Guidelines

KADPPA Procurement Guidelines

1.1.1 Introduction.
The Government of Kaduna State enacted the Public Procurement Law, in May, 2016. It
became effective and operational on June 1 st, 2016. The Law and Regulations provide the
general rules governing public procurement. These Guidelines provide step-by-step
procedures to assist procurement entities to undertake public procurement in accordance
with the law.
1.1.2 Purpose of the Guidelines.
The main purpose of these Guidelines is to regulate the procurement of works, goods and
services financed throughAppropriation Law or any other source in favour ofKaduna State
Government. These Guidelines, in accordance with the understanding among stakeholders,
attempt to establish a step-by-step and improved mechanism for procurement of works,
goods and services towards enhancing efficient service delivery within specific time frame
and budget limits. They incorporate and harmonize acceptable best practices in public
procurement at the State and Local Governments levels.
1.1.3 Background to the Guidelines.
Since the purpose of producing the Guidelines and the templates is also to harmonize procurement best-practices at the State and Local Governments levels, information derived from relevant procurement documents and stakeholders at both State and Local
Government levels formed part of the resources that were relied upon in drafting the
Guidelines and developing the templates.
1.1.4 Objectives of the Guidelines.
These Guidelines detail the standards and procedures to be followed in the procurement of
goods, works and services within the public sector, and also includes a section for guidance
on asset disposal procedures. These standards, policies and procedures are designed to:
1. provide uniform procedures for the procurement of goods, works and services and
for asset disposal;
2. ensure transparency and accountability in all operations, and consistency with the
Guidelines of development partners where necessary;
3. ensure and promote consistent application of best procurement practices and
international standards; and
1.1.5 Application and Limitations of the Guidelines
These Guidelines apply to the procurement operations of all Government organizations as
defined in section 35 ofthe Law and the Regulations. The principles, rules, and procedures
outlined in these Guidelines apply to all (capital/recurrent, expenditure) contracts for
works, goods and services financed in whole or in part by the Kaduna State Government.
The Guidelines are to be applied by the following relevant Stakeholders:
1) The Executive arm ofthe Kaduna State Government.
2) The Legislative arm ofthe Kaduna State Government.
3) The Judicial arm ofthe Kaduna State Government.
4)All ministries, departments and agencies ofthe Kaduna State Government.
5)All the Local Governments.
In the event that public-linked entities that do not draw any funding from the State
Budget have their own procurement regulations and procedures, the implementation
ofthe set regulations and procedures shall be monitored for compliance, their contract
price reviewed before award of contract, by Kaduna State Public Procurement
Authority ( KADPPA ). These Guidelines cover the standard procurement cycle from
procurement planning and initiation of procurement to final delivery or performance and
contract completion. They will help to:
1. remove discretion or minimize the need for making new decisions every time a
comparable situation arises;
2. provide a point ofreference against which principles and practices can be evaluated;
and
3. serves a training Guide for procurement practitioners in the public sector and
provide guidance based on best international practices.
Consistent application of the provisions and procedures of the Guidelines throughout the
public service is essential to achieve improved efficiency, transparency, uniformity of
documents and decisions and reduce cost ofprocurement for the Government.
It is intended that the Guidelines will be subjected to continuous review by the Public
Procurement Authority to reflect amendments in legislation, changing needs, the
commercial environment and the adoption ofnew improved procedures and practices.
1.1.6 General Considerations
Procurement Entities are responsible for implementing their procurement activities at their respective levels. The procurement plan is time-bound and stakeholders are urged to act expeditiously in exercising their powers and discharging their responsibilities.
These Guidelines are intended to regulate procurement for works, goods and services
contracts across the state with the preferred method being Open Competitive bidding and
the use of alternative methods being strictly limited and subject to the approval of the
KADPPA.
The following principles shall guide the procurement undertaken under these Guidelines:
competitiveness, accountability, transparency, fairness and value for money in the
procurement process; and the need for economy and efficiency in the implementation of
projects.
1.2.0 Exceptions to Guidelines
1.2.1 Reasons for Exceptions.
Exceptions to the provisions ofthese Guidelines may arise:
1. Aspecial situation, such as an extreme emergency;
2. one-off requirements introduced as special provisions in a loan or credit facility
which are not otherwise covered in these Guidelines and do not constitute a revision
to the Guidelines;
3. the necessary use ofnon-standard tender documents for specialist procurements;
4. new legislation or government policy change which causes any part of these

Guidelines to be inconsistent with the new provisions until an appropriate revision
has been approved. Exceptions should normally be ofa short-term and one-offnature. Where they are recurrent, or become repetitive, then the Authority shall decide whether there is a need to introduce revisions in the Guidelines to reflect the necessary change, in accordance with section 1.3 of these Guidelines. Where an exception is considered essential, the Head of the procurement entity may submit a formal request to the KADPPA detailing the circumstance and including a full justification. The KADPPAmay approve such requests by issue ofa specific waiver or reject the request.
Exceptions and waivers granted shall be carefully reviewed in the monitoring activities of
the KADPPAand subject to audit.
The KADPPA will review all requests for exceptions to determine whether the relevant
provisions in the Guidelines need to be amended.

1.3.0 Revisions to the Guidelines.
1.3.1 Reasons for Revision.
Anumber offactors may necessitate a revision ofthese Guidelines including:
1. new legislation;
2. policy changes by government or funding body;
3. introduction ofnew improved practices, policies or procedures;
4. removal ofoutdated practices, policies or procedures; and
5. lessons gained from practical experience.

1.3.2 Request for revision by a Procurement Entity.
Where a revision to the Guidelines is deemed necessary, a formal request may be submitted to KADPPA in accordance with the following procedures:
1. The request shall be prepared and approved by the relevant Due Process Committee,
and authorized by the Head ofprocurement entity.
2. The request shall state the purpose of the revision and provide a comprehensive
justification, together with the precise changes suggested to the relevant text ofthe
Guidelines.
3. KADPPA will formally consider each request, seek legal and procurement practice
advise and may agree to a general modification of the Guidelines, a specific
exemption to be granted to the requesting procurement entity or may reject the
request giving reasons.
1.4.0 Use of standard procurement forms.
To assist in the adoption and use of standard practices and procedures in public sector
procurement the following standard procurement forms (SPFs) (see appendices) are
introduced within these Guidelines:
1.4.1 SPF 1 – Procurement Requisition.
This form establishes the preliminary specifications, the budget availability and authority
for the procurement and requires the allocation of a procurement number to be used for
procurement tracking and monitoring.
1.4.2 SPF 2 – Submission for Approving Authority’s Review.
This form has four sections as follows:
1. SPF 2 A – Request for approval of specifications, procurement method and tender
documents.
2. SPF 2 B – Request for approval of evaluation report and contract award
recommendations
3. SPF 2 C – Request for approval ofcontract document and contract signature
4. SPF 2 D – Request for contract agreement
The purpose of these forms is to standardize the format of submissions to the approving
authority, to act as a checklist ofinformation to be provided to the Authority, and to ensure
that submissions are presented with the approval ofan authorized responsible officer. Use of the form eliminates the need for individual covering letters to be prepared on each
application to the KADPPA.
1.4.3 SPF 3 – Evaluation Report (Goods and Works).
Standard evaluation format for the procurement ofgoods and works.
The purpose of this form is to standardize and improve the content of evaluation reports
submitted for approval.
1.4.4 SPF 4 – Evaluation Report (Services).
Standard evaluation format for technical and financial evaluations of consultant services.
This format has two sections for separate technical and financial evaluation to allow for
“two-envelope” bidding.
1.4.5 SPF 5 – Monthly procurement report.
Monthly report to be submitted to the Public Procurement Authority by each due process
committee.
1.5.0 Procurement numbering system.
1.5.1 Purpose
The purpose of the procurement numbering system is to ensure each requirement is given a unique identification to assist in the tracking, monitoring and audit of procurement and in the tracing and maintenance of records and files. The procurement number is assigned at the requisition stage and will form the basis for document filing and management information systems. Procurement numbers are initiated and allocated for procurement package and entered into a register maintained by the procurement unit. Numbers must not be re-used, even if the original procurement is cancelled.
1.5.2 Structure of the procurement number
The procurement number shall identify at a minimum:
1. the procurement entity;
2. the department and project;.
3. the financialYear (e.g 2016) and
4. a unique sequence number for each requirement.
KADPPAwill issue further Regulations on the derivation ofprocurement numbers to ensure
compatibility with existing numbering system for procurement planning, MTEF and the
pre-numbered activity and expenditure initiation (A&EI) standard form.
Guidelines on
1.5.3 Use of procurement identification numbers.
The procurement identification number must appear on all correspondences and documents related to the procurement.
1.6.0 Public procurement principles.
The overall objective ofthe public procurement system is to provide value for money to the
government by ensuring that public funds are spent in a transparent, efficient and fair
manner. These Guidelines incorporates provisions and procedures to promote transparency, accountability and ethics in the operation, management and reporting of procurement and asset disposal. All public servants shall consistently apply these policies and procedures, together with professional judgment and good management.