UN Procurement Practitioners Handbook



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Overseas Purchasing Ethical Policy (14) No policy An unwritten set of guidelines Un-adopted ethical policy set by departmental manager Formal policy but no active commitment from top management Policy Assessment (15) No assessment Informal review of policy as part of other assessment regime Formal assessment of policy Formal assessment of policy against performance targets Ethical policy covering all aspects of personnel and natural resource ethics. Regular review with commitment from top management Externally verified assessment of policy against performance targets Page 33 LEAP Textbooks.Hinson C. (ERP). C. Talluri S. 2002 Fisher R. Sixth Edition Telgen J..L.Negotiating Agreement without Giving In (2nd Ed.UN Procurement Practitioner’s Handbook Nov 2006 References and Further Reading Antonette G. draft guide.: Public Procurement Manual. Trinity College Dublin.: Sourcing in the Public Sector. 2003 http://www. European Public Procurement Group. CAPS Research.cch.: e-Procurement in the Public Sector: Story. JCG Enterprises.. Harvard Business Review. 2004 NIGP. LEAP Textbook. and Wright E. 2004 NIGP-Babich K.au/02_policy/better_purch.Capsresearch. New York.: Evaluating E-Procurement Solutions. et al: A conceptual Model for Assessing the Impact of Electronic Procurement. European Journal of Purchasing & Supply Management 8(2)111-122.and King D.: Purchasing Education and Training II. 2004 NIGP. Financial Times Prentice Hall.ie/working_papers/PIWPO7%20-%20Tonkin..qld. and Rosdahl K.K.: Exploring Business-to-Business Marketsites. LEAP Textbooks.: Public Procurement Goes Electronic.M.Davison W. and Ross A.capsresearch. 2003 ADB: Environmentally Responsible Procurement.). Arizona. 2004. Giunipero L .qgm..gov.tcd. Lee J.Pdf http://www.: Contract Administration.: Electronic Commerce 2004.pdf ITCILO/SIGMA-Westring G. 1996 Kraljic P. LEAP Textbooks. and McCue C.V.A Managerial Chapter 5: References COMMON CERTIFICATION SCHEME FOR THE UN Page 5-6 .P. 2001 http://www.From Strategy to Implementation. :e-Procurement.com De Boer L. Brussels.: Electronic Commerce.org/publications/pdfs-protected/narasimhan2003.and Sawchuk C. and Handfield. 2004 Barratt M..R.D. Policy Institute working paper. CAPS Research.policyinstitute.: Planning. 2002 CCH Incorporated: World Class Contracting.. 2000 Corporate Procurement Planning. 1991 Giunipero L.pdf Turban E.htm Schneider G.. European Journal of Purchasing & Supply Management 8(1): 25-33. Harink J. Myth and Legend. Gregory Garrett www.. 2001 Tonkin. and Pettijohn C.: Getting to Yes . Scheduling and Requirement Analysis. http://Www. Ury W. Patton B.: Purchasing must become Supply Management. 2001 NIGP-Thai K.: Introduction to Public Procurement. and Jadoun G. 2003 Neef D. 1983 Narasimhan R. 2004 Queensland Government-Better Purchasing Guides: Negotiations in Purchasing.B. Viehland D.Org/Publications/Pdfs-Protected/Giunipero2004.: e-Purchasing Plus. New York Penguin Books. Common Guidelines for Procurement by Organizations in the UN System 20th edition http://www. 2004 USAFA: Seven Steps to Performance-Based Services Acquisition http://www. http://wbln0018.html WFP: Goods and Services Procurement WB: Electronic Government: Procurement. Staff Regulation 1. 1997 UNDP/IAPSO: Sustainable Procurement Guide.iapso.org/OCS/egovforum.pdf UN: Oath of Office. 2004 Ukalkar S. 2006 UNICEF: Procurement Training Materials UN/OHRM: Procurement and Contract Management Participant Guide. ST/SGB/2002/13. 2005 UNDP: Green Procurement Booklet. Works and Services. Third Edition. 2000 UN: General Business Guide .org UNHCR: Procurement Manual.9 UN: Status.org/pdf/gbg_master.gov/comp/seven_steps/index. (rev. 2003 UNICEF: Financial Regulations and Rules.arnet. 2) 2004 UN/PS: Advanced Procurement Training. Oxford.worldbank. 1 November 2002 UNCITRAL: Model Law on Procurement of Goods. 2006 UN Global Compact: www. 1999 UNICEF: Supply Manual (Book G). 1994 UNDP: Financial Regulations and Rules UNDP: Procurement Manual. basic rights and duties of United Nations staff members.nsf/main/home Chapter 5: References COMMON CERTIFICATION SCHEME FOR THE UN Page 5-7 .: Strategic Procurement Management for Competitive Advantage. 2003 UNOPS: Financial Regulations and Rules UNOPS: Draft Procurement Manual.UN Procurement Practitioner’s Handbook Nov 2006 Perspective. 2006 UNOPS: Procurement Training Materials UN/PS: Financial Regulations and Rules UN/PS: Procurement Manual. 2003 UNHCR/ITC: Procurement Seminar for Implementing Partners-Coursebook.unglobalcompact. but rather represents the best return on the investment. environmental or other strategic objectives. “best in class” organisations. which will be required for a proposed construction project or production of equipment (usually custom designed). to approve the selection of the supplier for the specific contract. See also PROPRIETARY ARTICLE AND TRADE MARK. and/or supplies. A summary report of programme implementation. It may be defined as a receipt for goods. The optimum combination of factors such as appropriate quality. Acquired Immune Deficiency Syndrome. An offer by a supplier in response to an invitation to bid. river or canal shipments).UN Procurement Practitioner’s Handbook Nov 2006 Glossary of Acronyms. It constitutes a document of title to the goods specified therein.e. abbreviations and procurement terms used in this handbook. The action taken by the buying organisation based on the evaluation of offers. A description and a quantitative estimate of all materials. The descriptions and explanations apply only to procurement in the context of this handbook. life-cycle costs and other parameters which can include social. Bill of Quantities. signed by the Master or other duly authorised person on behalf of the ship-owner. department. Page 5-8 ARBITRATION AUDIT AWARD AWB B/L BAFO BENCHMARKING BEST AND FINAL OFFER BEST VALUE FOR MONEY BID BID BOND BILL OF LADING BILL OF QUANTITIES BoQ BRAND NAME Chapter 5: References COMMON CERTIFICATION SCHEME FOR THE UN . See also WAYBILL. A method to resolve a contract dispute by submission to one or more arbitrators for a binding judgement. taking into consideration the evaluation criteria in the specified solicitation documents. See also BILL OF LADING. issues and recommendations issued annually by the heads of country or regional offices. Best and Final Offer. It does not necessarily mean the lowest initial price option. A method of competitive negotiations with a short list of selected suppliers during an RFP. The process of examining and reporting on specific aspects of work and performance. Term or acronym AGREEMENT AIDS ANNUAL REPORT Description or explanation A manifestation of mutual assent between two or more parties. Bill of Lading (for sea. The document under which cargo is carried on board vessels. court procedures. A product identified to a particular manufacturer. Abbreviations and Procurement Terms The table below lists the acronyms. See also OFFER SECURITY. industry standards or internal departments. lake. Air Waybill. i. HQ divisions. significant events. which meet the enduser needs. etc. See also CONTRACT. arbitration is normally used to avoid litigation. The practice of reviewing the performance of an organisation. function or activity. by assessing it against the performance of. e. price. Normally personified in address form by the insertion of the appointment of the departmental head i. responsible for cargo in transit according to the various conventions governing the different transport modes. containing the agreement. A means of relief that either party can pursue to compensate for the other party's non-performance or non-compliance with a contract term or condition. etc. demonstrated through behaviour that leads to effective performance on the job. Although a container can be anything designed to hold (contain) materials for storage or transport. organization etc. A document prepared to support a series of decisions. and the terms and conditions. A range of similar items forming a section within a group. i. ingredient. or part of a sub-assembly which is incorporated into a finished product. Recipient of procurement services. Goods or material prepared for. the most common definition in logistics refers to specific types of containers used for inter-modal transportation often referred to as "Ocean Containers". increasingly commit an organisation to the achievement of the outcomes or benefits possible as a result of a particular business change. The warehouse or department to which a consignment has been despatched. entities who do not own the means of transport but contract for carriage under the same conditions as would prevail if they were the owners. Collected group of entities combining their efforts in procurement. Committee established for the independent review of contracts Page 5-9 Chapter 5: References COMMON CERTIFICATION SCHEME FOR THE UN . over time. The Director. hauler. or in transit. unit of measure and other information. The Chief Storekeeper.e. Entity which actually performs the transport. project. which is normally the requisitioner of the goods. A document which identifies the country of origin of imported goods – normally required by customs authorities. Using standardized containers for the storage and transport of materials within a manufacturing facility as well as between vendors and manufacturers. See also AGREEMENT and PURCHASE ORDER. department. These decisions. Procurement strategy in which offers are requested from multiple suppliers. services or works to be procured. and personal attitudes. A percentage of the total price added to a cost estimate to allow for market and foreign exchange fluctuations. airline. Also NVOCC (non-vessel operating common carrier). An organised list of goods or services specifying the description. shipping line. between a buyer and a supplier.UN Procurement Practitioner’s Handbook Nov 2006 Term or acronym BUDGET BUFFER BUSINESS CASE CARRIER CATALOGUE CERTIFICATE OF ORIGIN CLASS CLIENT COMPETENCE COMPETITIVE BIDDING COMPONENT CONSIGNEE CONSIGNMENT CONSORTIUM CONTAINER CONTAINERIZATION CONTRACT CONTRACT REMEDY CONTRACTS REVIEW Description or explanation A plan of the allocation of financial resources to a programme. A written document. Any material. knowledge. Combination of skills. UN Procurement Practitioner’s Handbook Nov 2006 Term or acronym COMMITTEE Description or explanation and purchase orders over certain ceilings. CUSTOMER The buyer of goods and/or services. Sales. Purchasing. DONATION IN KIND Goods and services provided at no cost to the UN organization and/or its beneficiaries. ESTIMATE An approximate calculation of charges or costs to supply goods or services. register or schedule used in the procurement process. COST ANALYSIS A detailed analysis of the supplier’s quoted price. DELIVERY TIME The time taken to deliver goods from the date of contract to the time when the title of goods passes between the purchaser and the supplier as per the delivery terms (INCOTERMS) used in the contract. observations and data points. DRP. ENTERPRISE Software systems designed to manage most or all aspects of a RESOURCE PLANNING manufacturing or distribution enterprise (an expanded version of MRP systems). DAMAGES Compensation for injury to goods. ELECTRONIC DATA A dedicated electronic connection between a buyer and a supplier INTERCHANGE used to transfer procurement-related information. person or property. DATA Collected and stored facts. EXPRESSION OF A note received from a supplier in response to a request to INTEREST express interest in an upcoming procurement activity. voucher. See also INCOTERMS. ERP systems are usually broken down into modules such as Financials. FCA/FOB Free Carrier/Free on Board. including everything a buyer may have to pay in association with an item. DEFECT Any imperfection or non-conformity of the product with the specification(s). DOCUMENT Any form. NGO. DONOR A government. Manufacturing. and that the UN organization’s interests are properly protected. international or regional bank. The review is conducted to verify that all procurement procedures and rules are met. record. services object of the procurement action. DISPOSAL The action taken to dispense with any material declared scrap or surplus to requirements. DEADLINE A definite date by which an action must be completed. individual or other entity that contributes resources as funds or commodities to UN organization programmes. DDU Delivered Duty Unpaid. ERP Enterprise Resource Planning. COST A broader term than 'price'. DEFAULT A failure of the buyer or seller to live up to the terms and conditions of the contract. works. EDI Electronic Data Interchange. Inventory Management. END USER The ultimate beneficiary/user of the goods. Chapter 5: References COMMON CERTIFICATION SCHEME FOR THE UN Page 5-10 . DISCOUNT An allowance or deduction granted by the supplier to the buyer reducing the cost of the goods purchased. MRP. CRC Contracts Review Committee. EOI Expression of Interest. See INCOTERMS. Page 5-11 Chapter 5: References COMMON CERTIFICATION SCHEME FOR THE UN . Freight payable by consignee on arrival of the goods. GOOD PRACTICE GUARANTEE HANDLING HIV IAPSO IAPWG ICC IDENTIFICATION ILO IMPORT INCOTERMS INSPECTION INVENTORY Financial Rules and Regulations. The process by which goods are checked for quality. the products of one company. which has been identified and is recommended as a model. Human Immunodeficiency Virus. A promise or a pledge.e.org A process or methodology. or features which are unique to the products of a particular supplier. The means of establishing specifically what an item is and then giving it a unique identity. The operations involved in lifting and movement of goods in store and transit. It is based on 10 principles related to human rights. Specifications that do not specify brand names. bank guarantee). Inter Agency Procurement Services Office. The term applied to the total stocks held in store or in account. Standard clause in all United Nations contracts. International Chamber of Commerce. compliance with technical specifications and accuracy. The act of bringing goods into a country from an external source. something given or existing as security such as to fulfil a future engagement or a subsequent condition (e. A French term (superior force) that refers to unexpected or uncontrollable events that may relieve the buyer and the seller from their obligations under a contract. costs and risks of the buyer and seller.UN Procurement Practitioner’s Handbook Nov 2006 Term or acronym FIXED PRICE FORCE MAJEURE FORECASTING FREIGHT FORWARD (or FREIGHT COLLECT) FRR GENERIC TECHNICAL SPECIFICATIONS GLOBAL COMPACT Description or explanation An order placed on the agreement that no alteration in price will be permitted for the duration of the order. Inter-Agency Procurement Working Group. It can also be a provision in a contract by which one person promises to pay the obligation of another person in case that person fails to pay debts or perform a specific duty.unglobalcompact. i. labour. The voluntary international corporate citizenship network initiated by the UN to support the participation of both the private sector and other social actors to advance responsible corporate citizenship and universal social and environmental principles to meet the challenges of globalisation. www. Adjustments for seasonality and trend are often necessary.g. Most forecasts use historical demand to calculate future demand. International Labour Organization. Can also be referred to as the holdings of stores and equipment in use. International Chamber of Commerce commercial delivery terms which set out the obligations. environment and anti-corruption. An estimation of future demand. product specification. using general and specific terms and conditions. International Organization for Standardization. price and delivery are partly known but where contract provisions and/or final specification may require time consuming negotiations. quantities. maintenance and disposal costs. When an organisation is answerable for or committed to pay for goods. Agreement to supply certain goods and/or services over a defined period of time. Everything a buyer may have to pay in association with an item over its entire life-cycle. Supplier’s bill listing goods shipped. before the formal final contact can be signed. This document is also necessary to clear shipment through customs. property or losses. The process whereby stocks. and related information between the point of origin and the point of consumption in order to meet customers' requirements. services. In transportation. An item on a requisition to be supplied in any quantity. effective forward and reverse flow and storage of goods. Page 5-12 Chapter 5: References COMMON CERTIFICATION SCHEME FOR THE UN . Invitation to Bid. based either on mandate. describes the materials being transported. machinery and other facilities are maintained to optimum level to retain working efficiency. implements and controls the efficient. Potential suppliers invited to make an offer. The time between placing an order and receipt of goods ordered as specified in the order/contract. An organization to which the UN system has entrusted responsibility. In manufacturing. services. to act as prime on behalf of the entire UN system in one or more of the following procurement activities: supplier pre-selection. describes the amount of production scheduled against a plant or machine. payable to the UN organization by the supplier against delay in performance. or establishment of LTAs. Less than container load. technical expertise and/or procurement volume. Used to enter into interim agreements-usually subject to confirmation by an agreed date – so as to enable construction production or delivery of supplies to commence. Long Term Agreement. specified in a contract. The part of the supply chain management process that plans. A predetermined rate of compensation.UN Procurement Practitioner’s Handbook Nov 2006 Term or acronym INVITATION TO BID INVITEES INVOICE ISO ITB LCL LEAD AGENCY LEAD TIME LETTER OF INTENT LIABILITY LIFE CYCLE COST LINE ITEM LIQUIDATED DAMAGES LOAD LOGISTICS LONG TERM AGREEMENT LTA MAINTENANCE Description or explanation A formal written invitation sent to suppliers for requirements of a certain value and over. indicating price against which payment should be made. A preliminary quasi-contractual arrangement by letter used in circumstances where the items. In warehousing. it describes the materials being handled by a piece of equipment. like training. running. services or works of the right quality. where an offer may be taken or not taken at the choice of the offeree. Document provided by suppliers indicating the contents of each case to be shipped. Page 5-13 NPV OFFER OFFER SECURITY OPTION ORDERING OUTSOURCING PACKING PACKING LIST P-CARDS PENALTY CLAUSE PERFORMANCE BOND PERFORMANCE SECURITY PLANT PO PRICE PROCEDURE PROCUREMENT PROCUREMENT OFFICER PROPOSAL PURCHASE CARDS Chapter 5: References COMMON CERTIFICATION SCHEME FOR THE UN . by exception. The process of obtaining goods. its weight. Ordering goods and services 'off contract' . 8 September 2000. donation or hire. Purchase cards streamline the payment process and reduce costs by eliminating paperwork. A guarantee (bond) from a supplier preventing the withdrawal or modification of an offer after the deadline. See PERFORMANCE SECURITY. See also PURCHASING. Purchase Order. particularly in contracts.). despatch or other movement by the use of measures suitable materials compatible with the item/method of transportation and the condition of storage. Net Present Value. from unapproved suppliers. initiating and controlling the activities of people and processes (by objectives. A laid down sequence of actions to efficiently achieve the aim.e. A written instrument normally issued by a bank or an insurance company in favour of the buyer to assure fulfilment of the supplier’s obligations. The act of preparing items for storage. Contracting someone outside of the organization to conduct some of the work normally conducted by the organization. A contractual clause defining supplier obligations in the event of default on its part. A individual acting on behalf of the UN organization who performs the procurement function. Millennium Development Goals. quotations and proposals. etc. measurements. Purchase Cards. in the right quantity. Equipment installed as a fixture.UN Procurement Practitioner’s Handbook Nov 2006 Term or acronym MANAGEMENT MAVERICK BUYING MDGs MILLENNIUM DEVELOPMENT GOALS NET PRESENT VALUE Description or explanation The activity of planning. Generic term for bids. The process of preparing purchase orders from provisioning data and submitting them to suppliers. at the right price. Method used in evaluating investments whereby the net present value of all cash outflows (such as the cost of the investment) and cash inflows (returns) is calculated using a given discount rate. The amount of money that will purchase a definite weight or other measures of a commodity. The right of choice. An offer by a supplier in response to a request for proposal.i. from the right source at the right time by various means such as purchase. Resolution of the UN General Assembly (A/RES/55/2): United Nations Millennium Declaration. and value. Business credit cards that are issued to buyers to purchase low cost goods. The guarantee of goods and services meeting and maintaining specified quality standards. a small portion taken from a quantity to give an idea of the quality of the whole lot. standard and condition. A formal written solicitation seeking a solution to a complex requirement. but can be used in exceptional circumstances for non-standard items. An internal document which a functional department submits to obtain items from stock.UN Procurement Practitioner’s Handbook Nov 2006 Term or acronym PURCHASE ORDER PURCHASING QUALITY ASSURANCE QUALITY CONTROL QUOTATION RAW MATERIAL RECEIPT RECEIPT OF GOODS RECORD RELATIONSHIP MANAGEMENT REOI REQUEST FOR PROPOSAL REQUEST FOR QUOTATION REQUISITION RESIDUAL VALUE RFP RFQ RISK ANALYSIS SAMPLE SEALED OFFERS SEGREGATION OF DUTIES SERVICE CONTRACT Description or explanation See CONTRACT. This document is used mainly for services. Involves the application of inspection techniques to products purchased to ensure they are of the correct specification. Used when a supplier is asked to provide certain deliverables. Buying goods. The relationship between buyer and seller that is central to the whole business of supply management. A method of formal procurement where suppliers are instructed to submit sealed bids or proposals. services and works. Either the function of receiving goods into store or the signature given confirming safe receipt. Request for Expression of Interest. The process of determining what the risks are and what the costs would be if they materialize. where the selection will not necessarily be made on price alone. Stock or items purchased from suppliers. See also DEMAND. programme services or procurement Page 5-14 Chapter 5: References COMMON CERTIFICATION SCHEME FOR THE UN . Quotations are normally preferable because they should give an accurate price for goods or services offered. availability. Request for Proposal. Or. The value of an item which has served its functional purpose but retains some value as scrap from material content. but rather on best value for money. Any document that registers information related to the procurement process. whereas estimates give an approximate calculation of the cost of goods or services. A written request for requirements usually for low value procurement. A statement of price. etc. Request for Quotation. or to initiate a procurement action. Not to be confused with 'estimate'.. Official acknowledgement of receipt of goods by government or a procurement services customer. to be inputted into a production process and transformed into finished goods. usually in response to an enquiry. An operational mechanism to ensure that one individual does not own or control the whole process. A representative example of a product. Applies to administrative. This is standard practice when ITB and RFP solicitation processes are used. clients. The documents issued to request a potential supplier to offer a bid/quotation/proposal to provide the required goods. Shipping marks show the package number and the port of destination and should remain legible until the end of the voyage. facilitation of operation. as: “Giving equal weight to economic development and the preservation of the environment to ensure that the actions of one generation do not compromise the ability of future generations to have an equal quality of life.” A process whereby organisations meet their needs for goods. quotation or proposal. A policy decision to limit sourcing to only one particular brand / model of product or type of service instead of using generic specifications as the basis of the purchasing process. Target Arrival Date. civil society. The responsibility of a UN organization for managing the funds and resources entrusted to it by its member states and other donors in an ethical and transparent manner. Anyone who has an interest in procurement activities delivering actual or perceived objectives. Page 5-15 Chapter 5: References COMMON CERTIFICATION SCHEME FOR THE UN . The holding of stock. invitiation to bid or request for proposal. They can include development partners. finance. maintenance. In this handbook the term supplier is also used as someone who offers goods. while minimising damage to the environment. The marks stamped or otherwise shown on a package to enable it to be identified. A description of the technical requirements. Generic term for a request to suppliers to offer a bid. The total sequence of business process. senior management. etc. compatibility with other products / services. May be justified for economies of scale.UN Procurement Practitioner’s Handbook Nov 2006 Term or acronym SHIPPING SHIPPING MARK SOLICITATION SOLICITATION DOCUMENTS SPECIFICATIONS STAKEHOLDERS STANDARDIZATION STEWARD STEWARDSHIP STOCKHOLDING STORAGE SUPPLIER SUPPLY CHAIN SURPLUS STOCK SUSTAINABLE DEVELOPMENT SUSTAINABLE PROCUREMENT TAD Description or explanation services. technical experts. Items of supply in excess of known and anticipated requirements. A person or concern who supplies against a contract. but also to the society and the economy. Person employed to manage another’s property. etc. Holding materials or equipment for future use. services and works in a way that achieves value for money on a whole life basis in terms of generating benefits not only to the organisation. that enables customer demand for a product or service to be satisfied. services or works against a request for quotation. end-users. within a single or multiple enterprises. and for the welfare and in the interest of the designated beneficiaries of the funds and resources entrusted. The act of movement generally by sea. but can be applied to other methods of moving a consignment. and repair of already purchased goods. A term coined in the Brundtland Report. services or works.
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