Pre-Qualification Questionnaire (PQQ)
Extract Transform Load, Data Quality Management
and Assurance Software and Associated Services
Procurement contact – Stephen Green
Bank of England reference – SG/414
1
Contents
1 Terminology ..................................................................................................................................... 3
1.1 Purpose of this document .................................................................................................... 4
1.2 Requirement ......................................................................................................................... 5
1.3 Timetable and PQQ process ................................................................................................ 6
1.4 Instructions for completion ................................................................................................... 8
1.5 Terms and conditions for participating in this Process ........................................................ 9
1.6 Suitable Supplier Selection ................................................................................................ 11
1.7 Notes for Completion ......................................................................................................... 13
2 Pre- Qualification Questionnaire ................................................................................................... 15
2.1 Supplier information ........................................................................................................... 15
2.2 Grounds for Mandatory Exclusion ...................................................................................... 18
2.3 Grounds for Discretionary Exclusion .................................................................................. 22
2.4 Economic and Financial Standing ...................................................................................... 25
2.5 Technical and Professional Ability ..................................................................................... 26
2.6 Additional PQQ modules Project specific questions to assess Technical and Professional
Ability ........................................................................................................................................ 28
2.7 Declaration ........................................................................................................................ 32
2
1
Terminology
Bank
Means the Bank of England or anyone acting on behalf of the Bank that
is seeking to invite suitable Suppliers to participate in this Process.
You / Your / Supplier
Means the economic operator (as defined in the Regulations)
responding to this PQQ and means the legal entity seeking to be invited
to the next stage of the Process and who is responsible for the
information provided in this PQQ.
Consortium Members
All legal entities, including the Supplier, bidding as part of a consortium.
Contract
The contract which the Bank intends to enter into with the winning
Supplier at the conclusion of the Process in respect of the Project.
Evaluation Methodology
The methodology to be used by the Bank to assess the Suppliers’
Responses in relation to this PQQ as set out in this PQQ.
ITT
Means the invitation to tender provided with this PQQ which Suppliers
who have been successful at this PQQ stage shall be invited to
complete.
ITT Response
Means the Supplier’s response to the ITT.
Material Sub-Contractor
A sub-contractor that would be material to the delivery of the
Requirement and/or bring capabilities or experience that the Supplier is
seeking to rely on for any part of its Response.
OJEU
Official Journal of the European Union.
OJEU Contract Notice
The Bank’s notice in relation to the Project advertised in the OJEU.
PQQ
This pre-qualification questionnaire.
PQQ Declaration Form
The PQQ declaration form which must be completed by Suppliers in
submitting their Response to this PQQ.
PQQ Response Deadline
The deadline for submission of completed Responses as set out in this
PQQ.
PQQ Response Form
The form set out in this PQQ which must be completed and submitted
by Suppliers as part of their Response to this PQQ.
Process
The procurement process being followed for this Project.
Project
The project referred to on the front page of this PQQ.
Regulations
The Public Contracts Regulations 2015.
Requirement
The Bank’s requirement, as set out in the relevant OJEU Contract
Notice and section 1.2 of this PQQ
Response
All information requested from the Supplier including the PQQ
Response Form, references and all other supporting documents in
connection with this PQQ.
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1.1 Purpose of this document
The Bank is seeking a suitable Supplier to fulfil the Requirement set out in Section 1.2.
This PQQ has been designed to assess the suitability of a Supplier to deliver the Bank’s
Requirement. If you are successful at this stage of the Process, you will be selected for the
subsequent stage of the Process.
This PQQ relates to the procurement project advertised by the Bank in the Official Journal of the
European Union (OJEU) with the Bank’s file reference SG/414 noted in section IV.3.1 of the OJEU
Contract Notice. This PQQ is available to all parties who have an interest in tendering for the
Requirement.
At the conclusion of this this Process the Bank intends to award a contract for a period of up to eight
years.
4
1.2 Requirement
The successful supplier will need to supply and implement a solution to support the end-to-end
process for data quality management:

Take on data from the Bank's data collection platform

Conform and enrich that data

Validate the data

Matching, merging and de-duplication of data sets

Application of business rules to support basis plausibility checks such as those to reconcile
data or time series consistency
The solution will also need to support the assessment of data sets that are not systematically
ingested and validated through defined production collection processes. This profiling and discovery
capability should allow business users and technicians alike to independently analyse, explore and
measure datasets without dependency on specialist technical resources.
The solution will need to support the Bank's data governance processes and work with other parts of
the Bank’s Data infrastructure, such as Master Data Management and Analytical and Modelling
Systems. It will also need to provide extensive integration functionality to enable interoperability with
other third party tools and systems, including an integrated approach to the use of Reference Data
and Metadata.
The Data Quality Platform will need to provide the operational backbone for all of the Bank's
production Data Quality business solutions and as such will need to provide comprehensive
scheduling, data quality reporting and workflow functionality.
The Bank plans to leverage the above capabilities in order to establish a Data Quality Assurance
service and Data Quality Framework.
The Bank is looking for an enterprise-wide solution that enables the Bank to meet current and future
requirements including those arising from changes to financial regulation. It is also looking for a
solution that would enable a more federated approach to data quality that the Chief Data Office could
oversee centrally. With this in mind and in assessing data profiling solutions, the Bank is interested to
evaluate what other ‘self-service’ features the solution could provide.
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1.3 Timetable and PQQ process
The Bank is following the restricted procedure as detailed in Regulation 28 of the Regulations. This
Process is also subject to the terms and conditions of this PQQ.
Set out below is the proposed procurement timetable it is intended as a guide and, whilst the Bank
does not intend to depart from the timetable, it reserves the right to do so.
Stage
Date
Activity
Bank publishes OJEU notice,
4th April 2016
PQQ
PQQ, ITT
TBC
Clarification Meeting
TBC
Clarification Deadline
th
5 May 2016 (16:00)
PQQ Response Deadline
Evaluation of PQQ Response
6th May 2016 – 13th May 2016
Forms
Suppliers notified of results of
rd
23 May 2016
evaluation and successful
Suppliers invited to tender
TBC
Clarification Meeting
TBC
Clarification Deadline
th
27 June 2016 (16:00)
Tender Response Deadline
Begin evaluation of Suppliers ITT
th
28 June 2016
Responses
Bidder Presentation meetings
th
ITT
Week commencing 5 September 2016
th
th
14 September 2016 – 30 September 2016
Product assessments
Contract Award decision.
th
19 October 2016
Award
(time/dates to be confirmed)
Communicated to Suppliers
nd
2 January 2017
Intended Contract start date
The Bank does not intend to enter into detailed discussion of the Requirement at this stage. Suppliers
are responsible for analysing and reviewing all information provided in this PQQ and for forming their
own opinions, and should notify the Bank promptly of any perceived ambiguity, inconsistency or
omission in this PQQ and/or any of its associated documents and/or any information provided to you
as part of this Process.
6
Any questions about the PQQ or this Process should be submitted via the eTendering tool, Pro
Contract. Questions must be submitted by the PQQ Clarification Deadline set out above.
The Bank reserves the right to issue any question raised by you and the response, in a suitably
anonymous form, to all Suppliers, unless you expressly notify the Bank that you require it to be kept
confidential at the time the question is raised. If the Bank considers the contents of the question not
to be confidential, it will inform you and you will have the opportunity to withdraw the question prior to
the Bank responding to you and all other Suppliers.
Should you not provide supplementary information or clarifications to the Bank by any deadline
notified to you, you may be disqualified from the Process.
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1.4 Instructions for completion
The completed PQQ Response Form, PQQ Declaration Form and all supporting information
requested therein must be uploaded, and submitted on to the Bank e-Tendering tool, Pro Contract by
th
16:00 on 5 May 2016 (“PQQ Response Deadline”).
It is the responsibility of the Supplier to ensure that their completed PQQ Response Form and all
related documents are uploaded and submitted before the PQQ Response Deadline. Responses
received after the PQQ Response Deadline may be disregarded and the Bank reserves the right not
to evaluate any Response received after the PQQ Response Deadline. If you have any doubt
whatsoever as to the successful submission of you response, please contact the Pro Contract
helpdesk support@due-north.com.
Suppliers should answer all questions in English and as accurately and concisely as possible. Where
a question is not relevant to the Supplier’s organisation this should be indicated by stating “NA”, with
an explanation where this is required pursuant to the instructions in the PQQ Response Form.
Supporting information should be presented in the same order as, and should be referenced to, the
relevant question.
Failure to furnish the required information, make a satisfactory response to any question, supply
documentation referred to in responses within the specified timescale or fail to comply with any other
instructions contained in this PQQ (including the PQQ Response Form) may mean that an Supplier is
excluded from this Process and will not be invited to participate further.
PQQ Responses will be evaluated in accordance with section 1.6.
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.
Please provide your PQQ Response to:
Named procurement officer
Stephen Green
Name of contracting authority
Bank of England
Contact e-mail address
ProContract tender portal
Postal address
All responses must be uploaded to ProContract tender portal
Deadline for receipt of PQQ
16:00 on 5 May 2016
(UK
date
and
time)
th
PQQ
Response Deadline
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1.5Terms and conditions for participating in this Process
No information contained in this PQQ or in any communication made between the Bank 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 Bank reserves the
right to change the basis of, or the procedures for, the competitive tendering process or to terminate
the Process at any time.
Under no circumstances shall the Bank incur any liability in respect of this PQQ or any supporting
documentation nor for any loss whatsoever caused to Suppliers in relation thereto or as a result of
any termination, amendment or variation of this Process.
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 Bank will not have any liability
for its accuracy, adequacy or completeness and no warranty is given as such.
Nothing in this PQQ is intended to exclude or limit the liability of the Bank in relation to fraud or in
other circumstances where the Bank’s liability may not be excluded or limited under any applicable
law.
Suppliers who access this document, regardless of whether or not they respond, should treat all
information contained herein as confidential.
In addition, all further information supplied to you by the Bank, either in writing or orally, must also be
treated in confidence and not disclosed to any third party.
These restrictions shall not prohibit you from disclosing information to your professional advisers
involved in the preparation of your Response, nor shall the restrictions apply if the information is
already in the public domain.
Freedom of Information Act 2000 (“FOIA”), Environmental Information Regulations 2004 (“EIR”), and
public sector transparency policies (together the “Disclosure Obligations”).
You should be aware of the Bank’s obligations and responsibilities under the Disclosure Obligations
to disclose information held by the Bank.
Information provided by you in connection with the Process, or with any contract that may be awarded
as a result of this exercise, may therefore have to be disclosed by the Bank under the Disclosure
Obligations, unless the Bank decides that one of the statutory exemptions under the FOIA or the EIR
applies.
If you wish to designate information supplied as part of your Response or otherwise in connection with
this Process as confidential, you must indicate in your Response providing 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 frame within which you
consider an exemption will apply.
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The use of blanket protective markings of whole documents such as “commercial in confidence” will
not be sufficient. By participating in the Process you agree that the Bank should not and will not be
bound by any such markings.
In addition, marking any material as “confidential” or equivalent should not be taken to mean that the
Bank 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 Bank, 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 Bank on the basis that it
may be disclosed under the Disclosure Obligations if the Bank of England considers that it is required
to do so.
The Bank reserves the right to disclose all documents relating to this Process for the purpose of
seeking advice from third parties and where it is required to publish the documents in accordance with
disclosure requirements as required by the government’s transparency agenda and policies.
The successful Supplier may be required to procure that a parent company guarantee is provided
from its parent company. The parent company guarantee shall be in the form set out in the Contract
made available during this Process.
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1.6 Suitable Supplier Selection
1.6.1. The Bank may disqualify any Supplier who:
(a) Fails to provide a satisfactory response to any of the questions in the PQQ.
Unsatisfactory responses may include inadequately or incorrectly completed
questions or missing information.
(b) Obtains a “Fail” in any PQQ question evaluated on a “pass/fail” basis.
(c) Does not meet or exceed the minimum turnover threshold.
1.6.2. Suppliers’ PQQ Responses shall be scored in accordance with this Section 1.6 and the
scoring tables set out below the relevant questions. Some questions in this PQQ will not be
scored; these are identified as “Information only”.
1.6.3. Suppliers who do not provide an adequate response to PQQ question 2.6.4.1 shall not
be successful at this PQQ stage.
1.6.4. Suppliers who do not provide an adequate response to PQQ question 2.6.4.2 shall not
be successful at this PQQ stage.
1.6.5. Suppliers who do not provide an adequate response to PQQ question 2.6.5 shall not be
successful at this PQQ stage.
1.6.6 Suppliers who do not score at least 50 marks for those questions that are scored shall
not be successful at this PQQ stage.
1.6.7. Of the Suppliers that have not been disqualified (as set out above) and who provide
adequate responses to each of questions 2.6.4.1, 2.6.4.2 and 2.6.5 and who score not less
than 50 for those questions that are scored, the Bank will select between five and eight
Suppliers who score the highest as being successful at this PQQ stage.
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1.6.8. Suitable suppliers will be evaluated using the criteria and weighting below based on the
responses made to this PQQ.
CRITERIA
WEIGHTING %
Section 2.1
2.1.1 Supplier Details
Information only
2.1.2 Bidding Model
Information only
2.1.3 Contact Details
Information only
2.1.4 Licensing and Registration
Information only
Section 2.2
2.2.1 Criminal offences
Pass/Fail
2.2.2 Non-payment of taxes
Section 2.3
2.3.1 Discretionary questions
Pass/Fail
Section 2.4
2.4.1 Accounts
Information only
2.4.2 Minimum financial threshold
Supplier must meet or exceed the minimum threshold:
Yearly turnover of £4 million
2.4.3 Wider group
Information only
Section 2.5
2.5.1 - 2.5.5 Technical and Professional
Maximum Score 30 pts
Ability
Section 2.6
2.6.1 Insurance
2.6.1 = Information only
2.6.2 Consortia/Sub-Contracting
2.6.2 = Maximum Score 5 pts
2.6.3 Quality Control
2.6.3 = Maximum Score 5 pts
2.6.4.1-2.6.4.2 Capability
2.6.4.1 = Maximum Score 5 pts
2.6.5 Security
2.6.4.2 = Maximum Score 5 pts
2.6.5 = Maximum Score 5 pts
Section 2.7
2.7-1 – 2.7.4 Declaration
Supplier may be excluded from process if this section is
not completed.
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1.7 Notes for Completion
1.7.1. Verification of Information Provided
Whilst reserving the right to request information at any time throughout the Process, the Bank 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 2.5 of this PQQ relating to Technical and Professional Ability) the Bank may only
obtain such evidence after the final tender evaluation decision i.e. from the winning supplier only.
1.7.2. Sub-contracting arrangements
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.
The Bank 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 Bank indicates that sub-contractors are to play a significant role in
delivering key contract requirements, any changes to those sub-contracting 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 Bank immediately of any change in the
proposed sub-contractor arrangements. The Bank reserves the right to deselect the Supplier prior to
any award of contract, based on an assessment of the updated information.
The Bank reserves the right to take up references and/or raise other queries/request clarification or
further information in relation to any Material Sub-Contractor at any stage in the Process. By putting
forward a Material Sub-Contractor, the Supplier agrees to procure any such references, respond to
queries or provide information upon written request from the Bank.
1.7.3. Consortia arrangements
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.
13
Please note that the Bank 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 Bank as being necessary for the
satisfactory performance of the contract.
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 Bank i.e. each member of the consortium is required
to complete the form.
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.
The Bank 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 Bank 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 Bank reserves the right to deselect the Supplier prior to any
award of contract, based on an assessment of the updated information.
The Bank reserves the right to take up references and/or raise other queries/request clarification or
further information in relation to any Consortium Member at any stage in the Process. By putting
forward a Consortium Member, the Supplier agrees to procure any such references, respond to
queries or provide information upon written request from the Bank.
1.7.4. Confidentiality
When providing details of contracts in answering section 2.5 of this PQQ (Technical and Professional
Ability), the Supplier agrees to waive any contractual or other confidentiality rights and obligations
associated with these contracts.
The Bank reserves the right to contact the named customer contact in section 2.5 regarding the
contracts included in section 2.5. The named customer contact does not owe the Bank any duty of
care or have any legal liability, except for any deceitful or maliciously false statements of fact.
The Bank 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 Regulations.
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2 Pre- Qualification Questionnaire
2.1 Supplier information
2.1.1 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
i) a public limited company
▢ Yes
ii) a limited company
▢ Yes
iii) a limited liability
▢
Yes
iv) other partnership
▢
Yes
v) sole trader
▢
Yes
vi) other (please specify)
▢
Yes
i)Voluntary, Community
▢
Yes
▢
Yes
▢
Yes
Please mark ‘X’ in the
relevant box to indicate your
trading status
partnership
Please mark ‘X’ in the
and Social Enterprise
relevant boxes to indicate
(VCSE)
whether any of the following
ii) Small or Medium
classifications apply to you
Enterprise (SME)
1
iii) Sheltered workshop
1
See EU definition of SME: http://ec.europa.eu/enterprise/policies/sme/facts-figures-analysis/sme-definition/
15
iv) Public service mutual
▢
Yes
2.1.2 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
▢
Yes
▢
Yes
▢
Yes
▢
Yes
key contract deliverables yourself
b)
Bidding as a prime contractor and will use third parties to
deliver some of the services
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
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.
Consortium members
If yes, please include details of your consortium in the next column
and use a separate Appendix to explain the alternative
Lead member
arrangements i.e. why a new legal entity is not being created.
Please note that the Bank 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
▢
Yes
Purpose Vehicle (SPV).
Consortium members
If yes, please include details of your consortium, current lead
Current lead member
member and intended SPV in the next column and provide full
Name of Special Purpose
16
Vehicle
details of the bidding model using a separate Appendix.
2.1.3 Contact details
Supplier contact details for enquiries about this PQQ
Name
Postal
address
Country
Phone
Mobile
E-mail
2.1.4 Licensing and registration (please mark ‘X’ in the relevant box)
2.1.4.1
Registration with a professional
▢
Yes
body
▢
No
If applicable, is your business
registered with the appropriate
If Yes, please provide the registration number in
this box.
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).
2.1.4.2
Is it a legal requirement in the
state where you are established
▢
Yes
▢
No
for you to be licensed or a
member of a relevant organisation
in order to provide the
requirement in this procurement?
If Yes, please provide additional details within
this box of what is required and confirmation that
you have complied with this.
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2.2 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 2.2.2 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 Bank for advice
before completing this form.
2.2.1 Within the past five years, has your organisation or
Please indicate your answer
Directors or partner or any other person who has powers of
by marking ‘X’ in the relevant
representation, decision or control been convicted of any
box.
of the following offences?
Yes
(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;
(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
18
No
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;
(g) any offence under sections 44 to 46 of the Serious Crime
Act 2007 which relates to an offence covered by
19
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;
(ma) an offence under section 1,2 or 4 of the Modern Slavery Act;
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.
20
Non-payment of taxes
2.2.2 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?
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2.3 Grounds for Discretionary Exclusion
The Bank may exclude any Supplier who answers ‘Yes’ in any of the following situations set out in
paragraphs (a) to (i);
2.3.1 Within the past three years, please indicate if any of the
Please indicate your
following situations have applied, or currently apply, to your
answer by marking ‘X’ in
the relevant box.
organisation.
Yes
(a) your organisation has violated applicable obligations 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
22
No
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 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
(i) your organisation has negligently provided misleading
information that may have a material influence on decisions
concerning exclusion, selection or award.
Non-payment of taxes
2.3.2 Has your organisation breached its obligations relating to
the payment of taxes or social security contributions in
circumstances other than those you have set out at section
2.2.2 above.
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?
Conflicts of interest
In accordance with question 2.3.1 (e), the Bank 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 Bank, 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 Bank
should not represent a conflict of interest for the Supplier.
23
Taking Account of Bidders’ Past Performance
In accordance with question (g), the Bank may assess the past performance of a Supplier (through a
Certificate of Performance provided by a customer or other means of evidence). The Bank may take
into account any failure to discharge obligations under the previous principal relevant contracts of the
Supplier completing this PQQ. The Bank may also assess whether specified minimum standards for
reliability for such contracts are met.
In addition, the Bank 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 2.2.1, 2.2.2 2.3.1 or 2.3.2 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
Bank in each case.
If such evidence is considered by the Bank (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
Bank to be insufficient, the Supplier shall be given a statement of the reasons for that decision.
24
2.4 Economic and Financial Standing
FINANCIAL INFORMATION
2.4.1
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).
2.4.2
Where the Bank has specified a minimum level of economic and financial
▢ Yes
standing and/or a minimum financial threshold within the evaluation criteria
for this PQQ, please self-certify by answering ‘Yes’ or ‘No’ that you meet
▢ No
the requirements set out here.
2.4.3
(a) Are you are part of a wider group (e.g. a subsidiary of a
▢
Yes
holding/parent company)?
▢
No
▢
Yes
▢
No
If no, would you be able to obtain a guarantee elsewhere (e.g from a
▢
Yes
bank?)
▢
No
If yes, please provide the name below:
Name of the organisation
Relationship to the Supplier
completing the PQQ
If yes, please provide Ultimate / parent company accounts if available.
If yes, would the Ultimate / parent company be willing to provide a
guarantee if necessary?
25
2.5 Technical and Professional Ability
Relevant experience and contract examples
Please provide details of up to three contracts, in any combination from either the public
or private sector, that are relevant to the Bank’s Requirement. Contracts for services
should have been performed during the past three years.
The named customer contact provided should be prepared to provide written evidence to
the Bank 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
2.5.1
Name
of
customer
organisation
2.5.2
Point
of
contact
in
customer organisation
Position
in
the
organisation
E-mail address
2.5.3
Contract start date
Contract completion date
Estimated Contract Value
2.5.4
In no more than 1000
words, please provide a
brief description of the
contracts
delivered
including evidence as to
your technical capability in
26
Contract 2
Contract 3
this market.
2.5.5 If you cannot provide at least one example for questions 2.5.1 to 2.5.4, in no more than 500
words please provide an explanation for this e.g. your organisation is a new start-up.
Scoring Guidance
Score
Description
30
Supplier demonstrates excellent technical and professional ability.
24
Supplier demonstrates good technical and professional ability.
18
Supplier demonstrates adequate technical and professional ability.
12
Information complete, but does not meet the required technical and professional
ability.
6
Information complete, but is of wholly inadequate technical and professional ability.
0
Fails to provide sufficient information
27
2.6 Additional PQQ modules Project specific questions to assess Technical
and Professional Ability
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.
Further project specific questions relating to the technical and professional ability of the Supplier.
2.6.1 Insurance
1.
Please provide the level of insurance you hold (if any) for each of the
Information
following:
only (not to
be scored)
Employer’s (Compulsory) Liability Insurance = £x
Please
Public Liability Insurance = £x
replace x
Professional Indemnity Insurance = £x
with relevant
Product Liability Insurance = £x
level of
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.
2.6.2 Consortia and Sub-Contracting Arrangements
Consortia and Sub-Contracting: please tick the box which applies
a) The Supplier intends to deliver the Requirements itself with no Material
Sub-Contractors
b) The Supplier intends to use Material Sub-Contractors to deliver the
Requirements
c) The Supplier is bidding as consortium
If your answer is (a) please insert NA in response to question 2.6.2 below
If your answer is (b) or (c); or (b) and (c) please complete question 2.6.2 below
Your response must be no more than 500 words
28
2.6.2
Please give an outline of your approach and any policy regarding management of sub-
contractors/consortium arrangements and how issues/problems originating with the sub-contractor
or individual consortium member will be resolved.
Scoring Guidance
Score
5
4
3
2
1
0
Description
Supplier demonstrates excellent capability at managing sub-contractors/consortium
arrangements or has answered NA.
Supplier demonstrates good capability at managing sub-contractors/consortium
arrangements.
Supplier demonstrates adequate capability at managing sub-contractors/consortium
arrangements.
Information does not demonstrate adequate capability at managing subcontractors/consortium arrangements.
Information is incomplete and or is unable to demonstrate adequate capability at
managing sub-contractors/consortium arrangements.
Fails to provide sufficient information to demonstrate adequate capability at
managing sub-contractors/consortium arrangements.
2.6.3 Quality Control
1. Please provide details of your quality
assurance policy. You should include details of
any relevant accreditations your company
holds. These could be IS0 9001, or any other
equivalent standard. Please include a copy of
any certificate/s where appropriate.
Your response must be no more than 500
words excluding certificates.
29
Scoring Guidance
Score
Description
5
Potential provider demonstrates excellent capability.
4
Potential provider demonstrates good capability.
3
Potential provider demonstrates adequate capability.
2
Information complete, but does not demonstrate adequate capability.
1
Information complete, but is of wholly inadequate capability.
0
Fails to provide sufficient information
2.6.4 Capability
1. Please set out your capability to support the further development of products within your
portfolio, having particular reference to the Bank’s Requirement.
Scoring Guidance
Any Supplier that does not demonstrate at least an adequate capability to support further
development of products will not be successful at this PQQ stage.
Score
Description
5
Potential provider demonstrates excellent capability.
4
Potential provider demonstrates good capability.
3
Potential provider demonstrates adequate capability.
2
Information complete, but does not demonstrate adequate capability.
1
Information complete, but is of wholly inadequate capability.
0
Fails to provide sufficient information
2. Please describe your five year strategic plan for the products in your portfolio, having particular
reference to the Bank’s Requirement.
30
Scoring Guidance
Any Supplier that does not demonstrate at least an adequate five year strategic plan will not be
successful at this PQQ stage.
Score
Description
5
Potential provider demonstrates an excellent strategic plan.
4
Potential provider demonstrates a good strategic plan.
3
Potential provider demonstrates an adequate strategic plan.
2
Information complete, but does not demonstrate an adequate strategic plan.
1
Information complete, but is of a wholly inadequate strategic plan.
0
Fails to provide sufficient information
2.6.5 Security
Please provide describe your information management system, including detail of any ISO 27001
accreditation or equivalent.
Scoring Guidance
Any Supplier that does not demonstrate at least an adequate information management system will
not be successful at this PQQ stage.
Score
Description
5
Potential provider demonstrates an excellent information management system.
4
Potential provider demonstrates a good information management system.
3
Potential provider demonstrates an adequate information management system.
2
Information complete, but does not demonstrate an adequate information
management system
1
Information complete, but is of wholly inadequate information management system.
0
Fails to provide sufficient information
31
2.7 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 Bank 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 Bank’s requirement.
The following appendices form part of our submission;
Section of PQQ
Appendix number
PQQ COMPLETED BY
2.8.1
Name
2.8.2
Role in organisation
2.8.3
Date
2.8.4
Signature
32
PQQ – Template for Appendices
Appendix Number PQQ section Question number -
33