Appendix 1-probity plan template

Probity plan template

Task

Document

Implement brief interim probity procedures, pending government approval of a project.

• Interim probity procedure

Conduct preliminary market soundings and consultation with stakeholders.

• Consultation plan

• Records of discussions and correspondence

Appoint a project steering committee and a project director.

• Records of the selection and engagement process

• Statements of roles and powers

• Declarations of interest

• Confidentiality undertakings

Appoint advisors and a probity auditor.

• Records of the selection and engagement process

• Statements of roles and powers

• Declarations of interest

• Confidentiality undertakings

Settle the probity plan.

• Plan endorsed by the probity auditor

Develop a statement of probity administrative arrangements, including:

• levels of authority
• decision making processes
• authorised contact persons
• storage, access to, dissemination of information and records, including bids and bid evaluation documents.

• Administrative arrangements

Document proponent meetings (with agreement of all attendees) and record attendance. Prepare a summary report and store it on file.

• Summary report

• Record of attendees

Many of the tasks listed below are undertaken for both expressions of interest and binding bids in response to a project brief. A probity plan would list the tasks for each, setting out procedures appropriate to the particular stage of the project.

Include in bid documents the intended process for managing bids taking account of evaluation criteria and selection processes; how late and non-conforming bids will be dealt with and declarations of any proponent's conflicts of interest. If changes in evaluation criteria through the process seem likely, ensure government has the discretion to do so.

• Invitation documents including

• Bid acceptance process

• Proposed bid evaluation process

• Timetable

Set up process for receipt, recording and acknowledgment of bids. Ensure no bids are opened prior to the close of the bid period.

• Register of proponents

• Copy of letters acknowledging receipt

Set up information procedures to ensure that:

• All proponents should be given equitable opportunity to present their bids and receive feedback on whether their bids meet the output specification
• If the government changes or adjusts its position on any element of its proposal, this should be advised to all proponents
• communication with proponents is handled by a designated contact.

• List of procedures

• File notes

• Copy of letters, emails etc

• Record of all inquiries, and responses

Confirm the receipt and currency of all conflict declarations when the identity of proponents is known.

• Conflict declarations

Lock up documents and ensure they are kept secure at all times.

• List of procedures

Confirm requirements of specification and details of bid evaluation criteria. Notify proponents of any significant alternations. If there are changes, allow all proponents the (same) time and opportunity to re-submit bids.

• Minutes of meeting(s)

• Copy of letters, emails etc

• Assessment methodology for novel or non-complying bids

Assess bids in a timely manner.

• Timetable, as amended

Document interviews with shortlisted proponents.

• Interview questions

• Record of interviews

Assess probity of shortlisted proponents and their parent affiliated companies. This may include corporate information such as ownership, litigation, directors' profiles, financial security and past history.

• Referee checks

• ASIC records

• Commercial records (e.g. Dun & Bradstreet or Standard & Poor's),

• Annual returns etc.

Document any meetings for clarification of bids.

• Meeting agenda

• File notes

• Proponents' confirming letters

Ensure all bids are compared on the same basis, evaluation criteria have been applied consistently and responses have been assessed against specific requirements of the specifications. Give reasons for the choice of the preferred proponent, and ensure these reasons are clear and defensible.

• Evaluation sheets

• Score sheets/comparative results

• Minutes of meetings

Document reasons for selection or rejection of bids and prepare justification statement consistent with reasons for selection.

• File notes

• Minutes of meetings

• Justification statement

Store all documents and tapes to provide a complete and accurate record of how key functions and activities were carried out.

• Bid file(s)

Receive the final report of the probity auditor.

• Final report of the probity auditor