SOAS, University of London
PROCUREMENT OF INTEGRATED FACILITIES MANAGEMENT
SERVICES (IFM)
Date: 8 September 2015
PRE-QUALIFICATION
QUESTIONNAIRE
(PQQ)
Contract Ref: SOAS 112
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Glossary
Authority
SOAS, University of London
CCS PQQ
The Crown Commercial Service Pre-Qualification
Questionnaire which is contained at Section 2 of
this PQQ.
PQQ
This Pre-Qualification Questionnaire which
includes Sections 1 and 2.
Process
The restricted procurement process being
followed by the Authority pursuant to the
Regulations, for the purpose of identifying a
contractor to carry out the Required Services.
Regulations
The Public Contracts Regulations 2015 (SI
2015/102)
Required Services
The integrated facilities management services as
set out in the OJEU Notice, on the Authority’s
website at
http://www.soas.ac.uk/purchasing/contractopportunities and on Business Link (Contracts
Finder) on the 8th September 2015 and as further
described in the procurement documents
available at the above website.
Response
The Supplier’s response containing all
information requested from the Supplier in this
PQQ.
You / Your / Supplier
Any organisation that has expressed an interest
in relation to this Process.
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Section 1
1.
Introduction
1.1.
This is a public procurement under the Regulations, utilising the restricted procedure described therein, for the purpose of procuring a contractor to provide the Required Services.
1.2.
This PQQ contains two sections. Section 1 contains terms, conditions and instructions
which are specific to this Process and the Required Services. Section 2 contains the
CCS PQQ. Additional project specific questions relating to technical and professional
ability, as permitted by the Regulations, are listed in Additional PQQ Modules A. For
ease of reference, details of the marking scheme/evaluation guidance for each question
have been inserted into the CCS PQQ at the end of each relevant question in a yellow
box.
1.3.
Suppliers’ attention is drawn particularly to the terms and conditions which Suppliers will
be deemed to accept by participating in any way in this Process (in paragraphs 4 and 5
of Section 1 and the terms and conditions contained in the CCS PQQ).
1.4.
This PQQ sets out the information which is required by the Authority in order to assess
the suitability of potential Suppliers to provide the Required Services in terms of their
technical knowledge and experience, capability/capacity, organisational and financial
standing within the parameters laid out in the Regulations. In assessing the Responses,
the Authority will be seeking evidence of Suppliers’ suitability to perform the Required
Services in terms of economic and financial standing and technical and professional ability. Qualification criteria will be a combination of both financial and non-financial factors
and will be in accordance with the Regulations and as set out in the CCS PQQ.
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2.
Introduction to SOAS, University of London
2.1
The Authority is the only Higher Education institution in Europe specialising in the study of
Asia, Africa and the Near and Middle East. Uniquely combining language scholarship,
disciplinary expertise and regional focus, it has the largest concentration in Europe of academic staff concerned with Africa, Asia and the Middle East.
2.2
The School was founded as the School of Oriental Studies in 1916, relocated to Russell
Square in 1941 and took its present title in 2014.
2.3
Over the last century the Authority has built a strong academic reputation throughout the
world and especially in Asia, Africa and the Middle East. It has outstanding facilities, both
scholarly and practical and is a global academic base and a crucial resource for London.
2.4
The Authority estate is located in Bloomsbury adjacent to Russell Square and consists of
the following buildings

The College Building (which includes the Philips Building) - dating to 1939 and 1973
form the core of the site. The Library and staff and student accommodation and facilities are housed in these buildings. The SOAS Library - recognised as a collection of
national importance - houses over 1.5 million items in more than 400 languages. It
has significant archival holdings and a growing network of electronic resources.

The Brunei Gallery - opened in 1995, provides academic accommodation and teaching space and gallery space open to the public.

Russell Square Terraces (the Faber Building & 21-22 Russell Square) - these buildings are refurbished Georgian townhouses which provide accommodation for foundation courses and the Language Centre.

Senate House North Block – is currently under refurbishment with completion due in
June 2016. The facility and will provide up-to-date facilities for research, teaching and
student social learning space as well as open plan office accommodation.
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3.
Introduction to the Services
3.1
The Authority is seeking an innovative Supplier with a strong customer focus who is able
to a deliver a range of integrated facilities management services (“IFM”) and will work collaboratively with the Authority, bringing innovative service solutions and embracing and
delivering continuous improvement.
3.2
The principal objectives of the contract for the Required Services will be to:
 Deliver value for money and integrated facilities management services and property
asset management services to the Authority’s estate of approximately 6 buildings (one
of which is currently under construction);
 Provide improved Management Information from best in class IT systems for the estate and ensure on-going statutory compliance with an enhanced audit trail and improved accountability for tracking service delivery performance;
 Provide a responsive frontline service in line with industry best practice;
 Evidence on-going workforce training and effective management.
3.3
Services required include but are not be limited to:

Hard Services to SFG 20 standards - Statutory compliance, Planned & Reactive
Maintenance (M&E), Planned & Reactive Maintenance (Internal & External Fabric),
BMS Operation / Management, Testing & Inspections, Fire Alarm Testing, Portable
Appliance Testing, Water Softening Treatment & Provision, UPS Maintenance,
Maintenance of PA Equipment, Reactive Maintenance (M&E), Reactive Maintenance
(Internal Fabric), Reactive Maintenance (Furniture), Reactive Maintenance (Signage),
Lift Entrapments, Locksmith Services, Re-lamping, Painting and Decorating, Technical Cleaning of voids, risers, ductwork, grills etc.

Project Delivery - Client Driven Small and Large Projects, Life-Cycle Replacement
Projects;

Grounds Maintenance - Salting / Gritting, Snow & Ice Clearance, Soft Landscaping
Maintenance, Arboriculture, Internal Planting / Xmas Trees, Leaf Clearance, Litter
picking;

Pest Control - Planned Pest Control Service, Reactive Pest Control Service

Cleaning - Routine Cleaning, Periodic Cleaning, Reactive Cleaning, Communication &
Equipment Room Cleaning, External Areas Cleaning, Washroom Consumables, Feminine Hygiene Disposal Service, External Window Cleaning, Internal Glazing Cleaning,
Graffiti & Stain Removal, External Fabric Cleaning, Barrier Mats (Provision);

WEEE waste, Landscaping Waste

Security Provision - Security Risk Assessments, Access Pass Management, Key
Holding, Lock and Unlock, Static Guarding, Internal patrols, Incident Management &
Reporting, Reactive Guarding, On-Site CCTV Recording / Non Static Monitoring, Security Systems
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
Front of House and Customer Services - Reception / Visitor Management Service,
Switchboard;

Mail & Logistics Services – Mailroom Management, Delivery & Collection Service between buildings, Loading Bay management, Goods in / out, Courier Booking

Space planning & Move Management - Minor Churn Service, Major Churn Service;

First Aid & Ergonomics - First Aider Provision, Defibrillator Equipment battery checks,
Hearing loop testing & maintenance

Wider FM 3rd party Contract Management Services - Project Management, Statutory
Compliance Surveys, Building Records Management.
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4.
4.1
Terms Supplementing the CCS PQQ terms
“Verification of Information Provided” – CCS PQQ Paragraph 7
The Authority will require the successful contractor at the very end of this Process, prior to
entering into the proposed contract for the Required Service, to supply evidence to support
its Response, so it is advisable that Suppliers ensure that such evidence can be made
available upon request should they be successful in this Process. The Authority reserves
the right to deselect a Supplier prior to any award of contract, in the event that evidence to
support the Supplier’s Response is not provided upon request at the relevant time.
Suppliers may be asked, at any time in this Process, to clarify parts of their Response or to
provide more detail.
4.2
“Taking Account of Bidders’ Past Performance” – CCS PQQ - after the section titled
Grounds for discretionary exclusion – Part 1 and before the section titled Grounds for discretionary exclusion – Part 2: Please note that the Certificate of Past Performance is set
out in Appendix 1 to this PQQ
4.3
Question 4 - “Grounds for discretionary exclusion – Part 2” – CCS PQQ. Guidance from
the Crown Commercial Service and Cabinet Office indicates that contracting authorities in
the wider public sector may choose to apply “Grounds for discretionary exclusion – Part 2”
to their procurements where they are over £5m in value. The Authority has chosen to apply
this discretionary ground for exclusion as a matter of good practice.
4.4
Question 6.4 of the CCS PQQ asks for Suppliers to provide their response in no more than
500 words. The Authority has amended this to be in no more than 800 words because the
Authority considers that Suppliers may wish to provide a fuller and more detailed account.
Suppliers will not be penalised for under-utilising the increased word count. Responses to
this question will be evaluated on the merits of their content, in accordance with the evaluation guidance.
4.5
Question 7 (Additional PQQ Modules) A.1 to A.5 are additional questions over and above
those in the CCS PQQ and are there to establish the technical and professional ability of
Suppliers to perform the Required Services and are in accordance with Regulation 60 of
the Regulations.
4.6
Question 7 (Additional PQQ Modules) B.1 (Insurance) of the CCS PQQ lists Public Liability
Insurance and Product Liability Insurance as separate insurances. The Authority requires
Suppliers to carry either a combined policy for Public & Product Liability Insurance of no
less than £25m or to hold separate policies for Public and Product Liability Insurance each
of which is for no less than £25million or to show that they can and will put either such alternative in place if selected to perform the contract. The Authority has been advised that
Public & Product Liability Insurance is a standard market product.
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4.7
Where the CCS PQQ refers to the following terms, they should be taken to mean the following in the context of this Process:
Term used in CCS PQQ
Meaning in this Process (as defined in the Glossary)
authority
the requirement
Authority
Required Services
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5.
Other Terms and Conditions
5.1
In submitting a response to this PQQ it will be implied that you accept all the provisions of
this PQQ including these conditions and the CCS PQQ conditions as supplemented.
5.2
Your PQQ is submitted on the basis that you consent to:
5.2.1
the Authority carrying out all necessary actions to verify the information that you have
provided;
5.2.2
the analysis of your responses being undertaken by a third party commissioned by the
Authority for such purposes; and
5.2.3
the Authority requesting further information from you as part of this verification process or to clarify any elements of your response that are not clear.
5.3
The Authority reserves the right to issue any query raised by you, and the Authority’s response to it, to all Suppliers unless you expressly require it to be kept confidential at the
time the query is raised. If the Authority considers the contents of the query not to be confidential, it will inform you and you will have the opportunity to withdraw the query.
5.4
The information contained in this PQQ and the supporting documents and in any related
written or oral communication is believed to be correct at the time of issue but the Authority
will not, subject to condition 5.17 below, have any liability for its accuracy, adequacy or
completeness and no warranty is given as such.
5.5
Should you not provide supplementary information or clarifications to the Authority by any
deadline notified to you, you may be disqualified.
5.6
By issuing this PQQ, the Authority is not bound in any way to enter into any contractual or
other arrangement with you or any other party.
5.7
It is intended that the remainder of this Process will take place in accordance with the provisions of this PQQ but the Authority reserves the right to terminate, amend or vary the procurement process by notice to all Suppliers in writing. Subject to condition 5.17 below, the
Authority will have no liability for any loss, expense, cost or liability caused to you or any
third party as a result of this.
5.8
Subject to condition 5.17 below, you will not be entitled to claim from the Authority any cost
or expense that you may incur in preparing your response, in providing any supplementary
information, or in clarifying information.
5.9
All information supplied to you by the Authority, either in writing or orally, must be treated in
confidence and not disclosed to any third party (save to your professional advisers) unless
the information is already in the public domain.
5.10 The Freedom of Information Act 2000 ("FOIA"), the Environmental Information Regulations
2004 ("EIR"), and public sector transparency policies may apply to the Authority (together
the "Disclosure Obligations").
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5.11 You should be aware of the Authority’s obligations and responsibilities under the Disclosure
Obligations to disclose information held by the Authority. Information provided by you in
connection with this procurement exercise, or with any contract that may be awarded as a
result of this Process, may therefore have to be disclosed by the Authority under the Disclosure Obligations, unless the Authority decides that one of the statutory exemptions under the FOIA or the EIR applies.
5.12 If you wish to designate information supplied as part of your Response or otherwise in connection with this Process as confidential, you must provide clear and specific detail as to
the precise elements which are considered confidential and/or commercially sensitive and
why you consider an exemption under the FOIA or EIR would apply and the time exemption
will apply. The use of blanket protective markings of whole documents such as "commercial
in confidence" will not be sufficient. By participating in this procurement you agree that the
Authority should not and will not be bound by any such markings.
5.13 In addition, marking any material as "confidential" or equivalent should not be taken to
mean that the Authority accepts any duty of confidentiality by virtue of such marking. You
accept that the decision as to which information will be disclosed is reserved to the Authority, notwithstanding any consultation with you or any designation of information as confidential you may have made. You agree, by submitting your Response, that all information is
provided to the Authority on the basis that it may be disclosed under the Disclosure Obligations if the Authority considers that it is required to do so.
5.14 The Authority reserves the right to disclose all documents relating to this Process for the
purpose of seeking advice from agents, giving advice as agents and where it is required to
publish the documents in accordance with disclosure requirements as required by the government's transparency guidelines.
5.15 Any attempt by you or your appointed advisers to inappropriately influence the Process in
any way will result in your Response being disqualified. Any direct or indirect canvassing,
price fixing or collusion by you or your appointed advisers in relation to this Process or any
attempt to obtain information from any of the employees or agents of the Authority concerning another Supplier may result in disqualification at the discretion of the Authority.
5.16 It is your responsibility to ensure that any consortium member, sub-contractor and adviser
abides by these conditions.
5.17 Nothing in this PQQ is intended to exclude or limit the liability of the Authority in relation to
fraud or in other circumstances where the Authority liability may not be limited under any
applicable law.
5.18 No information contained in this PQQ, or in any communication made between the Authority and any Supplier in connection with this PQQ, shall be relied upon as constituting a contract, agreement or representation that any contract shall be offered in accordance with this
PQQ. The Authority reserves the right, subject to the Regulations, to change without notice
the basis of, or the procedures for, the competitive tendering process or to terminate the
process at any time. Under no circumstances shall the Authority incur any liability in respect of this PQQ or any supporting documentation.
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5.19 Direct or indirect canvassing of any Authority employee by any potential bidder concerning
this requirement, or any attempt to procure information from any Authority employee concerning this PQQ may result in the disqualification of the Supplier from consideration for the
Required Service.
5.20 The Authority will not reimburse any costs incurred by potential suppliers in connection with
preparation and submission of their responses to this PQQ in any circumstances, including
without limitation in the event that the Authority decides to vary, re-start or abandon this
Process.
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6.
Pre-Qualification Process
6.1
The object of the pre-qualification process is to select a shortlist of Suppliers to proceed to
the next stage of the Process (tender stage). The intended outcome of this PQQ is to arrive at a shortlist of a minimum of 5 suitably qualified Suppliers for formal Invitation to Tender (ITT) to provide the Required Services. In the event that there are less than 5 suitably
qualified Suppliers, the Authority may take through the number (less than 5) of suitably
qualified Suppliers, provided that there is a sufficient number of Suppliers to ensure a genuine competition.
6.2
In the event of a tie between two or more Suppliers for 5th place, the Authority will take
through in 5th place the Supplier or Suppliers (in the event that the tied Suppliers are also
tied on marks for Question 6.4) scoring the highest mark for Question 6.4.
6.3
The estimated key stages for the remainder of the Process are set out in the table below
(although the Authority reserves the right in its absolute discretion to vary key dates).
6.4
Stage
Date
Deadline for submission of PQQ
clarifications by Suppliers
Authority issue final collated and
anonymised PQQ clarification requests
with the Authority’s responses
Deadline for submission of Responses
(the “PQQ Response Deadline”)
1/10/2015 by 1200 (Noon)
Evaluation of Responses and
notification of successful and
unsuccessful Suppliers
8/10/2015 to 4/11/2015
Tender and contract award stage of the
Process
10/11/2015 to 07/03/2016
Contract commencement
01/06/2016
2/10/2015 by 1200 (Noon)
8/10/2015 by 1200 (Noon)
You may submit, by no later than the date set out in the table above (as may be revised by
the Authority) any queries that you have or clarifications that you require relating to this
PQQ. Please submit such clarifications using the contact identified in the CCS PQQ. The
Authority reserves the right not to answer any clarifications received after this deadline. Any
clarifications should clearly reference the appropriate paragraph in this PQQ and, to the extent possible, should be aggregated rather than sent individually. As far as is reasonably
possible, the Authority will respond to all reasonable requests for clarification of any aspect
of this PQQ and supporting documents, if made before the above deadline. The Authority
will aim to provide its response to queries by the date set out in the table above.
6.5 Clarifications received will be anonymised, responded to, sent directly to the Suppliers
(the nominated contact) who have registered for updates and will be published at
http://www.soas.ac.uk/purchasing/contract-opportunities by the Authority. Suppliers
should therefore be mindful of the content of nature of clarifications and conditions
5.3 and 5.10-5.14 should be carefully read and considered before clarifications are
sent to the Authority.
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6.6
6.7
Your completed Response should arrive no later than 1200 Noon on the PQQ Response
Deadline. Your Response must be submitted in MS Word and sent by email to
soasifm@gardiner.com and in hard copy to:
Steven Gobby
Gardiner & Theobald LLP
10 South Crescent
London
WC1E 7BD
Your Response must comprise:

The completed CCS PQQ including Appendices;

The chosen method of demonstrating economic / financial standing from question
5.1 of the CCS PQQ;

Certificate of Performance;

Completed & signed Declaration (Section 8 of the PQQ)
6.8
The Authority reserves the right to reject any Response which is not received in full by the
PQQ Response Deadline.
6.9
You must complete all relevant parts of the Response in full and not exceed any maximum
word count stipulated. Suppliers must be concise, but the boxes in the Response may be
enlarged to fit the Supplier’s responses subject to any word limits given for any sections of
the completed Response. The Response template should not be changed in any way and
should be completed in full using the boxes provided. Unless the information in such annexes has been expressly requested by the Authority, such annexes will only be considered to the extent they are directly relevant to the particular response and are crossreferred to, and their relevance explained, in the main body of the relevant response contained within the Response and have not been expressly prohibited.
6.10 Clearly state, together with reasons, if a section is not applicable to you. Responses should
be in English, and should be concise and relevant.
6.11 On receipt of the Responses, the Authority will perform an evaluation of Responses in accordance with the Regulations and this PQQ, with a view to selecting a shortlist of a minimum of 5 Suppliers to invite to proceed to the next stage of the process. This evaluation
will take place in accordance with the evaluation methodology set out in paragraphs 7.2 to
7.3 below and using the PQQ Scoring Matrix.
6.12 The Authority shall have the right to disqualify you from the Process if you fail to complete
the relevant parts of the Response as required by this document. The Authority shall have
the right to disqualify you at any stage in the Process if it becomes aware of any omission
or misrepresentation in your Response or in the event that there are adverse material
changes to a position / information set out in any aspect of your Response. For the avoidance of doubt, as part of the contract award stage of this Process, the Authority may check
that there has not been any material changes to the information provided or the positions
outlined by a Supplier as part of this PQQ and in the event of any adverse material changes may disqualify a tenderer at that stage in accordance with this paragraph 6.10. Suppliers are reminded that the Authority must be immediately notified of any changes in the information provided in your Response so that a further assessment can be carried out by
applying the PQQ selection criteria to the new information provided. The Authority reserves
the right to deselect a Supplier/tenderer at any stage in the Process, based on an assessment of the updated information.
6.13 If a Supplier/tenderer is deselected at any stage in the Process, the Authority may (at its
discretion and depending upon timing of such deselection in relation to the Process) invite
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the next ranked Supplier to tender (or in the case of multiple deselections, the next ranked
Suppliers), or, the Authority may continue with less than 5 Suppliers/tenderers if there is not
a sufficient number of qualified Suppliers/tenderers.
6.14 Some questions in the CCS PQQ (including the additional project specific questions relating to technical and professional ability- Additional PQQ Modules A) require the Supplier to
self-certify the answer given. The Authority may seek evidence/proof from the successful
tenderer prior to contract award in relation to the self-certified questions it has responded to
in this PQQ. If you are unable to provide such proof you may be disqualified.
6.15 You have been asked to include a single point of contact in your organisation. The Authority shall not be responsible for contacting you through any route other than the nominated
contact. You must therefore undertake to notify the Authority of any changes relating to the
contact promptly.
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7.
Evaluation
7.1
The evaluation team will comprise members of staff from the Authority and its technical adviser Gardiner & Theobald LLP.
7.2
All PQQs will be evaluated in the following way:
7.2.1
Step 1 - All Responses will first be checked for completeness. Please ensure that you
compile a complete Response fully, as requested in this PQQ. Failure to do so may
result in you being disqualified from the Process, although the Authority reserves the
right to request clarification where there is a clear error or omission in a Supplier’s
Response. If a question does not apply to you please write N/A; if you do not know
the answer please write N/K. If you complete a question with N/K please explain why
this is the case. Disqualified Responses will not be considered further.
7.2.2
Step 2 - Responses which were not disqualified under Step 1 above will then be
checked against the stated pass/fail tests. Responses which fail any of the pass/fail
questions will not be considered further.
7.2.3
Step 3 - Responses which were not disqualified under Steps 1 or 2 above will then be
evaluated in accordance with the marking scheme/evaluation guidance which is set
out in full in the CCS PQQ yellow boxes and in the PQQ Scoring Matrix which has
been published with this PQQ.
7.3
For each scored question, the maximum weighted score will be awarded where the maximum marks are awarded. Where lower marks are awarded, the weighted score will be reduced proportionately. This is set out in the PQQ Scoring Matrix published with this PQQ.
7.4
Each Response will be scored individually by each evaluator and consensus scores will be
agreed through a moderation process chaired by the Authority’s technical adviser. Consensus scores will be determined on the basis of the evidence set out in the Responses.
7.5
Subject to paragraph 6.13 above, the 5 Suppliers with the Responses with the highest
weighted score will be invited to the next stage of the Process (tender).
7.6
The Authority, in evaluating Responses will have regard to the guidance published by the
Cabinet Office and Crown Commercial Service including but not limited to:

Public Contracts Regulations 2015 New requirements relating to Pre-Qualification Questionnaires to help businesses access Public Sector Contracts March 2015.
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Section 2
Standardised Pre-Qualification Questionnaire (PQQ)
Notes for completion
1. The “authority” means the public sector contracting authority, or anyone acting on behalf
of the contracting authority, that is seeking to invite suitable Suppliers to participate in this
procurement process.
2. “You”/ “Your” or “Supplier” means the body completing these questions i.e. the legal
entity seeking to be invited to the next stage of the procurement process and
responsible for the information provided. The ‘Supplier’ is intended to cover any
economic operator as defined by the Public Contracts Regulations 2015 and could be a
registered company; charitable organisation; Voluntary Community and Social Enterprise
(VCSE); Special Purpose Vehicle; or other form of entity.
3. This Pre-Qualification Questionnaire (PQQ) has been designed to assess the suitability of
a Supplier to deliver the authority’s contract requirement(s). If you are successful at this
stage of the procurement process, you will be selected for the subsequent award stage of
the process.
4. Please ensure that all questions are completed in full, and in the format requested. Failure
to do so may result in your submission being disqualified. If the question does not apply to
you, please state clearly ‘N/A’.
5. Should you need to provide additional Appendices in response to the questions, these
should be numbered clearly and listed as part of your declaration. A template for providing
additional information is provided at the end of this document.
6. Please return a completed version of this document to:
Named procurement officer
Name of contracting authority
Contact e-mail address
Postal address
Deadline for receipt of PQQ
(UK date and time)
Steven Gobby
SOAS, University of London
soasifm@gardiner.com
Gardiner & Theobald LLP
10 South Crescent
London
WC1E 7BD
8th October 2015
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Verification of Information Provided
7. Whilst reserving the right to request information at any time throughout the procurement
process, the authority may enable the Supplier to self-certify that there are no mandatory/
discretionary grounds for excluding their organisation. When requesting evidence that the
Supplier can meet the specified requirements (such as the questions in section 7 of this PQQ
relating to Technical and Professional Ability) the authority may only obtain such evidence after
the final tender evaluation decision i.e. from the winning Supplier only.
Sub-contracting arrangements
8. Where the Supplier proposes to use one or more sub-contractors to deliver some or all of the
contract requirements, a separate Appendix should be used to provide details of the proposed
bidding model that includes members of the supply chain, the percentage of work being
delivered by each sub-contractor and the key contract deliverables each sub-contractor will be
responsible for.
9. The authority recognises that arrangements in relation to sub-contracting may be subject
to future change, and may not be finalised until a later date. However, Suppliers should be
aware that where information provided to the authority indicates that sub-contractors are to
play a significant role in delivering key contract requirements, any changes to those subcontracting arrangements may affect the ability of the Supplier to proceed with the
procurement process or to provide the supplies and/or services required. Suppliers should
therefore notify the authority immediately of any change in the proposed sub-contractor
arrangements. The authority reserves the right to deselect the Supplier prior to any award of
contract, based on an assessment of the updated information.
Consortia arrangements
10. If the Supplier completing this PQQ is doing so as part of a proposed consortium, the
following information must be provided;
●
●
●
names of all consortium members;
the lead member of the consortium who will be contractually responsible for
delivery of the contract (if a separate legal entity is not being created); and
if the consortium is not proposing to form a legal entity, full details of
proposed arrangements within a separate Appendix.
11. Please note that the authority may require the consortium to assume a specific legal form if
awarded the contract, to the extent that a specific legal form is deemed by the authority as being
necessary for the satisfactory performance of the contract.
12. All members of the consortium will be required to provide the information required in all
sections of the PQQ as part of a single composite response to the authority i.e. each member of
the consortium is required to complete the form.
13. Where you are proposing to create a separate legal entity, such as a Special Purpose
Vehicle (SPV), you should provide details of the actual or proposed percentage shareholding of
the constituent members within the new legal entity in a separate Appendix.
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14. The authority recognises that arrangements in relation to a consortium bid may be subject to
future change. Suppliers should therefore respond on the basis of the arrangements as
currently envisaged. Suppliers are reminded that the authority must be immediately notified of
any changes, or proposed changes, in relation to the bidding model so that a further
assessment can be carried out by applying the selection criteria to the new information
provided. The authority reserves the right to deselect the Supplier prior to any award of contract,
based on an assessment of the updated information.
Confidentiality
15. When providing details of contracts in answering section 6 of this PQQ (Technical and
Professional Ability), the Supplier agrees to waive any contractual or other confidentiality
rights and obligations associated with these contracts.
16. The authority reserves the right to contact the named customer contact in section 6
regarding the contracts included in section 6. The named customer contact does not owe the
authority any duty of care or have any legal liability, except for any deceitful or maliciously
false statements of fact.
17. The authority confirms that it will keep confidential and will not disclose to any third
parties any information obtained from a named customer contact, other than to the Cabinet
Office and/or contracting authorities defined by the Public Contracts Regulations.
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1 - Supplier information
1.1 Supplier details
Answer
Full name of the Supplier
completing the PQQ
Registered company address
Registered company number
Registered charity number
Registered VAT number
Name of immediate parent
company
Name of ultimate parent company
Please mark ‘X’ in the relevant
box to indicate your trading status
Please mark ‘X’ in the relevant
boxes to indicate whether any of
the following classifications apply
to you
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i) a public limited
company
ii) a limited
company
iii) a limited liability
partnership
iv) other partnership
▢ Yes
▢ Yes
▢ Yes
▢ Yes
v) sole trader
▢ Yes
vi) other (please
specify)
▢ Yes
i)Voluntary,
Community and
Social Enterprise
(VCSE)
ii) Small or Medium
Enterprise (SME) 1
▢ Yes
iii) Sheltered
workshop
▢ Yes
iv) Public service
mutual
▢ Yes
▢ Yes
See EU definition of SME: http://ec.europa.eu/enterprise/policies/sme/facts-figures-analysis/sme-definition/
19
1.2 Bidding model
Please mark ‘X’ in the relevant box to indicate whether you are;
a)
Bidding as a Prime Contractor and will deliver 100% of
the key contract deliverables yourself
▢ Yes
b)
Bidding as a Prime Contractor and will use third
parties to deliver some of the services
▢ Yes
If yes, please provide details of your proposed bidding
model that includes members of the supply chain, the
percentage of work being delivered by each sub-contractor
and the key contract deliverables each sub-contractor will
be responsible for.
c)
Bidding as Prime Contractor but will operate as a
Managing Agent and will use third parties to deliver all of
the services
▢ Yes
If yes, please provide details of your proposed bidding
model that includes members of the supply chain, the
percentage of work being delivered by each sub-contractor
and the key contract deliverables each sub-contractor will
be responsible for.
d)
Bidding as a consortium but not proposing to create a
new legal entity.
▢ Yes
Consortium members
If yes, please include details of your consortium in the next
column and use a separate Appendix to explain the
alternative arrangements i.e. why a new legal entity is not
being created.
Lead member
Please note that the authority may require the consortium to
assume a specific legal form if awarded the contract, to the
extent that it is necessary for the satisfactory performance of
the contract.
e)
Bidding as a consortium and intend to create a Special
Purpose Vehicle (SPV).
▢ Yes
Consortium members
If yes, please include details of your consortium, current
lead member and intended SPV in the next column and
provide full details of the bidding model using a separate
Appendix.
20
Current lead member
Name of Special Purpose Vehicle
1.3 Contact details
Supplier contact details for enquiries about this PQQ
Name
Postal
address
Country
Phone
Mobile
E-mail
1.4 Licensing and registration (please mark ‘X’ in the relevant box)
1.4.1
Registration
with
professional body
▢ Yes
▢ No
a
If applicable, is your business
registered with the appropriate
trade
or
professional
register(s) in the EU member
state where it is established
(as set out in Annex XI of
directive 2014/24/EU) under
the conditions laid down by
that member state).
1.4.2
If Yes, please provide the registration number in
this box.
▢ Yes
▢ No
Is it a legal requirement in the
state where you are
established for you to be
licensed or a member of a
relevant organisation in order
to provide the requirement in
this procurement?
Section 1
Marking Scheme
Pass
If Yes, please provide additional details within this
box of what is required and confirmation that you
have complied with this.
Evaluation Guidance
You have provided the information requested or have responded with
N/A or N/K as appropriate. If N/K is inserted you have explained why
this is the case.
21
Section 1
Marking Scheme
Fail
Evaluation Guidance
The Authority has the discretion to disqualify you if you do not or
cannot provide the information above or have not responded with N/A
or N/K as appropriate or have not explained why N/K has been used.
2 - Grounds for mandatory exclusion
You will be excluded from the procurement process if there is evidence of convictions
relating to specific criminal offences including, but not limited to, bribery, corruption,
conspiracy, terrorism, fraud and money laundering, or if you have been the subject of a
binding legal decision which found a breach of legal obligations to pay tax or social security
obligations (except where this is disproportionate e.g. only minor amounts involved).
If you have answered “yes” to question 2.2 on the non-payment of taxes or social security
contributions, and have not paid or entered into a binding arrangement to pay the full
amount, you may still avoid exclusion if only minor tax or social security contributions are
unpaid or if you have not yet had time to fulfil your obligations since learning of the exact
amount due. If your organisation is in that position please provide details using a separate
Appendix. You may contact the authority for advice before completing this form.
2.1 Within the past five years, has your
organisation (or any member of your proposed
consortium, if applicable), Directors or partner or
any other person who has powers of
representation, decision or control been convicted
of any of the following offences?
(a) conspiracy within the meaning of section 1 or 1A
of the Criminal Law Act 1977 or article 9 or 9A of
the Criminal Attempts and Conspiracy (Northern
Ireland) Order 1983 where that conspiracy
relates to participation in a criminal organisation
as defined in Article 2 of Council Framework
Decision 2008/841/JHA on the fight against
organised crime;
(b) corruption within the meaning of section 1(2) of
the Public Bodies Corrupt Practices Act 1889 or
section 1 of the Prevention of Corruption Act
1906;
(c) the common law offence of bribery;
(d) bribery within the meaning of sections 1, 2 or 6
of the Bribery Act 2010; or section 113 of the
Representation of the People Act 1983;
22
Please indicate your answer
by marking ‘X’ in the relevant
box.
Yes
No
(e) any of the following offences, where the offence
relates to fraud affecting the European
Communities’ financial interests as defined by
Article 1 of the Convention on the protection of
the financial interests of the European
Communities:
(i) the offence of cheating the Revenue;
(ii) the offence of conspiracy to defraud;
(iii) fraud or theft within the meaning of the Theft Act
1968, the Theft Act (Northern Ireland) 1969, the Theft
Act 1978 or the Theft (Northern Ireland) Order 1978;
(iv) fraudulent trading within the meaning of section
458 of the Companies Act 1985, article 451 of the
Companies (Northern Ireland) Order 1986 or section
993 of the Companies Act 2006;
(v) fraudulent evasion within the meaning of section
170 of the Customs and Excise Management Act
1979 or section 72 of the Value Added Tax Act 1994;
(vi) an offence in connection with taxation in the
European Union within the meaning of section 71 of
the Criminal Justice Act 1993;
(vii) destroying, defacing or concealing of documents
or procuring the execution of a valuable security
within the meaning of section 20 of the Theft Act 1968
or section 19 of the Theft Act (Northern Ireland) 1969;
(viii) fraud within the meaning of section 2, 3 or 4 of
the Fraud Act 2006; or
(ix) the possession of articles for use in frauds within
the meaning of section 6 of the Fraud Act 2006, or
the making, adapting, supplying or offering to supply
articles for use in frauds within the meaning of section
7 of that Act;
(f) any offence listed—
(i) in section 41 of the Counter Terrorism Act 2008;
or
(ii) in Schedule 2 to that Act where the court has
determined that there is a terrorist connection;
23
(g) any offence under sections 44 to 46 of the
Serious Crime Act 2007 which relates to an
offence covered by subparagraph (f);
(h) money laundering within the meaning of sections
340(11) and 415 of the Proceeds of Crime Act
2002;
(i) an offence in connection with the proceeds of
criminal conduct within the meaning of section
93A, 93B or 93C of the Criminal Justice Act 1988
or article 45, 46 or 47 of the Proceeds of Crime
(Northern Ireland) Order 1996;
(j) an offence under section 4 of the Asylum and
Immigration (Treatment of Claimants etc.) Act
2004;
(k) an offence under section 59A of the Sexual
Offences Act 2003;
(l) an offence under section 71 of the Coroners and
Justice Act 2009
(m) an offence in connection with the proceeds of
drug trafficking within the meaning of section 49,
50 or 51 of the Drug Trafficking Act 1994; or
(n) any other offence within the meaning of Article
57(1) of the Public Contracts Directive—
(i) as defined by the law of any jurisdiction outside
England and Wales and Northern Ireland; or
(ii) created, after the day on which these Regulations
were made, in the law of England and Wales or
Northern Ireland.
24
Non-payment of taxes
2.2 Has it been established by a judicial or
administrative decision having final and binding
effect in accordance with the legal provisions of any
part of the United Kingdom or the legal provisions of
the country in which your organisation is established
(if outside the UK), that your organisation is in
breach of obligations related to the payment of tax or
social security contributions?
If you have answered Yes to this question, please use a
separate Appendix to provide further details. Please also
use this Appendix to confirm whether you have paid, or
have entered into a binding arrangement with a view to
paying, including, where applicable, any accrued interest
and/or fines?
Section 2
Marking Scheme
Evaluation Guidance
You have answered NO to all questions; or
Pass
Fail
You have answered NO to some and YES to one or more and have
included evidence of ‘self-cleaning’ which is acceptable to the
Authority against the relevant ground for exclusion at 2.1 or 2.2
(those questions to which you have answered YES).
You have answered YES to some or all of the questions and failed to
provide evidence of ‘self-cleaning’, which is acceptable to the
Authority, against the relevant ground for exclusion at 2.1 or 2.2 as
applicable (those questions to which you have answered YES).
3. Grounds for discretionary exclusion – Part 1
The authority may exclude any Supplier who answers ‘Yes’ in any of the following situations
set out in paragraphs (a) to (i);
3.1 Within the past three years, please indicate if any of
the following situations have applied, or currently apply,
to your organisation.
(a) your organisation has violated applicable obligations
25
Please indicate your
answer by marking ‘X’
in the relevant box.
Yes
No
referred to in regulation 56 (2) of the Public Contracts
Regulations 2015 in the fields of environmental, social
and labour law established by EU law, national law,
collective agreements or by the international
environmental, social and labour law provisions listed
in Annex X to the Public Contracts Directive as
amended from time to time;
(b) your organisation is bankrupt or is the subject of
insolvency or winding-up proceedings, where your
assets are being administered by a liquidator or by the
court, where it is in an arrangement with creditors,
where its business activities are suspended or it is in
any analogous situation arising from a similar
procedure under the laws and regulations of any State;
(c) your organisation is guilty of grave professional
misconduct, which renders its integrity questionable;
(d) your organisation has entered into agreements with
other economic operators aimed at distorting
competition;
(e) your organisation has a conflict of interest within the
meaning of regulation 24 of the Public Contracts
Regulations 2015 that cannot be effectively remedied
by other, less intrusive, measures;
(f) the prior involvement of your organisation in the
preparation of the procurement procedure has resulted
in a distortion of competition, as referred to in
regulation 41, that cannot be remedied by other, less
intrusive, measures;
(g) your organisation has shown significant or persistent
deficiencies in the performance of a substantive
requirement under a prior public contract, a prior
contract with a contracting entity, or a prior concession
contract, which led to early termination of that prior
contract, damages or other comparable sanctions;
(h) your organisation—
(i)
has been guilty of serious misrepresentation in
supplying the information required for the verification
of the absence of grounds for exclusion or the
fulfilment of the selection criteria; or
(ii)
has withheld such information or is not able to
submit supporting documents required under
26
regulation 59 of the Public Contracts Regulations
2015; or
(i) your organisation has undertaken to
(aa) unduly influence the decision-making process
of the contracting authority, or
(bb) obtain confidential information that may confer
upon your organisation undue advantages in the
procurement procedure; or
(j) your organisation has negligently provided misleading
information that may have a material influence on decisions
concerning exclusion, selection or award.
Section 3
Part 1
Marking Scheme
Evaluation Guidance
You have answered NO to all questions; or
Pass
Fail
You have answered NO to some and YES to one or more and have
included evidence of ‘self-cleaning’ which is acceptable to the
Authority against the relevant ground for exclusion at 3.1 (those
questions to which you have answered YES).
You have answered YES to some or all of the questions and failed to
provide evidence of ‘self-cleaning’, which is acceptable to the
Authority, against the relevant ground for exclusion at 3.1 as
applicable (those questions to which you have answered YES).
Conflicts of interest
In accordance with question 3.1 (e), the authority may exclude the Supplier if there is a
conflict of interest which cannot be effectively remedied. The concept of a conflict of interest
includes any situation where relevant staff members have, directly or indirectly, a financial,
economic or other personal interest which might be perceived to compromise their
impartiality and independence in the context of the procurement procedure.
Where there is any indication that a conflict of interest exists or may arise then it is the
responsibility of the Supplier to inform the authority, detailing the conflict in a separate
Appendix. Provided that it has been carried out in a transparent manner, routine pre-market
engagement carried out by the authority should not represent a conflict of interest for the
Supplier.
27
Taking Account of Bidders’ Past Performance
In accordance with question (g), the authority may assess the past performance of a
Supplier (through a Certificate of Performance provided by a Customer or other means of
evidence). The authority may take into account any failure to discharge obligations under the
previous principal relevant contracts of the Supplier completing this PQQ. The authority may
also assess whether specified minimum standards for reliability for such contracts are met.
In addition, the authority may re-assess reliability based on past performance at key stages
in the procurement process (i.e. Supplier selection, tender evaluation, contract award stage
etc.). Suppliers may also be asked to update the evidence they provide in this section to
reflect more recent performance on new or existing contracts (or to confirm that nothing has
changed).
‘Self-cleaning’
Any Supplier that answers ‘Yes’ to questions 2.1, 2.2 and 3.1 should provide sufficient
evidence, in a separate Appendix, that provides a summary of the circumstances and any
remedial action that has taken place subsequently and effectively “self cleans” the situation
referred to in that question. The Supplier has to demonstrate it has taken such remedial
action, to the satisfaction of the authority in each case.
If such evidence is considered by the authority (whose decision will be final) as sufficient, the
economic operator concerned shall be allowed to continue in the procurement process.
In order for the evidence referred to above to be sufficient, the Supplier shall, as a minimum,
prove that it has;
● paid or undertaken to pay compensation in respect of any damage
caused by the criminal offence or misconduct;
● clarified the facts and circumstances in a comprehensive manner by
actively collaborating with the investigating authorities; and
● taken concrete technical, organisational and personnel measures that are
appropriate to prevent further criminal offences or misconduct.
The measures taken by the Supplier shall be evaluated taking into account the gravity and
particular circumstances of the criminal offence or misconduct. Where the measures are
considered by the authority to be insufficient, the Supplier shall be given a statement of the
reasons for that decision.
4. Grounds for discretionary exclusion – Part 2
The authority reserves the right to use its discretion to exclude a Supplier where it can
demonstrate the Supplier’s non-payment of taxes/social security contributions where no
binding legal decision has been taken.
Please note that Section 4 relating to tax compliance only applies where the authority has
indicated that the contract is over £5million in value, and the authority is a Central
Government Department (including their Executive Agencies and Non-Departmental Public
Bodies).
28
“Occasion of Tax Non-Compliance” means:
(a)
any tax return of the Supplier submitted to a Relevant Tax Authority on or after 1
October 2012 is found to be incorrect as a result of:
1.
2.
a Relevant Tax Authority successfully challenging the Supplier under the
General Anti-Abuse Rule or the Halifax Abuse Principle or under any tax
rules or legislation that have an effect equivalent or similar to the General
Anti-Abuse Rule or the Halifax Abuse Principle;
the failure of an avoidance scheme which the Supplier was involved in, and
which was, or should have been, notified to a Relevant Tax Authority under
the DOTAS or any equivalent or similar regime; and/or
the Supplier’s tax affairs give rise on or after 1 April 2013 to a criminal conviction
in any jurisdiction for tax related offences which is not spent at the Effective Date
or to a penalty for civil fraud or evasion
(b)
From 1 April 2013 onwards, have any of your company’s tax returns submitted on or after
1 October 2012; (Please indicate your answer by marking ‘X’ in the relevant box).
4.1
4.2
Given rise to a criminal conviction for tax related offences which is
unspent, or to a civil penalty for fraud or evasion;
▢ Yes
Been found to be incorrect as a result of:
▢ Yes
▪ HMRC successfully challenging it under the General AntiAbuse Rule (GAAR) or the “Halifax” abuse principle; or
▢ No
▢ No
▪ A Tax Authority in a jurisdiction in which the legal entity is
established successfully challenging it under any tax
rules or legislation that have an effect equivalent or similar
to the GAAR or the “Halifax” abuse principle; or
▪ the failure of an avoidance scheme which the Supplier
was involved in and which was, or should have been,
notified under the Disclosure of Tax Avoidance Scheme
(DOTAS) or any equivalent or similar regime in a
jurisdiction in which the Supplier is established.
If answering “Yes” to either 4.1 or 4.2 above, the Supplier may provide details of any
mitigating factors that it considers relevant and that it wishes the authority to take into
consideration. This could include, for example:
●
Corrective action undertaken by the Supplier to date;
29
●
Planned corrective action to be taken;
●
Changes in personnel or ownership since the Occasion of Non-Compliance
(OONC); or
●
Changes in financial, accounting, audit or management procedures since the
OONC.
In order that the authority can consider any factors raised by the Supplier, the following
information should be provided:
Section 3
Part 2
Marking Scheme
●
A brief description of the occasion, the tax to which it applied, and
the type of “non-compliance” e.g. whether HMRC or the foreign
Tax Authority has challenged pursuant to the GAAR, the “Halifax”
abuse principle etc.
●
Where the OONC relates to a DOTAS, the number of the relevant
scheme.
●
The date of the original “non-compliance” and the date of any
judgement against the Supplier, or date when the return was
amended.
●
The level of any penalty or criminal conviction applied.
Evaluation Guidance
You have answered NO to all questions; or
Pass
Fail
You have answered NO to some and YES to one or more and have
included evidence of mitigating factors which are acceptable to the
Authority against the relevant ground for exclusion at 4.1 or 4.2
(those questions to which you have answered YES).
You have answered YES to some or all of the questions and failed to
provide evidence of mitigating factors, which are acceptable to the
Authority, against the relevant ground for exclusion at 4.1 or 4.2 as
applicable (those questions to which you have answered YES).
30
5 – Economic and Financial Standing
FINANCIAL INFORMATION
5.1
Please provide one of the following to demonstrate your economic/financial
standing;
Please indicate your answer with an ‘X’ in the relevant box.
(a) A copy of the audited accounts for the most recent two years
(b) A statement of the turnover, profit & loss account, current
liabilities and assets, and cash flow for the most recent year of
trading for this organisation
(c) A statement of the cash flow forecast for the current year and a
bank letter outlining the current cash and credit position
(d) Alternative means of demonstrating financial status if any of the
above are not available (e.g. Forecast of turnover for the current
year and a statement of funding provided by the owners and/or
the bank, charity accruals accounts or an alternative means of
demonstrating financial status).
5.2
5.3
Where the authority has specified a minimum level of economic and
financial standing and/or a minimum financial threshold within the ▢ Yes
evaluation criteria for this PQQ, please self-certify by answering ‘Yes’
or ‘No’ that you meet the requirements set out here.
▢ No
(a) Are you are part of a wider group (e.g. a subsidiary of a ▢ Yes
holding/parent company)?
If yes, please provide the name below:
▢
No
Name of the organisation
Relationship
to
the
completing the PQQ
Supplier
If yes, please provide Ultimate / parent company accounts if available.
If yes, would the Ultimate / parent company be willing to provide a
▢ Yes
guarantee if necessary?
▢ No
If no, would you be able to obtain a guarantee elsewhere (e.g from a ▢ Yes
bank?)
▢ No
31
Section 5.1(a)
Marking Scheme
Evaluation Guidance If a candidate chooses to submit a copy of its audited accounts
for the most recent two years
The Authority requires candidates to have turnover of at least £40m
in current prices. The Authority will not adjust for the effect of inflation
for figures that are greater than one year old because the Authority
considers this immaterial at a time of low CPI inflation. The minimum
financial threshold to achieve a “pass” will be:
Pass
Section 5.1(b)
Marking Scheme
1. Positive cash flow from operations over both years of the audited
accounts; and
2. Net reserves of at least 10% of turnover; and
3. A credit rating international score description of low risk or better
from a company such as Creditsafe Ltd (or the equivalent for the
jurisdiction of the Company/Organisation). For the avoidance of
doubt the Authority will obtain the credit report on all candidates
during the PQQ evaluation period. Candidates are not asked to
supply this.
Evaluation Guidance –
If a candidate chooses to submit a statement of the turnover,
profit & loss account, current liabilities and assets, and cash
flow for the most recent year of trading for this organisation
The Authority requires candidates to have turnover of at least £40m
in current prices. The Authority will not adjust for the effect of inflation
for figures that are greater than one year old because the Authority
considers this immaterial at a time of low CPI inflation. The minimum
financial threshold to achieve a “pass” will be:
Pass
1. Positive cash flow from operations of at least 1% of turnover (i.e,
£40m or more); and
2. Positive net current assets; and
3. Cash in bank equivalent to 30 days (or, e.g, £3.3m rounded at
£40m turnover) at the end of the Supplier’s reporting period; and
4. A credit rating international score description of low risk or better
from a company such as Creditsafe Ltd (or the equivalent for the
jurisdiction of the Company/Organisation). For the avoidance of
doubt the Authority will obtain the credit report on all candidates
during the PQQ evaluation period. Candidates are not asked to
supply this.
5. The reporting period must be no more than 3 months before the
deadline for the return of the PQQ response.
Supporting statements/endorsements required under 5.1(b):
1. The documents submitted in response to 5.1(b) must be endorsed
32
Section 5.1(b)
Marking Scheme
Evaluation Guidance –
If a candidate chooses to submit a statement of the turnover,
profit & loss account, current liabilities and assets, and cash
flow for the most recent year of trading for this organisation
by an International Federation of Accountants qualified
accountant/auditor; and
2. A statement from two Directors/Trustees should be included
confirming that their organisation is a going concern with adequate
resources to continue in operation for the foreseeable future.
Section 5.1(c)
Marking Scheme
Evaluation Guidance –
If a candidate chooses to submit a statement of the cash flow
forecast for the current year and a bank letter outlining the
current cash and credit position
The Authority requires candidates to have turnover of at least £40m
in current prices. The Authority will not adjust for the effect of inflation
for figures that are greater than one year old because the Authority
considers this immaterial at a time of low CPI inflation. The minimum
financial threshold to achieve a “pass” will be:
Pass
1. Positive cash flow from operations of at least 1% of turnover (i.e,
£40m or more); and
2. Cash in bank equivalent to 30 days (or, e.g, £3.3m rounded at
£40m turnover) at the end of the Supplier’s reporting period; and
3. A credit rating international score description of low risk or better
from a company such as Creditsafe Ltd (or the equivalent for the
jurisdiction of the Company/Organisation). For the avoidance of
doubt the Authority will obtain the credit report on all candidates
during the PQQ evaluation period. Candidates are not asked to
supply this.
4. The reporting period must be no more than 3 months before the
deadline for the return of the PQQ response.
Supporting statements/endorsements required under 5.1(c):
1. The document must be endorsed by an International Federation of
Accountants qualified accountant/auditor.
2. A statement from two Directors/Trustees should be included
confirming that their organisation is a going concern with adequate
resources to continue in operation for the foreseeable future
33
Section 5.1(d)
Marking Scheme
Evaluation Guidance –
If a candidate decides to demonstrate financial standing using
alternative means of demonstrating financial status if any of the
above are not available (e.g. Forecast of turnover for the current
year and a statement of funding provided by the owners and/or
the bank, charity accruals accounts or an alternative means of
demonstrating financial status)
The Authority requires candidates to have turnover of at least £40m
in current prices. The Authority will not adjust for the effect of inflation
for figures that are greater than one year old because the Authority
considers this immaterial at a time of low CPI inflation. The minimum
financial threshold to achieve a “pass” will be:
Pass
1. Positive cash flow from operations of at least 1% of turnover (i.e
£40m or more).
2. Cash in bank equivalent to 30 days (or, e.g, £3.3m rounded at
£40m turnover) at the end of the Supplier’s reporting period.
3. A credit rating international score description of low risk or better
from a company such as Creditsafe Ltd (or the equivalent for the
jurisdiction of the Company/Organisation). For the avoidance of
doubt the Authority will obtain the credit report on all candidates
during the PQQ evaluation period. Candidates are not asked to
supply this.
4. The reporting period must be no more than 3 months before the
deadline for the return of the PQQ response.
Supporting statements/endorsements required under 5.1(d):
1. The alternative means of demonstrating financial standing must be
endorsed by an International Federation of Accountants qualified
auditor.
2. A statement from two Directors/Trustees should be included
confirming that their organisation is a going concern with adequate
resources to continue in operation for the foreseeable future
Section 5.1(a), (b),
(c) & (d)
Marking Scheme
Fail
Evaluation Guidance
Information not provided in accordance with one of 5.1 (a), (b), (c) or
(d).
34
Section 5.2
Marking Scheme
Pass
Fail
Section 5.3
Marking Scheme
Evaluation Guidance
The stated minimum financial threshold has been met in relation to
the relevant means of demonstrating your economic/financial
standing (either 5.1(a), (b), (c) or (d)).
The stated minimum financial threshold has not been met in relation
to the relevant means of demonstrating your economic/financial
standing (either 5.1(a), (b), (c) or (d)).
Evaluation Guidance
You have answered YES to 5.3(a) and are prepared to provide a
guarantee from your ultimate / parent company; or
Pass
You have answered YES to 5.3(a) and are not prepared to provide a
guarantee from your ultimate / parent company but you are able and
prepared to obtain a guarantee elsewhere; or
You have answered NO to 5.3(a) and are able and prepared to
obtain a guarantee elsewhere.
You have answered YES to 5.3(a) but are not able and prepared to
provide a guarantee from your ultimate / parent company or obtain a
guarantee from elsewhere; or
Fail
You have answered NO to 5.3(a) and are not able to obtain a
guarantee from elsewhere.
The Authority will require (at the point of contract award) the successful tenderer to enter
into a guarantee or bond (depending upon availability) on the terms set out in the
contract documents.
35
6 – Technical and Professional Ability
Relevant experience and contract examples
6
Please provide details of up to three contracts, in any combination from either
the public or private sector, that are relevant to the authority’s requirement.
Contracts for supplies or services should have been performed during the past
three years. Works contracts may be from the past five years, and VCSEs may
include samples of grant funded work.
The named customer contact provided should be prepared to provide written
evidence to the authority to confirm the accuracy of the information provided
below.
Consortia bids should provide relevant examples of where the consortium has
delivered similar requirements; if this is not possible (e.g. the consortium is
newly formed or a Special Purpose Vehicle will be created for this contract)
then three separate examples should be provided between the principal
member(s) of the proposed consortium or Special Purpose Vehicle (three
examples are not required from each member).
Where the Supplier is a Special Purpose Vehicle, or a managing agent not
intending to be the main provider of the supplies or services, the information
requested should be provided in respect of the principal intended provider(s) or
sub-contractor(s) who will deliver the supplies and services.
Contract 1
6.1
Name of customer
organisation
6.2
Point of contact in
customer
organisation
Position in the
organisation
E-mail address
6.3
Contract start date
Contract
completion date
Estimated Contract
Value
6.4
In no more than
800 words, please
provide a brief
description of the
contract delivered
36
Contract 2
Contract 3
including evidence
as to your technical
capability in this
market.
37
6.5 If you cannot provide at least one example for questions 6.1 to 6.4, in no more than
800 words please provide an explanation for this e.g. your organisation is a new start-up.
38
Section 6
Marking Scheme
for Question 6.4
This question has a weighting of 50%
Evaluation Guidance
10 Marks
A response that provides three contract examples including evidence
of that is acceptable to the authority showing experience of:
 Delivering all the services in the authority’s specification;
 Managing primary TUPE transfers;
 Managing secondary TUPE transfers;
 Working collaboratively with customer organisations;
 Delivering services with strong customer focus; and
 Successfully implementing & delivering innovation and continuous improvement.
8 Marks
A response that provides three contract examples including evidence
of that is acceptable to the authority showing experience of:
 Delivering all the services in the authority’s specification;
 Managing primary TUPE transfers;
 Managing secondary TUPE transfers;
 Working collaboratively with customer organisations; and
 Delivering services with strong customer focus.
6 Marks
A response that provides three contract examples including evidence
of that is acceptable to the authority showing experience of:
 Delivering all the services in the authority’s specification;
 Managing primary TUPE transfers;
 Managing secondary TUPE transfers; and
 Delivering services with strong customer focus.
4 Marks
2 Marks
0 Marks
A response that provides three contract examples including evidence
of that is acceptable to the authority showing experience of:
 Delivering all the services in the authority’s specification;
 Managing primary TUPE transfers; and
 Managing secondary TUPE transfers.
A response that provides three contract examples including evidence
of that is acceptable to the authority showing experience of:
 Delivering all the services in the authority’s specification.
You have failed to provide a response to the Authority.
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7. Additional PQQ modules
Suppliers who self-certify that they meet the requirements for these additional modules
will be required to provide evidence of this if they are successful at contract award
stage. Please indicate your answer by marking ‘X’ in the relevant boxes.
A – Project specific questions to assess Technical and Professional Ability
Suppliers are required to provide evidence of having the necessary capacity and
capability to deliver the requirement.
In order to ensure that SMEs have a chance to demonstrate any experience relevant to
the current requirement, examples may be provided from:

Within their organisation (Suppliers may rely on the experience of personnel that they
intend to use to carry out the current requirement, even if that experience was gained
whilst working for a different organisation)
Other consortium members (where a consortium bid is being proposed)
Named sub-contractors (where sub-contractors are being used and their identity is
known at PQQ stage)


Suppliers should be aware that they may be asked to confirm at the Invitation to Tender
stage that there has been no material change to the skills, experience and resources
available to them since submitting their PQQ.
Q1
Provide a statement of the average annual manpower numbers of the Supplier for
the last 3 years (including consortium members or named sub-contractors where
appropriate) relevant to the carrying out of services similar to those required under
this contract.
Section 7A
Q1
Marking Scheme
4 Marks
2 marks
0 Marks
This question has a weighting of 5%
Evaluation Guidance
An average manpower of over 2000 for the last 3 years
An average manpower of between 1500 and 2000 for the last 3
years
An average manpower of less than 1500 for the last 3 years
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Q2
Provide a statement of the average annual number of managerial staff of the Supplier
including operational managers for the last 3 years (including consortium members or
named sub-contractors where appropriate) relevant to the carrying out of services
similar to those required under this contract.
Section 7A
Q2
Marking Scheme
4
2
0
Q3
This question has a weighting of 5%
Evaluation Guidance
An average number of managers of over 100 for the last 3 years
An average number of managers of between 75 and 100 for the
last 3 years
An average of less than 75 managers for the last 3 years
Please provide a description of the technical facilities and measures used by the
economic operator for ensuring quality.
Section 7A
Q3
Marking Scheme
This question has a weighting of 15%
Evaluation Guidance
4 Marks
You hold a UKAS accredited independent third party certificate
of compliance in accordance with BS EN ISO 9001 or
similar/equivalent.
2 Marks
You have a quality management system that does not meet BS
EN ISO 9001 or similar/equivalent.
0 Marks
You do not have a quality management system.
If the successful tenderer does not provide the relevant certificate at contract award stage
they may be disqualified.
Q4
Please provide an indication of the environmental management measures that you
will be able to apply if performing the Required Services.
Section 7A
Q4
Marking Scheme
This question has a weighting of 10%
Evaluation Guidance
4 Marks
You hold a UKAS accredited independent third party certificate
of compliance in accordance with BS EN ISO 14001 or
similar/equivalent.
2 Marks
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You have an environmental management system that does not
meet BS EN ISO 14001 or similar/equivalent
0 Marks
You do not have an environmental management system.
If the successful tenderer does not provide the relevant certificate at contract award stage
they may be disqualified.
Q5
Provide a description of the supply chain management and tracking systems that
your organisation will be able to apply if performing the Required Services.
Section 7A
Q5
Marking Scheme
10 Marks
8 Marks
6 Marks
This question has a weighting of 15%
Evaluation Guidance
You have provided evidence of a supply chain management
system with all the following features:
 An assessment system for the approval of subcontractors including checks of the technical competence and experience of your supply chain
 Checks into the economic and financial standing of your
supply chain
 Checks into the health, safety & environmental management systems used by your supply chain
 A system of quality control checks & audits in respect of
your supply chain
 Regular performance audits & meetings with your supply
chain
You have provided evidence of a supply chain management
system with all the following features:
 An assessment system for the approval of subcontractors including checks of the technical competence and experience of your supply chain
 Checks into the economic and financial standing of your
supply chain
 Checks into the health, safety & environmental management systems used by your supply chain
 A system of quality control checks & audits in respect of
your supply chain
You have provided evidence of a supply chain management
system with all the following features:
 An assessment system for the approval of subcontractors including checks of the technical competence and experience of your supply chain
 Checks into the economic and financial standing of your
supply chain
 Checks into the health, safety & environmental management systems used by your supply chain
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4 Marks
2 Marks
You have provided evidence of a supply chain management
system with all the following features:
 An assessment system for the approval of subcontractors including checks of the technical competence and experience of your supply chain
 Checks into the economic and financial standing of your
supply chain
You have provided evidence of a supply chain management
system with all the following features:
 An assessment system for the approval of subcontractors including checks of the technical competence and experience of your supply chain
0 Marks
You have failed to provide a response to the Authority.
If the successful tenderer does not provide a copy of your company’s supply chain
management system at contract award stage they may be disqualified.
B - Insurance
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Q1.
Please self-certify whether you already have, or can commit to obtain,
prior to the commencement of the contract, the levels of insurance
cover indicated below:
▢ Yes
▢ No
Employer’s (Compulsory) Liability Insurance = £10 million; and
Professional Indemnity Insurance = £5 million.
Public & Product Liability Insurance = £25 million; or
Public Liability Insurance = £25 million; and
Product Liability Insurance = £25 million
Note - Suppliers may hold either a joint Public & Product Liability
Insurance Policy or separate policies for Public Liability Insurance and
Product Liability Insurance
* It is a legal requirement that all companies hold Employer’s
(Compulsory) Liability Insurance of £5 million as a minimum. Please
note this requirement is not applicable to Sole Traders.
Section 7B
Q1
Marking Scheme
Pass
Evaluation Guidance
You have answered YES to the question and included
Insurance certification providing evidence of the required cover;
or
You have answered YES are to the question and are able to
commit to obtaining the required Insurance cover
Fail
You have answered NO to the question and you are unable to
commit to obtaining the required Insurance cover prior to
commencement of the contract.
If the successful tenderer does not provide proof of the required insurance cover at
contract award stage they may be disqualified.
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C – Compliance with equality legislation
For organisations working outside of the UK please refer to equivalent legislation in
the country that you are located.
Q1
In the last three years, has any finding of unlawful discrimination been
made against your organisation by an Employment Tribunal, an
Employment Appeal Tribunal or any other court (or in comparable
proceedings in any jurisdiction other than the UK)?
Section 7C
Q1
Marking Scheme
▢ Yes
▢ No
Evaluation Guidance
You have answered NO to Question 1; or
Pass
Fail
Q2
You have answered YES to Question 1 and have included
sufficient evidence that remedial action has taken place
subsequently,
by
collaborating
with
investigations/orders/findings, and taking concrete technical,
organisational and personnel steps to prevent recurrence of the
offence or misdeeds which is acceptable to the Authority.
You have answered YES to Question 1 but have not included
evidence sufficient to the Authority that concrete technical,
organisational and personnel steps have been taken to prevent
recurrence.
In the last three years, has your organisation had a complaint upheld ▢ Yes
following an investigation by the Equality and Human Rights
Commission or its predecessors (or a comparable body in any ▢ No
jurisdiction other than the UK), on grounds of alleged unlawful
discrimination?
If you have answered “yes” to one or both of the questions in this
module, please provide, as a separate Appendix, a summary of the
nature of the investigation and an explanation of the outcome of the
investigation to date.
If the investigation upheld the complaint against your organisation,
please use the Appendix to explain what action (if any) you have
taken to prevent unlawful discrimination from reoccurring.
You may be excluded if you are unable to demonstrate to the
authority’s satisfaction that appropriate remedial action has been
taken to prevent similar unlawful discrimination reoccurring.
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Section 7C
Q2
Marking Scheme
Evaluation Guidance
You have answered NO to Question 1; or
Pass
Fail
Q3
You have answered YES to Question 1 and have included
sufficient evidence that remedial action has taken place
subsequently,
by
collaborating
with
investigations/orders/findings, and taking concrete technical,
organisational and personnel steps to prevent recurrence of the
offence or misdeeds which is acceptable to the Authority.
You have answered YES to Question 1 but have not included
evidence sufficient to the Authority that concrete technical,
organisational and personnel steps have been taken to prevent
recurrence.
If you use sub-contractors, do you have processes in place to check
whether any of the above circumstances apply to these other
organisations?
▢ Yes
▢ No
▢ N/A
Section 7C
Q3
Marking Scheme
Evaluation Guidance
You have answered YES to Question 3; or
Pass
You have answered NO and you have included evidence
sufficient to the Authority that you will put in place such
processes if you are successful in being awarded the contract.
You have answered N/A to Question 3.
Fail
You have answered NO to question 3.
If the successful tenderer does not provide a copy of your company’s supply chain
management system at contract award stage they may be disqualified.
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D - Environmental Management
Q1
Has your organisation been convicted of breaching environmental
legislation, or had any notice served upon it, in the last three years by
any environmental regulator or authority (including local authority)?
▢ Yes
▢ No
If your answer to this question is “Yes”, please provide details in a
separate Appendix of the conviction or notice and details of any
remedial action or changes you have made as a result of conviction or
notices served.
The authority will not select bidder(s) that have been prosecuted or
served notice under environmental legislation in the last 3 years, unless
the authority is satisfied that appropriate remedial action has been
taken to prevent future occurrences/breaches.
Section 7D
Q1
Marking Scheme
Evaluation Guidance
You have answered NO to Question 1; or
Pass
Fail
Q2
You have answered YES to Question 1 and have included
sufficient evidence that remedial action has taken place
subsequently,
by
collaborating
with
investigations/orders/findings, and taking concrete technical,
organisational and personnel steps to prevent recurrence of the
offence or misdeeds which is acceptable to the Authority.
You have answered YES to Question 1 but have not included
evidence sufficient to the Authority that concrete technical,
organisational and personnel steps have been taken to prevent
recurrence.
If you use sub-contractors, do you have processes in place to check
whether any of these organisations have been convicted or had a notice
served upon them for infringement of environmental legislation?
▢ Yes
▢ No
▢ N/A
Section 7D
Q2
Marking Scheme
Evaluation Guidance
You have answered YES to Question 2 OR;
Pass
You have answered N/A to question 2 or;
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You have answered NO and you have included evidence
sufficient to the Authority that you will put in place such
processes if you are successful in being awarded the contract
Fail
You have answered NO to question 2.
If the successful tenderer does not provide a copy of your company’s supply chain
management system at contract award stage they may be disqualified.
E - Health and Safety
Q1
Please self-certify that your organisation has a Health and Safety Policy
that complies with current legislative requirements.
Section E
Q1
Marking Scheme
▢ Yes
▢ No
Evaluation Guidance
You have answered YES to question 1 or;
Pass
You have answered NO to question 1 and have 5 or less
employees and can commit to putting the required policy in
place as and when you exceed 5 employees.
You have answered NO to question 1 and have more than 5
employees; or
Fail
You have answered NO to question 1 and cannot commit to
putting the required policy in place as and when you exceed 5
employees.
If the successful tenderer does not provide your company’s Health & safety Policy at
contract award stage they may be disqualified.
Q2
Has your organisation or any of its Directors or Executive Officers been ▢ Yes
in receipt of enforcement/remedial orders in relation to the Health and
Safety Executive (or equivalent body) in the last 3 years?
▢ No
If your answer to this question was “Yes”, please provide details in a
separate Appendix of any enforcement/remedial orders served and give
details of any remedial action or changes to procedures you have made
as a result.
The authority will exclude bidder(s) that have been in receipt of
enforcement/remedial action orders unless the bidder(s) can
demonstrate to the authority’s satisfaction that appropriate remedial
action has been taken to prevent future occurrences or breaches.
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Section 7E
Q2
Marking Scheme
Evaluation Guidance
You have answered NO to Question 2; or
Pass
Fail
Q3
You have answered YES to Question 2 and have included
sufficient evidence that remedial action has taken place
subsequently,
by
collaborating
with
investigations/orders/findings, and taking concrete technical,
organisational and personnel steps to prevent recurrence of the
offence or misdeeds which is acceptable to the Authority.
You have answered YES to Question 2 but have not included
evidence sufficient to the Authority that concrete technical,
organisational and personnel steps have been taken to prevent
recurrence.
If you use sub-contractors, do you have processes in place to check ▢ Yes
whether any of the above circumstances apply to these other
organisations?
▢ No
Section E
Q3
Marking Scheme
Evaluation Guidance
You have answered YES or N/A to question 3 or;
Pass
Fail
You have answered NO and you have included evidence
sufficient to the Authority that you will put in place such
processes if you are successful in being awarded the contract
You have answered NO to question 3.
If the successful tenderer does not provide a copy of your company’s supply chain
management system at contract award stage they may be disqualified.
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8 - Declaration
I declare that to the best of my knowledge the answers submitted to these questions
are correct. I understand that the information will be used in the selection process to
assess my organisation’s suitability to be invited to participate further in this
procurement, and I am signing on behalf of......................... (Insert name of Supplier).
I understand that the authority may reject my submission if there is a failure to answer
all relevant questions fully or if I provide false/misleading information. I have provided a
full list of any Appendices used to provide additional information in response to
questions.
I also declare that there is no conflict of interest in relation to the authority’s
requirement.
The following appendices form part of our submission;
Section of PQQ
Appendix number
PQQ COMPLETED BY
8.1
Name
8.2
Role
in
organisation
8.3
Date
8.4
Signature
50
PQQ – Template for Appendices
Appendix Number PQQ section Question number -
51
Appendix 1: Certificate of Past Performance
Performance Certificate – Grounds for Discretionary Exclusion 3.1 (g)
Directions – to be completed and returned to Supplier and additional copy to be sent to
soasifm@gardiner.com
Performance Certificate under Procurement
Policy Note 04/15 as requested by:
[In-Scope Organisation issuing tender]
Performance Certificate under Procurement
Policy Note 04/15 as requested by:
[In-Scope Organisation issuing tender]
Name of Entity Providing Certificate:
Name of Entity Providing Certificate:
Performance Certificate - Contract Header Information
(details of the contract to be certified)
Name of Contract Customer ("Customer"):
[Registered Name]
Name of Contracted Supplier ("Supplier"):
[Registered Name]
Name of Contract Customer ("Customer"):
[Registered Name]
Name of Contracted Supplier ("Supplier"):
[Registered Name]
Person Submitting this Certificate - Contact Details
(with whom further queries, if any, can be raised)
Source Contact Name:
[Name of source authorised by entity
providing Certificate]
Source Contact Address:
[Authorised source business address]
Source Contact Name:
[Name of source authorised by entity
providing Certificate]
Source Contact Address:
[Authorised source business address]
Further Contract Detail
Description of the goods and/or services:
[Brief description max 50 words]
Consideration received:
[Monetary value or equivalent]
Description of the goods and/or services:
[Brief description max 50 words]
Consideration received:
[Monetary value or equivalent]
Performance (Please submit either Option A or B)
OPTION A:
We hereby certify that, to the best of our knowledge and belief, the Supplier has satisfactorily
supplied the goods and/or services described in the table above in accordance with the
Contract.
OR
OPTION B:
We are unable to certify that the Supplier has We are unable to certify that the Supplier has
satisfactorily supplied the goods and/or
satisfactorily supplied the goods and/or
services described in the table above in
services described in the table above in
accordance with the Contract for the
accordance with the Contract for the
following reasons:
following reasons:
By submitting this information ("Certificate") you are agreeing that it will be added to
the central database held by the CCS and may be made available to other Crown
bodies.
Liability of any Customer certifying
Whilst the information in this Certificate has been provided in good faith in the belief that it is
52
truthful and accurate, the Customer does not assume any responsibility or any liability nor
make any guarantee, representation or warranty as to the contents of this Certificate. The
Customer shall not be liable for and hereby excludes liability for any loss, damage (including
any special, exemplary, indirect, incidental, consequential damages, costs or associated
legal fees) that may be suffered as a result of use of the Certificate and its content, to the
fullest extent permitted by law. Nothing in this Certificate shall affect, or constitute a waiver
of, the Customer's rights or remedies in relation to the Contract.
Guidance for Entities providing Certificates
If you are unable to certify that the Supplier has satisfactorily supplied the goods and/or
services in accordance with the Contract, please provide the reason or reasons why
performance was not in accordance with the Contract. These may include the following or
other reasons:
1. delays in supplying the goods and/or services;
2. failures to supply all the goods and/or services in accordance with the scope set out in the
Contract;
3. failures to meet any service levels and/or supply the goods and/or services in accordance
with quality standards;
4. any other failure by the Supplier to comply with its obligations under the Contract.
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