Guidelines on Procurements for Scientific and Technological Research and Development of National Cheng Kung University


Approved at the 666th executive reporting conference on December 10, 2008


Amended and approved at the 167th administrative meeting on February 27, 2013


Amended and approved at the 194th administrative meeting on January 09, 2019


Amended and approved at the205th administrative meeting on November 25, 2020


1. Purposes:

National Cheng Kung University (hereinafter referred to as NCKU) establishes these Guidelines in accordance with the Fundamental Science and Technology Act and Regulations Governing Procurements for Scientific and Technological Research and Development for execution of the scientific and technological R&D procurement (hereinafter referred to as R&D Procurement) to improve the efficiency of the procurement and promote research and development in science and technology.

2. The terms used in the Guidelines are defined as follows:
(一)科研採購:指依科學技術基本法第六條第四項規定,接受政府機關 (構)國家科學技術發展基金之補助、委託或出資所執行科技研發計畫所須辦理工程、財物或勞務之採購。

(1) R&D Procurement: Refers to the procurements of construction work, property or service under a subsidy, commission or funding from a government agency (institution) in the form of a national science and technology plan pursuant to Article 6, Paragraph 4 of the Fundamental Science and Technology Act.

(2) Open tendering procedures: Refers to the procedures under which a public notices is given to invite all interested suppliers to submit their tenders.


(3) Limited tendering procedures: Refers to the procedures under which no public notice is given and two or more suppliers are invited to compete or only one supplier is invited for tendering.


3. Applicability:

(1) NCKU shall execute R&D Procurement for NCKU in accordance with the Guidelines. All the matters that are not specified in the Guidelines may be executed with reference to the Government Procurement Act and the Procurement Regulations of National Cheng Kung University.
(二)前款採購是否屬於科學技術研究發展計畫應以該補助契約為準;如有疑義時,由補助、委託或出資之政府機關 (構)認定之。

(2) Whether the procurement referred to in the previous paragraph is within the applicability of the research and development plan of science and technology shall be determined pursuant to the contract of subsidization. If there is any doubt, the government agency (institution) that offers the subsidy, commission, or funding shall make the final decision.

4. Responsible units:

(1) Purchase requesting unit: Responsible for purchase requests and administration of the contract performance in a procurement case.

(2) Office of Research and Development: Make sure if a plan is an R&D procurement plan.

(3) Procurement unit: The Office of General Affairs is responsible for price competition under restricted tendering, price negotiation under single tendering, invitation to tender, opening of tenders, awarding of contracts, inspection and acceptance and settlement of disputes in a tendering case. The Library is the procurement unit for books and materials. The purchase requesting unit is the responsible unit for small procurement.


(4) The Accounting Office is responsible for monitoring of R&D procurement cases.

5. Procurement procedure:

(1) The purchase requesting unit submits the requisition to the head of the unit for review and, after the review, forwards it to the relevant units for signature.  After the requisition is approved by the President or his/her authorized person, the procurement may be executed in accordance with Article 8 of the Guidelines. However, any project other than the commission or subsidization plan of the Ministry of Science and Technology, Executive Yuan, shall be submitted to the Office of Research and Development for confirmation before the procurement is executed in accordance with the Guidelines.

(2) Where any requirements for procurement change or a procurement case are canceled, the purchase requesting unit shall take back and nullify the requisition and inform the Accounting Office in writing. The requisition shall be resubmitted for any change of the procurement. It shall be reviewed and approved again pursuant to the purchase request procedure before being delivered to the purchase requesting unit for further handling.

6. Principles of R&D Procurement: The R&D Procurement shall be, in principle, executed for promotion of the research and development in science and technology, protection of public interests, and assurance of fairness and reasonableness.

7. Open negotiation information:

(1) Before entering into a procurement contract, the purchase requesting unit shall negotiate with the suppliers with regard to the construction work to be purchased, specifications of the property, and the requirements for services.

(2) All the written documents for communication during the negotiation will be attached for reference. For any negotiation that is not carried out in writing, documented records shall be made with the counterparty, time, place and contents.

8. Procurement procedure:

(1) The open or limited tendering procedure shall be applied to the procurement at a total amount of more than NT$ 1,000,000 (inclusive, the total amount contains the expansion in the future). However, the limited tendering procedure may be applied to a procurement that meets one of the following requirements:

1. There are no suppliers submitting tenders or no tenders are qualified, provided that the original scope and requirements of the tender are not substantially changed.

2. The procurement involves an exclusive right or a sole source of product or supply, a work of art, or a secret consultation which can be supplied only by a particular supplier and no suitable alternative or substitute exists.


3. In so far as is strictly necessary, the procurement cannot be executed in time through an open tendering procedure due to any emergencies brought about by unforeseeable events.


4. The procurement for subsequent repair or supply, replacement or extension of parts and components must be executed with the original suppliers to meet the requirements for compatibility or interchangeability with the existing subjects of procurement.


5. The subject of the procurement is a prototype or a first produced or supplied article for the purpose of research, experiments, or development.


6. The procurement involves any required additional construction work, in any unforeseeable circumstances, that was not included in the initial contract but was within the objectives of the original tender, and the contracts for the additional construction work and must be awarded to the original contractor to achieve the objectives of the initial contract since separation of the additional construction work from the initial contract would be difficult for technical or economic reasons and bring about significant inconvenience. However, the total value of the contract awarded for the additional construction work may not exceed 50 percent of the amount of the main contract.

7. The procurement involves a subsequent expansion and the period, value, or quantity of the expansion were indicted in the original tender notice and documentation.

8. The property is purchased on a centralized or an open and price competition market.


9. The procurement involves a contract for professional, technical, or information services awarded to the winner selected publicly and objectively.

10. The procurement involves a contract awarded to the winner of a design contest organized in an announced procedure and the winner is selected publicly and objectively.


11. Any leading natural or juridical person in a professional area or a leading academic or non-profit organization announced and screened as a winner is entrusted to conduct research and development of science, introduce technologies, be engaged in administration or academic studies and development.


12. The procurement of construction work, property, and service is executed in alignment with the requirements, features, special functions, or other expertises of NCKU's research or analytical plans.
13. Other procurements approved by the President.

(2) For a procurement up to an amount less than NT$ 1,000,000, the purchase requesting unit may, after the price investigation, buy from the supplier according to the approved requisition directly.

9. Open information:

Relevant information shall be made public on the NCKU website when organizing an open tendering and procurement project. The period of announcement lasts for 7 calendar days, in principle, and may be extended or shortened if appropriate. The same is applicable to the amendments of the announcement.

10. Inquiry and quotation:

(1) In addition to price negotiation, quotation shall be requested from more than one supplier for an R&D Procurement.

(2) In principle, inquiry or quotation shall be conducted in writing.

11. Tendering documentation:

(1) After receiving the request documentation from the purchase requesting unit, the purchasing unit shall confirm the quantity, item name, specifications, date of demand and if there are any special requirements. For the documentation with incomplete requesting materials, the purchasing unit may return it for correction.

(2) For the open tendering cases, the purchase requesting unit shall submit the relevant documents after approval such as the requisition or the submittal and price estimate, budget document, contract draft, supplier information and tender instructions. This documents shall be delivered to the purchasing unit for execution of the procurement.

(3) The qualification of foreign suppliers to submit a tender and the qualification documents that must be provided may be prescribed separately in the tender documentation if needed. A notarized or certified Chinese translation shall be attached to the qualification document as above required.


12. Determination of the price estimate:

The purchase requesting or purchasing unit shall provide the market price, previous purchase price, supplier’s quotation, and trading terms and conditions. The Vice President of General Affairs shall approve the price estimate of more than NT$ 1,000,000 and less than NT$5,000,000, while the Director of the Library shall approve the price estimate for the Library to purchase books and materials. A price estimate of more than NT$ 5,000,000 shall be approved by the President or his/her authorized person. The price estimate may be omitted if it is really difficult to make the decision.

13. Review:

(1) The purchasing unit reviews the qualification of the supplier.

(2) The purchase requesting unit may form a review team to examine qualified suppliers for their technique, management, commercial terms, contract performance history, construction work and the specifications, name, quantity of the property or the quality of the service, function, and price depending on the features of the procurement case and the actual need.

(3) The review team referred to in the previous paragraph shall comprise more than 5 members of NCKU's teachers, official staff members, appointed personnel or external experts.

(4) The review shall be documented and attached for reference.

14. Bid and guarantee bonds:

NCKU may specify that the supplier shall provide a bid bond, guarantee bond, or other securities and the conditions of forfeit or return of the bid or guarantee bond.

15. Contract awarding principles:

(1) The contract in a R&D Procurement is awarded pursuant to the following principles:

i. Where a price estimate is set for the procurement, the tenderers who are examined as qualified and submit the lowest tender or are examined as the suppliers of outperformance shall negotiate the price in sequence.

ii. Where no price estimate is set for the procurement, the tenderers who are examined as qualified or the suppliers of outperformance shall be awarded.

(2) Refer to the Government Procurement Act for the operation of the most advantageous tender and multiple awards.

16. Avoidance of interest:

(1) The procurement personnel shall recuse themselves from a procurement and all related matters thereof if they or their spouses, relatives by blood or by marriage within two degrees, or family members living together with them have interests involved therein.


(2) No teaching or administrative staff members shall be the responsible person, partner, or representative of the supplier , unless they are the representatives appointed or selected by the government entities or state-owned shareholders or retained by the government entities.

(3) Where the execution of the previous two paragraphs is disadvantageous to fair competition or public interest, it may be exempted after the exemption is reported to and approved by the subsidizing or entrusting agency.

17. Execution and retention of the procurement contract:

(1) A contract shall be entered into after awarding through price negotiation, price comparison, and tendering in a procurement case. The purchasing unit shall ask the purchase requesting unit to affix its signature to the draft of the contract and submit it to the Accounting Office for review, and then report it to the President or his/her designated person for approval. The draft of the contract shall be stamped and distributed to the supplier, purchase requesting unit, Accounting Office, and purchasing unit for retention and reference.

(2) The contract referred to in the previous paragraph shall contain such major points as the subject of the contract, payment terms, administration of contract performance, changes of the contract, examination and acceptance inspection, time frame of contract performance, rights and obligations, termination, revocation or suspension of the contract, settlement of disputes, and penalties.

18. Administration of contract performance:
(一) 履約期間應由請購單位善盡履約管理責任,對廠商各項申請作業,各業務單位應本於權責積極協助廠商解決。

(1) The purchasing requesting unit shall fulfill the obligation to administer contract performance during the implementation of the contract. All the units concerned shall, within their authority, proactively assist the supplier in solving problems with respect to their applications.

(2) The purchase requesting unit is responsible for examination and shall conduct examination, testing, or inspection with respect to contract performance during the implementation of the contract to control the progress of the fulfillment and the quality of the delivery.

(3) The purchase requesting unit may carry out the administration of contract performance by way of facsimile document review or on-site examination, testing, and inspection.

19. Acceptance inspection:

According to the Guidelines, the purchase requesting unit shall, within its authority, carry out the acceptance inspection for the procurement case at a value of less than NT$ 1,000,000. For the procurement of books and materials, the Director of the Library or his/her designated person shall be the chief inspection person and other competent personnel shall be designated to participate in the inspection. The Accounting Office is responsible for monitoring the inspection by reviewing documents. Any professional institutions or specialists who were involved in design or supervision of construction under commission may be requested to assist in the inspection. The acceptance inspection in other cases shall be subject to the Procurement Regulations of National Cheng Kung University.


20. Principles of usage and management:

The purchased equipment shall be used carefully. The user shall prepare a documented record indicating the status of use if the equipment has a value of more than NT$ 1,000,000.

21. Evaluation committee:

(1) An evaluation committee shall be formed to execute open evaluation. The purchase requesting or purchasing unit shall provide a list of recommended candidates.

(2) Refer to the relevant provisions of the Government Procurement Act for the regulations governing the organization of the evaluation committee and its review rules.

22. Retention of documents:

The purchasing unit shall retain all the procurement documents and relevant information for reference. In addition to the retention specified in the Accounting Act and other laws, the documents related to the procurement shall be duplicated as a backup for reference purposes. Procurement documents shall be retained for a period of 10 years from the date of acceptance inspection.

23. Settlement of disputes:

(1) The supplier who has a protest against any R&D Procurement case shall file such protest in writing.

(2) For the protest of the supplier during the tendering period, the purchasing unit shall gather the purchase requesting unit, Accounting Office, and other related units to find out the settlement methods. For a protest to the specifications, the purchase requesting unit shall take appropriate actions within 15 days from the next day of receiving the protest and inform the supplier about the result of the disposition in writing notifications.

(3) No protest beyond the time frame is accepted. The purchasing unit shall inform the supplier by letter. Though a protest is not accepted, the purchasing unit shall assess the fact indicated in the protest and withdraw or change the initial disposition or suspend the procurement procedure if it finds the protest justifiable.

(4) Where any protest is not completely dealt with at the tender opening, the purchasing unit shall ask the person in charge of the tender opening to reserve the state thereof (seal the tenders) and proceed after the clarification.

(5) Where the purchase requesting and purchasing units find, at its own discretion, the protest of the supplier is justifiable, the purchasing unit shall withdraw or change the initial result or suspend the procurement procedure and make it public, except for emergencies or public interest, or where the causes of protest are not likely to affect the procurement.

24. The Guidelines and any amendments thereto shall take effect upon approval at the administrative meeting.