5 Procurement Principles

[Trinh Livingston]

InOctober 2010, the NIGP Board of Directors finalized and adopted our official Values and Guiding Principles. Since then, over 100 stakeholder organizations have adopted or supported the Values and Guiding Principles to empower and elevate the public procurement profession.

We depend on values to construct the frameworks of our professional lives. The approved NIGP values are enduring beliefs or ideals shared by public procurement and stakeholders about what actions are and are not appropriate.

Our Guiding Principles are meant to guide professional behavior by considering a broad range of procurement expectations and standards. That's why it's important for procurement agencies and stakeholder organizations to recognize the following assumptions that concern the Guiding Principles.

The principles are broadly intended to cover all levels and variations of public sector procurement. Some practitioners will work in contexts in which following a particular Guiding Principle cannot be done for good reason. The Guiding Principles are not intended to constrain such practitioners when this is the case. Exceptions should be made for good reason (e.g., legal prohibitions against certain actions). We encourage public procurement professionals who find themselves in such contexts to consult colleagues about how to proceed.

These principles are intended to set the standard of practice for all public sector procurement professionals. However, they are not intended to replace standards supported by other disciplines in which procurement professionals participate.

Because the Guiding Principles are broad and their application depends on the laws and policies each entity must comply with as well as organizational culture, professional judgment is needed for individual contexts. Professional judgment includes experience, expertise, and education.

The WHO procurement process must allow for transparent competition among prospective providers. All prospective providers must be treated equally. All individuals and entities directly or indirectly associated with the procurement function are responsible for protecting the integrity of the process and maintaining fairness, transparency and equal treatment of all prospective providers. All potential providers should be treated equally, and the process should feature clear evaluation criteria, unambiguous solicitation instructions, realistic requirements, and rules and procedures that are easy to understand.

In order to promote transparency of the procurement process and accountability, WHO expects its providers to adhere to the principles, and meet the standards, set forth in the UN supplier code of conduct.

All procurement conduct and acquisitions must always be in the best interest, and consistent with the objectives and expected results, of WHO. Any business transactions must conform to the mandates and principles of WHO and the United Nations.

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These are the definitions for terms used in this part. Different definitions may be found in Federal statutes or regulations that apply more specifically to particular programs or activities. These definitions could be supplemented by additional instructional information provided in governmentwide standard information collections. For purposes of this part, the following definitions apply:

The specific requirements and responsibilities of Federal agencies and non-Federal entities are set forth in this part. Federal agencies making Federal awards to non-Federal entities must implement the language in subparts C through F of this part in codified regulations unless different provisions are required by Federal statute or are approved by OMB.

OMB will review Federal agency regulations and implementation of this part, and will provide interpretations of policy requirements and assistance to ensure effective and efficient implementation. Any exceptions will be subject to approval by OMB. Exceptions will only be made in particular cases where adequate justification is presented.

Inquiries concerning this part may be directed to the Office of Federal Financial Management Office of Management and Budget, in Washington, DC. Non-Federal entities' inquiries should be addressed to the Federal awarding agency, cognizant agency for indirect costs, cognizant or oversight agency for audit, or pass-through entity as appropriate.

The Federal awarding agency must establish conflict of interest policies for Federal awards. The non-Federal entity must disclose in writing any potential conflict of interest to the Federal awarding agency or pass-through entity in accordance with applicable Federal awarding agency policy.

The non-Federal entity or applicant for a Federal award must disclose, in a timely manner, in writing to the Federal awarding agency or pass-through entity all violations of Federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the Federal award. Non-Federal entities that have received a Federal award including the term and condition outlined in appendix XII to this part are required to report certain civil, criminal, or administrative proceedings to SAM (currently FAPIIS). Failure to make required disclosures can result in any of the remedies described in 200.339. (See also 2 CFR part 180, 31 U.S.C. 3321, and 41 U.S.C. 2313.)

The Federal awarding agency must design a program and create an Assistance Listing before announcing the Notice of Funding Opportunity. The program must be designed with clear goals and objectives that facilitate the delivery of meaningful results consistent with the Federal authorizing legislation of the program. Program performance shall be measured based on the goals and objectives developed during program planning and design. See 200.301 for more information on performance measurement. Performance measures may differ depending on the type of program. The program must align with the strategic goals and objectives within the Federal awarding agency's performance plan and should support the Federal awarding agency's performance measurement, management, and reporting as required by Part 6 of OMB Circular A-11 (Preparation, Submission, and Execution of the Budget). The program must also be designed to align with the Program Management Improvement Accountability Act (Pub. L. 114-264).

For discretionary grants and cooperative agreements that are competed, the Federal awarding agency must announce specific funding opportunities by providing the following information in a public notice:

For discretionary Federal awards, unless prohibited by Federal statute, the Federal awarding agency must design and execute a merit review process for applications, with the objective of selecting recipients most likely to be successful in delivering results based on the program objectives outlined in section 200.202. A merit review is an objective process of evaluating Federal award applications in accordance with written standards set forth by the Federal awarding agency. This process must be described or incorporated by reference in the applicable funding opportunity (see appendix I to this part.). See also 200.204. The Federal awarding agency must also periodically review its merit review process.

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