Transformation Mobilisation Programme MARKET SOUNDING EXECUTION … · 2018-02-01 ·...

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Inland Revenue Transformation Mobilisation Programme MARKET SOUNDING EXECUTION PLAN Project Sponsor: Greg James Prepared by: Sourcing Team Date: 25/06/13 v 3.0.0
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Transcript of Transformation Mobilisation Programme MARKET SOUNDING EXECUTION … · 2018-02-01 ·...

  • Inland Revenue

    Transformation Mobilisation Programme MARKET SOUNDING EXECUTION PLAN

    Project Sponsor: Greg James

    Prepared by: Sourcing Team Date: 25/06/13 v 3.0.0

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    Document Control

    File Name TMP Sourcing Market Sounding Execution Plan v 3.0.0

    Contact Person

    Status Final Draft

    Document Review History

    No Date Change Description Contact

    0.8.0 30-May-13 Released to the Sourcing Management Team

    1.0.0 7-Jun-13 Released to the Programme Leadership Team

    2.0.0 11-Jun-13 Released to the Transformation Steering Committee

    2.1.0 14-Jun-13 Released to the Sourcing Management Team

    2.1.0 17-Jun-13 Released to the Procurement Director

    2.2.1 19-Jun-13 Released to the Procurement Director

    Document Signoff

    This Market Sounding Execution Plan has been endorsed and approved as follows:

    Formal Review Area Name Signature Date

    Advisor – Ernst & Young Engagement Partner

    Advisor – Ernst & Young Quality Assurance Partner

    Reviewed by Procurement Procurement Manager

    Endorsed by Procurement Graham Pomeroy Procurement Director

    Endorsed by Enterprise Architecture Jon Frere Chief Architect

    Endorsed by PLT Members Chair

    Approved by PSC Members Chair

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    Table of Contents

    1. Purpose of the Market Sounding Execution Plan ................................................ 7

    1.1. Market Sounding Objectives and Outcomes ......................................................... 7

    1.2. Rules Governing Market Sounding ..................................................................... 8

    2. Market Sounding Steps ...................................................................................... 9

    2.1. Market Sounding Approach ............................................................................... 9

    2.2. Step 0 – Pre-Market Sounding Communications................................................. 10

    2.3. Step 1 – Market Sounding Launch.................................................................... 10

    2.4. Step 2 – Written Points of View ....................................................................... 11

    2.5. Step 3 – Analysis of Written Points of View ....................................................... 11

    2.6. Step 4 – Follow-up Meetings ........................................................................... 12

    2.7. Step 5 – Complete Analysis and submit MS Findings Report ................................ 12

    3. Areas for Sounding ........................................................................................... 13

    4. Market Sounding Probity Risks and Mitigation Strategies ................................ 17

    5. Communications and Stakeholder Management Activities................................ 19

    6. Review and Approval Points ............................................................................. 21

    7. Deliverables ..................................................................................................... 22

    8. Dependencies ................................................................................................... 23

    9. Appendix A – Meeting Protocols ....................................................................... 25

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    1. Purpose of the Market Sounding Execution Plan

    The purpose of this document is to explain how Inland Revenue (IR) will engage with the

    market through a Market Sounding (MS) process. Key findings will be used to inform the

    procurement approach and wider programme planning and will take place prior to any formal

    procurement activity. This plan should be read in conjunction with the Procurement Plan which

    outlines the entire procurement approach. Both the domestic and international markets will be

    targeted by the MS stage. The procurement approach is further supported by the development

    of a Domestic Market Strategy. This makes a number of recommendations for the Programme

    Steering Committee to consider. One of these is to undertake a MS exercise.

    This plan documents:

    the key objectives and outcomes of the MS stage;

    the MS steps and how they will be executed, including timeframes and duration;

    the information and questions that will be tested with the market; and

    the deliverables that will be developed to support this process.

    1.1. Market Sounding Objectives and Outcomes

    The MS stage is a planning stage and will be conducted in advance of any formal procurement

    process. It is not, in any shape or form, a pre-qualifying or procurement stage. The value of

    this stage will be determined by the quality of information obtained that will assist IR and the

    market in preparing to execute a procurement process.

    The MS stage has been designed to:

    publically share with the market IR’s transformation mobilisation programme, including the

    scope, objectives and indicative schedule;

    invite views from the market on their capability and appetite to deliver the required

    outcomes;

    seek market feedback on the commercial considerations and risks which may impact on the

    structure of the procurement process and any services delivery model; and

    identify any other major issues or concerns from the market which may impact on the

    procurement process.

    Upon completing the stage, it is expected that IR will have:

    raised the profile of IR’s transformation mobilisation programme in the market;

    canvassed the views of the market in terms of their interest and perceived issues;

    explored further (where required) with the market to gain an understanding of the

    commercial drivers; and

    gathered information to support or challenge both the procurement process and subsequent

    timeframes.

    The output of this stage will be a report containing the key findings and any recommendations

    that will be used to inform the procurement process and wider programme planning. The

    report will be submitted to the Programme Steering Committee for acceptance of the

    recommendations.

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    1.2. Rules Governing Market Sounding

    The rules that will apply during the MS stage will be provided in full in the information pack

    available to the market during the launch of the stage. Anyone submitting a written point of

    view or otherwise participating in the MS stage will be required to accept that they are bound

    by the MS rules. Some of these rules are as follows:

    service provider(s) are under no obligation to respond;

    a response is not a prerequisite of participation to a future procurement process (if any);

    IR does not expect to share nor receive any confidential or commercially sensitive

    information;

    responses may be required to be disclosed to the public under the Official Information Act

    1982; and

    IR may use or disclose any information received or elements of any response for the

    purpose of developing aspects of the sourcing approach, plans or supporting materials or for

    any IR business or operational purposes; and

    Service providers are responsible for all their costs associated with participating in Market

    Sounding.

    It should be noted that participation by service provider(s) in the MS stage will be voluntary

    and open to all interested service providers regardless of location, size or current relationship

    with Inland Revenue. It will be made clear in all external communication that not participating

    in the MS stage (or not to be invited by IR to participate in further follow-up meetings) will not

    preclude a respondent from submitting a tender or participating in any consortium submitting

    a tender in any future tender process.

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    Table 1: MS Timeline

    Step Indicative timeline

    Pre-Market Sounding Communications 8 Jul 2013

    Market Sounding Launch 15 Jul 2013

    Written Points of View 15 Jul 2013 – 2 Aug 2013

    Analysis of Written Points of View 5 Aug 2013 – 5 Sept 2013

    Follow-up Meetings 5 Aug 2013 – 16 Aug 2013

    Complete Analysis and submit MS Findings Report 6 September 2013

    2.2. Step 0 – Pre-Market Sounding Communications

    The communications and engagement activity that will take place as part of pre-market

    sounding will provide the context and big picture for changes IR may make and describe a

    transformed IR that will deliver:

    improving agility so that policy changes can be made in a timely and cost effective manner;

    delivering more effective services to improve customer compliance and help support the

    outcomes of social policies;

    improving productivity and reducing the cost of providing services;

    improving the customer experience by making it easier and simple for taxation and social

    policy customers;

    increasing the sharing of intelligence and information cross government to improve delivery

    of services to New Zealanders and improve public sector performance; and

    minimising the risk of protracted system outages and intermittent systems failure.

    The Sourcing Tactical Communication and Media Plan (Section 5) extracted from the

    Communications and Engagement Approach provides the guiding principles, key messages,

    target audience groups, their communication needs and preferred communication channels

    that will lead IR into MS. A Notice of Intent to launch MS will be posted on the Government

    Electronic Tenders Service (GETS)1 website from 8th July 2013.

    2.3. Step 1 – Market Sounding Launch

    MS will be openly advertised on the GETS and will be promoted using other appropriate and

    identified forms of media (as per the Communications and Engagement Approach), e.g.

    advertisements in national and international publications.

    Subject to the necessary approvals, the Market Sounding Launch will occur on 15 July 2013

    and will take the form of launch communications and the release of an information pack on the

    GETS website to support the MS stage.

    1 GETS supplies information about New Zealand Government contract opportunities. GETS is accessible to

    all interested service providers, both domestic and international. It meets New Zealand’s Government

    Rules of Sourcing.

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    Promotional activities will signpost the market to the information pack by means of for

    example

    links on the public IR website.

    news releases and backgrounders; and

    advertising in selected publications and websites.

    The information pack will consist of:

    An Information Brief – this document will describe IR’s business context, transformation

    mobilisation programme overview, the proposed procurement approach, MS

    steps/instructions and sounding areas which IR is seeking to learn more from the market.

    Frequently asked questions (FAQ) and answers – this document will contain IR’s response to

    commonly asked questions about the programme and the proposed procurement approach.

    The FAQ will be a ‘living’ document that will be updated on GETS periodically as questions

    are asked and answered from the market.

    In addition to the documents above, service provider(s) will be encouraged to review all other

    publicly available documents on the transformation mobilisation programme via the IR internet

    site.

    2.4. Step 2 – Written Points of View

    Following the release of the information pack, the market will be invited to provide a response

    to some or all of the areas of sounding (Section 3). Without at all limiting the range and scope

    of areas sought for feedback, it will be requested that all written points of view correspond to

    questions and sounding areas in the information brief, unsolicited information which does not

    relate to the sounding areas may not be considered or accepted by IR. Service provider(s) may

    respond to as many of the questions as they deem appropriate to their particular areas of skill

    and experience. Service provider(s) will be encouraged to keep responses succinct and in a

    simple format so as to minimise time in analysis.

    Written points of view must be submitted by close of business on 2 August. Late responses

    may not be considered as part of the analysis of responses. All responses will be

    acknowledged, and service providers thanked for their responses by e-mail.

    2.5. Step 3 – Analysis of Written Points of View

    All written points of view and information received from the market will be assessed by the

    following representatives/subject matter experts (as required):

    Sourcing work stream Commercial Lead;

    Legal experts

    Procurement Team members; and

    Business Advisor representatives.

    A thematic approach to analysis will be adopted; this will involve the identification of common

    areas of feedback amongst the market responses in regards to the sounding areas (Section 3).

    Content within the written points of view, which correspond to the sounding areas and in turn

    align to the MS objectives, will be used to inform the MS Findings Report.

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    2.6. Step 4 – Follow-up Meetings

    Representatives from the market may be invited to attend a follow-up meeting with IR.

    Separate meetings will be held with each representative that accepts IR’s invitation for a

    follow-up meeting. Meetings may be required where:

    IR requires greater understanding of the perspective/point of view provided;

    segments of the market are under-represented, (this may require contact with

    representatives who did not provide a response to the MS questions);

    areas of interest are not adequately covered;

    MS objectives are not met.

    The follow-up meetings are expected to be held in the period 5 August 2013 – 16 August

    2013. IR will be represented by the following roles/areas:

    Transformation Mobilisation Programme Director;

    Sourcing work stream Commercial Lead;

    Procurement Manager; and

    Business Advisor representatives.

    A Probity Auditor may also attend these meetings as an observer, and in addition meeting

    protocols (Appendix A) will ensure any perceived probity risks are managed.

    2.7. Step 5 – Complete Analysis and submit MS Findings Report

    Information gathered during the MS stage will be used to develop a MS Findings Report

    summarising the analysis of the written points of view and minutes from follow-up meetings

    and will include any recommendations. The report will be submitted to Programme Steering

    Committee for acceptance of recommendations. The report and recommendations will then be

    used to inform the procurement process and wider programme planning.

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    3. Areas for Sounding

    The MS stage provides IR with the opportunity to gain valuable information from the market to

    inform the procurement process and wider programme planning.

    Detailed in the table below are the areas for sounding plus potential questions to be posed to

    the market. These questions will form part of the information brief which is provided to the

    market via GETS to launch the MS stage.

    Key area of

    sounding:

    Rationale for key area of sounding: Proposed questions to the

    market:

    IR’s Transformation

    Mobilisation

    Programme

    IR’s transformation mobilisation programme

    will be of a scale unseen before in New

    Zealand, similar in scope and complexity to

    transformations that have occurred in the

    United Kingdom in HMRC and Australia at the

    ATO. Market feedback on the design and

    objectives of the programme can support

    and/or challenge the programme design and

    provide IR with valuable feedback on areas

    where the programme may be adjusted to

    achieve enhanced outcomes (such as

    improved value for money).

    Describe effective transformation

    programmes that you have

    participated in or have detailed

    knowledge in?

    - Did these programmes deliver

    successful outcomes?

    What improvements, if any, do you

    think could be made to IR’s

    transformation vision, objectives and

    desired outcomes?

    Are you involved in or aware of any

    large scale transformations that

    might have an impact on the market

    and its capacity to deliver this

    programme of change (e.g. resource

    availability, specialist skill sets etc)?

    The Procurement

    Process

    IR seeks to achieve a high quality of delivery

    and a high quality commercial outcome

    through the execution of the procurement

    process. IR has proposed a four stage

    procurement process in order to meet these

    objectives. Requesting feedback from the

    market on the objectives and proposed

    design of the process may provide IR with

    insight as to how the process may be

    amended to achieve enhanced outcomes (i.e.

    improved value for money).

    What changes if any would you make

    to the proposed procurement process

    to enhance commercial and service

    delivery outcomes for both IR and

    potential service provider(s)?

    What do you consider to be a

    reasonable timeframe in which to

    complete the execution of the

    proposed procurement process?

    What are the most significant risks

    that you believe may be associated

    with the proposed procurement

    process, and measures would you

    suggest to mitigate these risks?

    Competitive

    Dialogue

    The Competitive Dialogue (CD) stage is

    based on the process pioneered by the

    European Union for use in large or complex

    procurement programmes, and where there

    is a need to discuss all aspects of the

    proposed procurement process. In the

    context of IR’s transformation mobilisation

    programme the purpose of this stage is to:

    design a focus area of the high level

    design for Tranche 1;

    What is your point of view on the

    Competitive Dialogue objectives,

    approach and outcomes proposed by

    IR?

    Where you have previously been

    involved in a competitive dialogue

    exercise process;

    - outline the process

    - comment on areas of risk and

    potential mitigation

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    Key area of

    sounding:

    Rationale for key area of sounding: Proposed questions to the

    market:

    examine the cultural fit and suitability of

    potential service providers;

    support the development of aspects of the

    sourcing approach, plans or supporting

    materials; and

    draft and negotiate contract documents

    (including legal terms and conditions and

    contractual documents) and to assess the

    likelihood service providers will commit to

    these.

    Information from the market on the CD stage

    will provide IR with an indication as to how

    familiar service providers are with

    competitive dialogue procedures, allowing for

    better management of the process. Feedback

    from the market may also enable IR to better

    identify and mitigate any risks in association

    with this phase.

    - tell us what you would do

    differently a second time around

    Service Delivery

    Model

    The service delivery model defines how

    service providers may organise themselves to

    deliver any proposed statements of work. It

    is important to understand how potential

    service providers view the risks and benefits

    associated with providing the services to

    deliver the programme and how these risks

    can be mitigated. Market analysis has

    indicated that over the last 5 years, a Prime

    Contractor model has been the most common

    service delivery model for similar

    transformations across the world. The market

    can provide valuable feedback on what the

    most effective delivery model might be for a

    programme of this kind.

    Do you think a Prime Contractor

    model – where a single provider

    holds the commercial contract, and

    sub-contracts additional services – is

    a reasonable model for this type of

    contract? If not, please explain what

    you think the optimal service delivery

    model is and why?

    Commercial Model The commercial model will govern how the

    awarded contract will be managed day-to-day

    and how IR interacts with the selected

    service provider(s) over the duration of the

    programme.

    What do you consider as the most

    appropriate commercial model for a

    programme of this scale, duration

    and complexity (i.e. governance,

    deliverables, pricing and payment

    mechanism, performance

    management approach, duration and

    incentives/sanctions)?

    Local Participation Given the size of IR’s transformation

    mobilisation programme, the programme is

    likely to be viewed as an opportunity through

    which to build capability in the local

    marketplace. It will be important for IR and

    the service providers to identify opportunities

    for domestic market involvement and to

    leverage local expertise and capability, where

    appropriate. Service provider points of

    In your experience, how has

    meaningful local participation been

    achieved in transformations of a

    similar nature?

    What measures would you suggest to

    support the development of

    sustainable capability and capacity in

    the domestic New Zealand market?

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    Key area of

    sounding:

    Rationale for key area of sounding: Proposed questions to the

    market:

    view may enable IR to better understand

    barriers local service providers expect to

    face in participating in the

    transformation. The market may also

    provide insight on effective ways to achieve

    meaningful local participation.

    Contestability The programme’s complexity and scale may

    limit the number of potential long-term

    transformation service providers with the

    required capability and capacity to assist a

    transformation of this kind. Ensuring there is

    sufficient contestability during the course of

    the procurement process is important for

    delivering value for money. Market feedback

    on the transformation, contract scope and

    the procurement process can provide IR with

    valuable feedback on areas where the

    programme can be adjusted to ensure a

    sufficient level of contestability and achieve

    value for money.

    Would you consider participating in

    the procurement process, if not, why

    not?

    How do you think IR could increase

    competition in the procurement

    process?

    Do you think the procurement

    process will be competitive? If so, to

    what degree?

    Subcontracting

    Arrangements

    Transformations of this complexity and scale

    require a complex set of roles, skills and

    qualifications to meet the stated outcomes.

    To meet this need, the preferred service

    provider(s) is likely to use subcontractors to

    perform significant amounts of work.

    Problems at the subcontract level can have a

    significant impact on the service provider’s

    ability to meet their contractual obligations.

    What subcontracting approaches do

    you believe would give IR an

    adequate level of comfort regarding

    delivery quality and certainty, whilst

    providing control for the service

    provider(s) to manage subcontractor

    performance?

    Pricing and

    Payment

    Mechanisms

    There are a range of pricing models available

    to IR, e.g. unit rate, lump-sum, variable-

    sum, success fee etc. Transformations of this

    scale and complexity vary in the pricing

    model adopted. Furthermore, different pricing

    models can have an impact on the overall

    attractiveness of the programme and may

    influence the competitive tension during the

    procurement process. Market feedback on

    different pricing models can provide IR with

    valuable feedback on what has/has not

    worked well in comparative programmes and

    preferences of service providers in regards to

    payment mechanisms.

    Describe effective pricing and

    payment mechanisms that you have

    observed with programmes such as

    this?

    Risk Management

    and Risk Sharing

    Given the complexity, timeframes and

    fundamental change associated with IR’s

    transformation mobilisation programme, it

    will be necessary for IR to effectively identify

    and closely manage risk. Risks may be

    financial, reputational, operational or

    strategic in nature. Feedback from the

    What are some of the significant risks

    that arise from and during a

    transformation of this size and scale?

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    Key area of

    sounding:

    Rationale for key area of sounding: Proposed questions to the

    market:

    market will enable IR to better understand

    potential risks from the perspective of service

    providers. Insight from the market may also

    allow for the effective anticipation and

    mitigation of risks, through the design and

    implementation of the procurement process.

    Innovation Innovation in the procurement process may

    allow for an enhanced commercial outcome

    and enhanced service quality. IR

    acknowledges that the market has greater

    visibility of innovative procurement processes

    and solutions. Market feedback will help IR

    harness these tools and ideas in order to

    ensure the most effective processes are

    being used.

    In your experience, what innovative

    procurement processes have

    contributed to better outcomes for

    both the client and the service

    provider(s)?

    How would you suggest IR promote

    innovation during the procurement

    process?

    Financial and

    Economic Analysis

    The results of financial and economic

    analyses have significant implications for the

    determination of a project’s priority and

    affordability.

    Financial analysis considers the internal cash

    flow consequences of the options while the

    economic analysis looks at the overall

    impacts on the economic welfare of the

    community, i.e. in terms of net economic

    benefit.

    What are some of the typical

    customer readiness and/or

    interagency costs that might arise

    from a transformation of similar

    scale?

    Have you experienced any issues

    with budgeting and prioritising

    transformation change against a

    changing portfolio of competing

    demands, especially across changing

    external environments?

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    4. Market Sounding Probity Risks and Mitigation Strategies

    The table below sets out some specific probity risks and mitigation strategies that are relevant

    to the Market Sounding (MS) stage of the Programme. These risks should be considered in

    addition to any general risks identified for the Programme as a whole. Please note that the

    proposed mitigation strategies are of a strategic nature and more specific detailed advice will

    be provided should the need arise. It is expected that the role of the Senior Probity Specialist

    will be to ensure that the mitigation strategies presented below are considered and adhered to.

    These risks and mitigation strategies have been reviewed by the Probity Advisor.

    No. Probity or probity

    related risk

    Mitigation Strategies

    General

    1 Perception that MS will

    be used to structure

    requirements of the

    future stages of the

    procurement to suit a

    particular result

    Documentation will state the purpose and objectives of the MS stage

    and how responses will be used e.g. to inform the procurement

    process.

    In the interests of transparency, IR will specify how it will treat

    responses in the MS approach to market.

    The MS stage as a whole will be transparent.

    2 Actual or perceived

    advantage to service

    provider(s) in future

    stages of the

    programme by virtue of

    their participation in the

    MS stage

    All information provided to service provider(s) in the MS will be

    provided to all other potential service provider(s), so that future

    stages of the programme are conducted on a ‘level playing field’.

    IR will clearly communicate to the market that participation in the MS

    is not mandatory.

    3 Use of service

    provider(s)’ information

    (including intellectual

    property) by IR

    IR will have the ability to utilise any information (including intellectual

    property) submitted by service provider(s) in the development of

    future procurements associated with the programme or otherwise.

    As such, the conditions of participation in the MS stage will expressly

    state that IR can use information submitted by service provider(s) for

    future procurement and for other purposes, and, if a participant does

    not want certain information used in this way, this information should

    not be submitted.

    4 Conflicts of Interest IR will ensure all personnel involved in the Market Sounding Phase

    have completed a Conflict of Interest (COI) Declaration and where

    appropriate management plan protocols are adhered to. Personnel will

    be reminded that COI declarations should be updated as conflicts

    arise. Where appropriate specialist probity advice will be sought in

    line with the Probity Plan protocol.

    Step 1 – Market Sounding Launch

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    5 Consistency of

    information provided by

    IR

    The MS Information Brief will identify a contact person for clarification

    questions and other queries.

    Any questions from service provider(s) which are not submitted via

    the nominated contact person will be re-directed to the contact

    person.

    All questions will be submitted and responded to in writing.

    Step 2 – Written Points of View

    6 Late responses IR will communicate the protocol for dealing with late responses which

    articulates in what circumstances IR will accept late responses.

    Exclusion of late responses needs to be balanced against the benefits

    of encouraging participation in the MS (which may lead to a better

    outcome for IR).

    7 Fair and equitable

    treatment of responses

    during analysis of

    written responses

    The market will be made aware of how IR intends to use the

    information and views provided. This will also include the

    circumstances where IR intends engage in follow-up meetings (either

    in writing or face to face).

    Responses will be treated in line with the purpose and objectives.

    8 Communication with

    service provider(s)

    Communication with service provider(s) for the purposes of clarifying

    aspects of a written response will be via a single point of contact (to

    ensure consistency of information).

    Step 3 – Follow-up Meetings with Individual Service provider(s)

    9 Consistency of

    information provided by

    IR

    An agenda will be prepared for the meetings and all meetings will

    follow the agenda.

    An independent observer (e.g. Probity Auditor) may be present during

    meetings to ensure that probity is complied with.

    Written notes will be kept of all discussions during the meetings.

    All meetings will be conducted in accordance with the Meeting

    Protocols (attached as Appendix B) defined in this plan.

    Steps 4 and 5 - Analysis of Responses and Market Sounding Findings Report

    10 Perception that

    particular ideas are

    included to benefit a

    particular participant or

    due to improper

    considerations

    Responses will be analysed in line with the agreed purpose and

    objectives as per this Plan.

    The representatives analysing the responses will be suitably qualified,

    i.e. comprised of subject matter experts that are able to

    understand/interpret responses to the questions.

    Any conflicts of interest will be carefully managed.

    There will be a probity review and /or audit to ensure the MS

    Execution Plan has been followed.

    11 ‘Neutrality’ of MS

    Findings Report

    The MS Findings Report will reflect the findings that are consistent

    with the purpose and objectives of the MS Stage.

    If the findings are likely to be ascribed to any particular participant in

    the MS IR must satisfy itself that this resulted from a proper and fair

    process.

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    5. Communications and Stakeholder Management Activities

    A Communications and Engagement Approach has been developed and identifies the

    framework and governance for the communication activities for the duration of the

    procurement approach. Specific communication objectives, key messages and activities were

    developed for each stage and outlined in the Sourcing Tactical Communication and Media Plan

    – Pre-Market and Market Sounding. The following tactical communications activities support

    the MS stage.

    Pre-Market (sequenced) from 5 July

    Activity Timing Rationale

    Place story and supporting

    info on IR website and in IR

    publications

    Place ‘Notice of Intention’ to

    publish MS pack on GETs

    website

    As soon as pre-market

    phase begins.

    Gives IR a place to ‘direct’ people wanting info about

    the programme

    Controlled environment/message

    Over time, becomes the place people ‘expect’ to see

    info about the programme (no surprises, encourage

    perception we are being open and transparent)

    Issue news release and

    backgrounder – distribute as

    widely as possible

    Include NZ and international

    channels. Reference back to

    IR website

    Once web info available

    (and we are confident

    that other risks are

    managed)

    Expect that may not result in high-profile or

    immediate stories, but will help lift media

    understanding and acceptance of programme and its

    rationale

    Offer interview with Naomi –

    feature story demonstrating

    IR‘s understanding of its

    customers’ needs and the

    importance of a well-

    functioning revenue agency

    to NZ’s future

    Aim for metro Sundays/

    Business features /Listener

    or possibly national radio

    Follow soon on release

    of news release +

    backgrounder

    Purpose is to bring the ‘human face’ to why IR is

    modernising – and who it is intended to benefit

    Use similar tone and style to Struan Little’s op-ed on

    Information sharing, published in the DomPost.

    Messaging to cover how IR is seeking:

    new ways of interacting with customers;

    fundamentally different ways of designing and

    delivering services;

    innovation in collaboration with other agencies

    and private entities;

    replacement of core system technology;

    new ways of thinking about information; and

    (if published), include a link on the IR website/s

    media page/s.

    Materials/statements

    prepared for REACTIVE use

    to manage issues/events

    Use if/when required,

    to address particular

    issues prompted by

    external events or

    activities

    Market Sounding (sequenced) from 5 July

    Activity Timing Rationale

    IR (main public) website As soon as MS begins

    Display link from

    Provide base information about MS

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    Activity Timing Rationale

    page

    Link to GETs website

    homepage of website,

    and link body text to

    GETs website

    Signpost to info on GETs website

    Publish MS information pack

    on GETs

    As soon as MS begins Government focal point for all procurement

    materials

    Market accustomed to checking GETs

    Paid space – selected range

    of NZ media and

    international procurement

    publications

    Suggest 15-25 July

    (asap after MS start

    date)

    Signpost market to materials on IR4TF and GETs

    websites

    Substantiate IR’s lack of ‘favour’ to any particular

    provider/s

    Publications to be confirmed by IIC

    ‘MS / IR calls for innovative solutions’ (small

    placements, logo + signpost to GETs website)

    Use both digital and print media

    Wide release news release +

    backgrounder – explain MS,

    IR picture.

    Suggest 16-25 July

    (asap after MS start

    date)

    Announce IR has ‘gone to market’

    Substantiate IR’s commitment to being as

    transparent and open as possible

    Provide platform for media engagement

    Substantiate IR’s neutrality to any particular service

    provider(s)

    Issue news release to domestic and international

    publications

    Release can be relatively brief, but with detailed

    backgrounder attached

    Signpost to info pack on GETs

    Follow-up news release and

    posting on GETs website –

    thank service

    provider(s)/advise Sounding

    closed/provide indicative

    timeframe for next

    stages/reminder that

    responses used to inform

    future procurement design

    process

    Week that MS closes Demonstrate courtesy/’human face’ of IR

    Engender positive relationships market

    Set expectations that procurement process.

    timelines are dependent on Cabinet decisions

    Set expectations that IR will continue to

    communicate when it has relevant info to share

    Publish text of news release and backgrounder on IR

    website

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    6. Review and Approval Points

    The extent by which information is developed and provided progressively builds into more

    detailed documentation from one stage of the procurement approach to the next. A

    responsible, approve, consult, inform and endorse (RACIE) assignment matrix is being used at

    each stage of the procurement approach to describe the participation by various roles and

    responsibilities in completing deliverables. The MS RACIE is shown below.

    R = Responsible

    A = Approve

    C = Consult

    I = Inform

    E = Endorse

    Pro

    gra

    mm

    e S

    ourc

    ing T

    eam

    Pro

    cure

    ment

    Directo

    r

    Gro

    up M

    anager

    Com

    munic

    ations

    & I

    nquiry

    Chie

    f Ente

    rprise A

    rchitect

    Gro

    up M

    anager,

    Corp

    ora

    te R

    isk

    & A

    ssura

    nce

    Chie

    f Fin

    ancia

    l O

    ffic

    er

    Corp

    ora

    te L

    egal

    Pro

    bity A

    uditor

    Pro

    gra

    mm

    e L

    eaders

    hip

    Team

    Pro

    gra

    mm

    e S

    teering C

    om

    mitte

    e

    Com

    mis

    sio

    ner

    Inla

    nd R

    evenue

    MS Execution Plan R E E

    C I E A

    Pre-MS Media Release Content R E I A

    Memo from CIR to Govt Agencies R E I I A

    Information Brief R E E C C I E A

    Questions R E E C C I E A

    Frequently Asked Questions R E E C C I E A

    Launch Media Release Content R E I A

    Paid Advertising Content & Channels R E I A

    Follow-up Meeting Script R C I I C A

    MS Findings Report R E E I I I I E A

    For more information on the documentation, deliverables and indicative dates of approval,

    refer to the deliverables table below (Section 7).

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    7. Deliverables

    The following is a list of deliverables which will be produced for the MS stage. Each deliverable

    will be subject to an endorsement and approval process either outlined specifically in the

    RACIE table above or through the standard review and acceptance process for the programme

    deliverables.

    Deliverable

    Title Description of Deliverables

    Indicative

    date

    MS Execution

    Plan (this

    document)

    This plan outlines the optimal approach for engaging the market to

    ensure that the procurement process has been tested with both domestic

    and international service providers and that the approach will be

    supported by the market.

    28-Jun-13

    Notice of

    Intent

    This notice will be published on GETS on 8th July 2013 to signal IR’s

    intention to issue a market sounding exercise. Message will be consistent

    with pre-market sounding comms

    28 – Jun-13

    MS

    Information

    Pack*

    The information pack published on GETS will contain the background

    information necessary to inform the market, so that responses to

    questions are of sufficient quality. The information pack will consist of:

    Information Brief

    Questions(including sounding areas and questions)

    Frequently asked question and answer sheet (FAQ)

    28-June-13

    Participant

    Control Sheet

    A spread sheet will be used throughout the MS stage to record which

    service providers submit written points of view, which questions are

    responded to, invitation and acceptance for follow-up meetings, and to

    record questions and answers (via the Contact Officer) which may be

    uploaded into the FAQ on GETS to comply with probity requirements.

    For the

    duration of

    the MS stage

    Follow-Up

    Meeting Script

    A follow-up meeting script will be developed to guide and structure each

    meeting and to ensure the correct sounding areas are discussed.

    5-Aug-13

    Minutes of

    Follow-Up

    Meetings

    Minutes of any follow-up meetings with service provider(s) will be

    required to support findings, clarify participant responses and to comply

    with probity requirements.

    5-Sept-13

    MS Findings

    Report

    Analysis of the written points of view and minutes of follow-up meetings

    will be used to develop a Findings Report. The Report will identify:

    market responses to key information requirements;

    key themes and issues raised by service provider(s);

    any key risks and issues noted; and

    recommendations and next steps.

    10-Sep-13

    Steering

    Committee

    Decision

    Documents

    Documents will be developed as required for the Steering Committee

    outlining:

    key decisions required to meet the MS objectives;

    provide updates on progress against the MS timeline, including

    risks, issues and actions; and

    confirming priorities and next steps.

    As required

    Probity Report An interim probity report will be developed by the Probity Auditor within seven working days of the completion of the MS stage, and will assess the measures IR have implemented to mitigate the various identified probity risks of this stage.

    17-Sept-13

    * This documentation may be updated whilst available on GETS depending on questions from the

    market or amendments as required.

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    8. Dependencies

    There are a number of inputs that the MS stage is dependent on, these relate particularly to

    programme level communications, necessary approvals, probity requirements and the

    ‘Strategic Analysis’ and ‘Design’ work streams. These dependencies are outlined below:

    Cabinet and Ministerial endorsement is received

    Although a formal decision is not required from Ministers to proceed with the MS stage, it is

    understood that the IB will be looking to the ICT Ministerial Committee to support the

    execution of the stage. This endorsement will be required prior to commencing engagement

    with the market. IR hopes to secure endorsement at the ICT Ministerial Committee meeting on

    4-Jul-13.

    Procurement Plan has been developed and approved

    The Procurement Plan supports the Sourcing Strategy and outlines the rationale for the entire

    procurement approach. The plan includes the overarching procurement objectives and

    outcomes, the documentation necessary to ensure compliance with the new Government Rules

    of Sourcing.

    Probity Plan has been developed and approved

    The Probity Plan provides the authority and structure for the way in which probity issues will

    be addressed during the MS stage. The plan is expected to set out standards of practice and

    behaviour for personnel involved in the stage as well as defining roles and responsibilities in

    relation to probity compliance.

    Communications and Engagement Approach has been developed and approved

    The Communications and Engagement Approach provides the framework for how

    communications will support the procurement approach. The plan is expected to detail who,

    why and when IR will engage with stakeholders, identify roles and responsibilities and

    confirming the different channels to be used.

    Programme level communications are approved

    It will be necessary that the market has been made aware of the programme and associated

    market engagement before the MS Launch. This will ensure that the market is prepared for MS

    and clarity is provided on the intent and IR’s direction. A Media Plan will require approval to be

    proactive in the communications approach and to mitigate communication risks associated with

    the MS stage.

    Programme Sourcing Team is in place and roles and responsibilities are defined

    The skill sets and capabilities required to successfully execute the MS stage will need to be

    defined and in place within the Sourcing Team prior to the MS Launch. The execution of MS will

    require specialist skill sets across legal, probity, communications, procurement and other

    project management expertise.

    Completion of Conflict of Interest Forms

    Prior to MS, all staff members involved in this stage have completed and submitted a Conflict

    of Interest declaration. This includes individuals with the following responsibilities:

    all members of the procurement team (staff, contractors and consultants);

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    all members of the evaluation panel;

    any consultant asked to advise the team;

    anyone involved in making a recommendation;

    anyone involved in approving a recommendation or making an important decision;

    anyone making a financial approval for the procurement; and

    anyone the probity advisor deems required for disclosure.

    All individuals engaged by IR have a responsibility to follow all policy and procedural

    requirements established by IR to manage any related interests that will, or could give rise to,

    a conflict of interest.

    Testing Commercial Principles and Concepts

    The MS stage will be used to test commercial principles and concepts for contract documents

    with the market. This will allow IR to identify any preferred terms identified by service

    providers. It will be necessary to identify these early on to ensure and support the

    development and agreement of contract documents throughout the procurement process.

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    9. Appendix A – Meeting Protocols

    The MS meeting protocols as outlined within the Probity Plan are attached below.

    ANNEX A: MEETING PROTOCOL

    1. Introduction

    This Protocol sets out the probity requirements for the conduct of meetings with service provider(s) during the Market Sounding stage of the Programme (Meetings).

    2. Information management

    2.1. An agenda must be developed for the Meetings and retained in the Programme records.

    2.2. Each Meeting must be conducted in accordance with the agenda to avoid any unauthorised disclosure of information to service provider(s) and any inconsistent information being provided to service provider(s).

    2.3. It should be made clear to service provider(s) in Meetings that any statements made by IR during the Meetings cannot be relied on as amending or adding to anything already

    published by IR in relation to the Programme unless that amendment or addition is confirmed by IR in writing.

    3. Compliance with Probity Requirements

    3.1. The Probity Auditor should be present at all Meetings to ensure that they are conducted in accordance with probity requirements and to respond to any probity-related queries.

    3.2. All IR personnel who will be involved in the Meetings must be:

    a) given a copy of this Protocol; and

    b) briefed by the Probity Auditor in relation to the probity requirements for the

    Meetings.