. For example, the Manual does not adequately address procedures for processing purchase requests, purchase orders or invoices for payment. Subjects such as notifications to bidders and development of specifications are noticeably absent. Criteria for waiving competition or determining sole source procurement are also not properly addressed.

Another topic that has not been adequately addressed is receiving. Although the receiving of supplies and services may not be performed by the Procurement Department staff, this activity is critical and may have negative implications if performed incorrectly. Under the Uniform Commercial Code (UCC) of the Florida Statutes, the County has no statutory duty to inspect supplies upon arrival. However, failure to inspect supplies at the time of arrival may preclude the right to reject the entire shipment.

Specifications are another key subject not covered in the Manual. The County must ensure that accurate specifications are issued, since this helps to ensure both quality and proper service.

Procurement must work with Business Units to obtain adequate specifications that are simple, clear, exact and capable of being checked so that suppliers cannot evade any of the provisions.

The Manual needs a section that prominently outlines the procurement cycle. The procurement cycle should summarize the entire procurement process, from start to finish. It should be prominently placed and addressed, since it provides a high level outline of the procurement process. Its high visibility should serve as a road map for those using the Manual. The text should be supplemented with a process flow chart that describes each procedure and the department or title of the person responsible for performing each step. Subjects should be organized by their placement in the flow cycle.

Another deficiency is in the Manual’s organization and layout. It does not separate policies from procedures, nor does it make a distinction between the two. It would be helpful to use diagrams and flow charts to show the process flow of important procedures. Each policy needs

to be prefaced with a concise statement or synopsis, including, if appropriate, references to the enabling County Ordinance or State Statute. The policies also need to be accompanied by a statement of applicability, that is, who the policy applies to and the consequences for non-compliance. A definition of terms used in each section is also needed.

The Manual is also deficient in operational procedures. It should present step-by-step procedures that identify areas of responsibility, lists departments and individual job titles for those responsible for the control and coordination of procedures. Those with authority to give approvals or exceptions to any procedure should also be identified. The format for procedures should be consistent and include a statement or outline of each step required, or a checklist of what needs to be done, along with an explanation of how to complete necessary forms or screens. Copies of forms or screens should be included, as required.

Organization and Contents:

The Procurement Manual should outline in detail the County’s procurement policies and operational procedures. Policies identify and define the legal authority under which the procurement program functions. This authority is authorized by the Code and Florida Statutes.

The Manual should thoroughly define the specific duties and responsibilities of those who participate in the procurement process. It should also discuss the principles and goals of the procurement program.

The procedures in the manual should establish and describe in considerable detail, with the use of diagrams and flow charts, the County’s internal procurement procedures. Essentially, it should document or prescribe all steps in the procurement process, from the origin of the acquisition, to the final conclusion of the project, or disposition of an item.

A recommended organization and structure for the Manual is as follows and should include the following subjects:

Section 1, Purpose & Objectives

Section 2, Structure, Policies and Responsibilities Section 3, Procurement Cycle

Section 4, Purchase Request Section 5, Specifications

Section 6, Procurement Methods

Section 7, Evaluation and Award

Section 8, Contracts, Purchase Orders and Amendments Section 9, Contract Management

Section 10, Receiving & Vendor Performance Section 11, Invoices for Payment

Section 12, Cooperative Procurement Section 13, Disposal of Surplus Property Section 14, Ethics and Safeguards Appendix

List of Forms Glossary of Terms Section 1, Purpose & Objectives:

The opening section of the Manual should cover the purpose and objectives of the County’s procurement program. The Manual, as a whole, should serve as a guide for all stakeholders who participate in the procurement process and serve as a handbook for best principles and practices in public procurement. For the Business Units, Procurement is a service function supporting programs through the acquisition of supplies and services. For potential suppliers and contractors, Procurement is the means to new markets and a means for evaluation and award. Procurement is also accountable for quality assurance after the contract is signed and the purchase order issued.

Elected officials expect the Procurement Department to adhere to the requirements of the Code and State Statutes and to implement socio-economic policies, such as those relating to minority business enterprise and local preference. The County Administrator expects Procurement to be an executive management tool that provides an opportunity for cost containment.

In order to meet these expectations and increase the public’s confidence in the procurement process, the Manual should encompass all relevant procurement statutes, ordinances, policies and administrative and operational procedures. Once completed and approved, it should be distributed, read and understood by all County personnel responsible for the acquisition of supplies, services and construction.

Section 2, Structure, Policy and Responsibility:

The County’s procurement program is enabled by Florida Statutes, Chapter 125, and Article VI, Chapter 2 of the Sarasota County Code, both of which authorize the BCC to establish a system for the procurement of goods and services. The BCC has delegated some of its acquisition powers to the County Administrator.

Under the direct supervision of the Chief Financial Planning Officer, the Procurement Official (Procurement Manager) is responsible for monitoring the acquisition of supplies, equipment and services. The Procurement Manager is responsible for managing the procurement operations and supervising the procurement staff.

The current Manual, Section 1, outlines the responsibilities of the procurement staff.

Procurement administers the Procurement Code as delineated in Article VI, Chapter 2, of the Code. The staff is responsible for establishing procurement policies in compliance with the Code; obtaining fair prices for goods and services; dealing fairly and consistently with all vendors, suppliers and contractors; consolidating purchases of like or common items; and generally coordinating purchasing, contracting, transfer and disposal procedures with County staff. In addition, the staff is responsible for procuring supplies, materials, equipment and services required by the County in a timely manner that meets its needs and that are at a price that maximizes the value of every dollar spent.

To adequately describe the structure, policies and responsibility of the principals in the Procurement program, this section of the manual should include an organizational chart. It should show the Procurement Department’s place in the organization. This section should also include the authority and responsibilities of the BCC, County Administrator, Chief Financial Planning Officer, Procurement Manager and Business Units.

This section should also cover a review of general procurement policies, including authorizations and exceptions; purchase requisitions; specifications; approval levels;

procurement methods and their conditions for use; local preference; environmentally preferable procurement; surety and insurance; bid protests; cooperative procurement; code of conduct and ethics; public entity crimes - FS 287.133(1)(g); prompt payment; trade secrets; and any other important policies.

Section 3, Procurement Cycle:

This section should describe the procurement process or operational procedures. The intent is to show in the form of a flow chart and simple narrative of how the process works. The procurement cycle begins when a need is recognized and a requisition is prepared. It ends when an invoice is submitted and the bill is paid.

This entire process flow should be accompanied by a narrative describing each step. Included in the process flow should be steps for processing and approving a requisition from data entry to approval. The process flow and narrative should also identify the various methods of source selection (Request for Quotations, Invitation for Bids and Request for Proposals) and the number of quotes, bids or proposals required for each dollar threshold. Special procedures, such as the Consultant Competitive Negotiations Act (CCNA), which call for professional services for qualifications for professional architects and engineers and construction bids, should be designed or flow charted separately.

The flow charts should show the role each function plays in the workflow cycle, including the Business Unit, Procurement Department, County Administrator, Board of County Commissioners, Finance Department and vendors.

Section 4, Purchase Request:

This section should cover the processing of a purchase request. Sarasota County uses IFAS, which is the County’s financial system. IFAS provides users with on-line access to enter, approve and route purchase requests to the Procurement Department for purchase order processing.

Users can also view the status of purchase requests and generate reports.

This section on purchase requests should also include the County’s requisition policy, approval authority, information required for preparing the document and the process flow. In addition, it should include a statement requiring Business Units to provide the Procurement Department with purchase descriptions or specifications that are not unduly restrictive and are of the appropriate quality suitable for competition.

Section 5, Specifications:

This section should cover the development of specifications, including statement of work. The purpose of a purchase description or specification is to provide a basis for obtaining supplies or services that will satisfy the County’s need at an economical cost. To accomplish this task, the

Manual should establish that specifications be written to provide for, and encourage, full competition.

The Manual should authorize the Procurement Department to prepare, review and approve procurement standards and specifications. Business Units should be delegated the responsibility of preparing specifications. County policy should prohibit the use of restrictive specifications. Architects, engineers and other design consultants preparing specifications for the County should adhere to the requirements of openness and non-restrictiveness, in addition to the principles mentioned above

Section 6, Procurement Methods:

This section should cover procurement methods and their conditions for use. A high percentage of the County’s expenditures for supplies and services result from competitive solicitation. Three competitive methods are frequently used: competitive quotations for items less than $50,000; competitive sealed bidding for items over $50,000; and competitive sealed proposals.

The instrument for soliciting competitive sealed bidding is referred to as a Request for Quote (RFQ) [FS 287.012(23)] for small purchases; an Invitation for Bid, (IFB) [FS 287.057(1) (a) (2006);

FS 287.012(16)]; and competitive sealed proposals, a Request of Proposals, (RFP) [FS 287.012(22)]. When selecting professional architects and engineers, the County uses the Request for Professional Services (RPS), a procedure established under FS 287.055,

“Consultants’ Competitive Negotiations Act.” The County also uses a Request for Information, (RFI) [Fla. Admin R. 60A-1001(2)], to gather information for planning and developing specifications for an IFB or RFP.

This is certainly the most complex section of the Manual, as it should describe the policies and procedures for each of the County’s procurement methods. It is important that the Manual is forceful in the treatment of each procurement method, particularly the way procedures are handled. This section should establish the application and conditions for use of each of the procurement methods. Each should have its own policy statement and its own step-by-step procedure with accompanying flow chart or diagram.

This section should also include policies and procedures for a variety of related subjects such as contacts with vendors, public notices, receipt and control of bid/offers, modifying or

withdrawing bids, opening and tabulation of bids, electronic transmission of bids, handling of late bids, and mistakes in bids.

The policies and procedures should also state that solicitations for formal competition are issued to large enough groups of potential bidders or offerors to obtain adequate competition.

The manual should point out that the County does not maintain a formal vendor list. Instead, it has outsourced this activity to Onvia Demandstar, a third party clearinghouse for the distribution of governmental solicitations.

The Manual should also describe conditions under which purchases may be made other than by competitive sealed bidding or competitive sealed proposal. The Procurement Manager should be given the authority to make the final determination for waiver of competition and require that the determination be in writing. In addition, the manual should define what “emergency”

means for procurement purposes and require written determination of such circumstances and require competition, if feasible.

Section 7, Evaluation and Award:

This section should include the policies and procedures that direct the evaluation-award process. It should cover in detail the evaluation and award of contracts under competitive sealed bids and competitive sealed proposals. The recommended practice is that awards are made to the “responsible and responsive bidder or offeror whose bid or proposal is most economical for the purpose intended according to the criteria set forth in the solicitation.”²⁰ The evaluation and award policies should establish criteria for determining responsibility and responsiveness of bidders/offerors. Each solicitation must describe the criteria to be considered in evaluating responses for award and no criteria can be considered that is not included in the solicitation.

The evaluation process should also stress fairness and impartiality. In addition, the contract file should contain documentation to support the basis for every award, particularly if the award is made to other than the apparent low bidder/offeror, if bids are rejected, or if an alternate bid is selected.

20 Ibid. pg. 25.

The Manual should describe the formation of evaluation committees used to assist in the evaluation of bids and proposals. During the drafting of the solicitation, the committee should help with selecting the evaluation criteria. The procurement policy should require, where an evaluation committee or outside technical personnel are used to assist with the evaluation of proposals, that those persons are required to sign a conflict of interest statement before receiving copies of the proposals. This is to ensure the integrity of the competitive process.

When an evaluation committee is not used on individual purchases, the Procurement Department should consult the Business Unit involved in the evaluation process.

Section 8, Contracts, Purchase Orders and Amendments:

This section should cover the processing of contracts, purchase orders, request for payment and other payment mechanisms. The existing Procurement Manual describes four payment mechanisms. They include the following:

 Procurement cards are used to make small purchases under $3,000 without a purchase requisition. Procurement cards may also be used for larger purchases, if those products or services are included in an annual agreement.

 Payment requests are used only when a vendor does not accept procurement cards or purchase orders.

 Purchase requisitions govern transactions between the County and its vendors for the procurement of goods and services. Purchase requisitions may stand alone or be used in conjunction with two-party contracts.

 A Procurement contract is a Procurement mechanism which may be used in conjunction with, but not in lieu of, a competitive procurement method such as a bid or RFP or Payment Request. Contracts govern the business transaction between the County and its vendors. Contracts may be negotiated and executed after a bid; RFP or call for professional services has been issued and awarded. The Manual provides a list of circumstances under which contracts are used.

The Manual should provide a synopsis of how each payment mechanism is generated and what information is needed for each to be processed and executed. The Manual should also explain how each mechanism is reviewed, approved, distributed, acknowledged by vendors and filed.

Additionally, it should also state how changes or amendments are generated and executed for each payment mechanism. A change order or amendment is defined as a request or authorization to revise, amend, adjust, modify or correct a payment mechanism or a contract.

The change can be to the specification, scope of work, quantity, price/cost or the terms and conditions of the contract.

The Manual should identify the official(s) responsible for approving any change in price, scope of work or time of completion for a construction/design-build change order for all projects that were approved by the BCC.

Section 9, Contract Management:

The existing Manual makes no mention of the management and administration of contracts.

The Manual should delineate the contract management responsibilities of County staff, including such activities as processing and approving invoices for payment; quality assurance of commodities and services; processing requests for changes to specifications or scope of work;

and project close-out.

The policies and procedures in this section should include complete instructions for Business Units about how to manage contracts. Subjects covered should include:

 Start-up conferences,

 Introductions of key staff,

 Reviews of contracts,

 Identification of expectations,

 Payment procedures,

 Modification of contracts,

 Security/Safety issues,

 Dispute and complaint resolutions,

 Termination of contracts, and

 Close-out procedures.

The Procurement Manager should provide a training program for County staff responsible for receiving shipments from vendors and provide the Business Units with electronic access to contracts, purchase orders and specifications for use by receiving personnel.

Additionally, the Procurement Department should develop solicitations and contract terms that accurately and simply describe the level of performance expected by the commodity or service sought and the service the contractor is expected to supply to maintain that expectation. These

terms should include the establishment of the warranty of that commodity and what the County desires. Finally, these terms should establish remedies in instances where the vendor’s commodity or service is defective.

Section 10, Receiving and Vendor Performance:

The purpose of this section should be to establish guidelines for receiving and documenting vendor performance. Although the receiving and inspection of supplies and services is not a procurement function the Procurement Department staff is responsible for, it should be informed of any negative inspection results so that appropriate action can be taken with the vendor. Under the Uniform Commercial Code (UCC) of the Florida Statutes, the County has no statutory duty to inspect supplies upon arrival. However, failure to inspect supplies at the time of arrival may preclude the right to reject the shipment in its entirety, even though it does not

The purpose of this section should be to establish guidelines for receiving and documenting vendor performance. Although the receiving and inspection of supplies and services is not a procurement function the Procurement Department staff is responsible for, it should be informed of any negative inspection results so that appropriate action can be taken with the vendor. Under the Uniform Commercial Code (UCC) of the Florida Statutes, the County has no statutory duty to inspect supplies upon arrival. However, failure to inspect supplies at the time of arrival may preclude the right to reject the shipment in its entirety, even though it does not

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