A.ORGANISATION PROFILE

NOTE TO ORGANISATION:
This section is required for information purposes only.

Please provide the following details:

1.Business name (or Consortium Name):

2.Registered or trading name if different:

3.Type of organisation (e.g. private limited company, partnership, sole trader, voluntary body):

4.Registered address:

5.Correspondence address if different from the above:

6.Address from which the Contract will be provided if different from the above:

7.Name of ultimate holding/parent company or subsidiary companies including addresses and an explanation of group structure and internal relationships:

8.Company Registration Number of ultimate holding/parent company or subsidiary companies:

9.If you have included details of an ultimate holding/parent company above would this company be willing to guarantee your contract performance and enter into any requisite legal documentation?

10. Indication of the principal areas of business activity of your organisation:

11.

Contact name:
Contact's position:
Contact's telephone number:
Contact's fax number:
Contact’s email address:
Company/ies registration number(s):
Charities or Housing Association (or other) registration number (if this applies) and name of registering body:
Place of registration:
Year established:
VAT number:

BGROUNDS FOR EXCLUSION

NOTE TO ORGANISATION:
Any questions not answered will be scored as a fail. Please ensure you complete the information relevant to your type of organisation in section B2.2.

GROUNDS FOR EXCLUSION from the Process

B1. MANDATORY GROUNDS

This section will be assessed on a pass / fail basis.

B1.1 CRIMINAL MATTERS

Please confirm that the applicant has no convictions under the circumstances set out in regulation 23(1) of the Public Contracts Regulations 2006 including ‘Conspiracy – participation in a criminal organisation, Corruption, Bribery or Fraud’
Confirmed YES NO
Criteria for Assessment
  • If confirmed yes – Pass
  • If answered no - Fail

B2. DISCRETIONARY GROUNDS

If an applicant cannot confirm any of the statements, the Authority reserves the right to disqualify the applicant from the process. Any question not answered will be scored as a fail.

Please confirm the following statements or give details if you cannot confirm them.

The details you give must be clear and sufficient to allow the Council to make a judgement against the criteria for assessment.

B2.1 CONFLICT OF INTEREST

Please confirm that there are no conflicts of interest in respect of any relatives or any relevant person associated with the applicant who is employed by the Council and linked in any way to this contract (no matter how senior their role) or who is a councillor within the Council.
I/We have no conflict of interest A conflict of interest exists
If Conflict of Interest exists (provide details)
Criteria for Assessment
  • If confirmed no conflict of interest – Pass
  • If conflicts of interest identified: -
Assess the extent to which this affects their technical ability/ capacity to provide the services, and the potential level of risk this poses to the project.

B2.2 INSOLVENCY INFORMATION

B2.2.1 For Sole Traders and Partnerships (LLP), Industrial & Provident Societies & any other form of company not covered in the next part:

Please confirm for the business and each individual as a partner in the business that:

a) No bankruptcy order has been made or is being applied for;
Confirmed YES NO
If no (provide details)
Criteria for Assessment
  • If Confirmed Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Assess the extent to which this:
-has an adverse impact on the solvency and financial strength of the Candidate.
-affects their technical ability to provide the work or services.
b) Please confirm that a court is not administering the business affairs or is being requested to do so;
Confirmed YES NO
If no (provide details)
Criteria for Assessment
  • If Confirmed Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Assess the extent to which this:
-has an adverse impact on the solvency and financial strength of the Candidate.
-affects their technical ability to provide the work or services.

If you answered the above questions, please move to b) below (2.2.2):

B2.2.2 For private and public limited companies (including companies limited by guarantee), Unlimited Companies and Community Interest Companies:

Please confirm that:

a) The affairs of the business have not been wound up or are subject to winding up proceedings;
Confirmed YES NO
If no (provide details)
Criteria for Assessment
  • If Confirmed Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Assess the extent to which this:
-has an adverse impact on the solvency and financial strength of the Candidate.
-affects their technical ability to provide the work or services.
b) Please confirm that no offences have been committed in relation to the business. When answering this query please ensure that you consider any prosecutions under The Health and Safety at Work Act 1974, race, sex and age discrimination related legislation.
Confirmed YES NO
If no (provide details)
Criteria for Assessment
  • If Confirmed Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Assess the extent to which this:
-has an adverse impact on the solvency and financial strength of the Candidate.
-affects their technical ability to provide the work or services.

If you answered the above questions, please move to c)

B2.2.3 For all companies to complete:

c) Please confirm that no composition or arrangement has been entered into for the benefit of creditors or has been requested;
Confirmed YES NO
If no (provide details)
Criteria for Assessment
  • If Confirmed Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Assess the extent to which this:
-has an adverse impact on the solvency and financial strength of the Candidate.
-affects their technical ability to provide the work or services.
d) Please confirm that business activities are continuing and have not been suspended;
Confirmed YES NO
If no (provide details)
Criteria for Assessment
  • If Confirmed Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Assess the extent to which this:
-has an adverse impact on the solvency and financial strength of the Candidate.
-affects their technical ability to provide the work or services.
e) Please confirm that no similar situation (as per ‘c’ and ‘d’ above) has arisen or is arising under any national laws of an EU member state.
Confirmed YES NO
If no (provide details)
Criteria for Assessment
  • If Confirmed Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Assess the extent to which this:
-has an adverse impact on the solvency and financial strength of the Candidate.
-affects their technical ability to provide the work or services.

B2.3 PROFESSIONAL CONDUCT INFORMATION

Please confirm that:

No offence concerning professional conduct has been committed in relation to the business.
Confirmed YES NO
If no (provide details)
Criteria for Assessment
  • If Confirmed Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Taking into account the severity of the discrepancy and any remedial action taken, assess the extent to which this affects their technical ability to provide the works or services

B2.4 SOCIAL SECURITY AND TAXATION INFORMATION

Please confirm that:

a) All social security contributions have been met; and
Confirmed YES NO
If no (provide details)
Criteria for Assessment
  • If Confirmed Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Taking into account the severity of the discrepancy and any remedial action taken, assess the extent to which this affects their technical ability to provide the works or services
b) Please confirm that all necessary taxation payments have been made in any EU member state in which the business is or was liable to make social security or taxation payments.
Confirmed YES NO
If no (provide details)
Criteria for Assessment
  • If Confirmed Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Taking into account the severity of the discrepancy and any remedial action taken, assess the extent to which this affects their technical ability to provide the works or services

B2.5 LITIGATION

Please confirm that:

Your organisation has no outstanding claims or had litigation against it in the last 3 years?
Confirmed YES NO
If no (provide details)
Criteria for Assessment
  • If Confirmed Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
-Assess the extent to which this has an adverse impact on the solvency and financial strength of the Candidate.
-Taking into account the severity of the claim/ discrepancy and any remedial action taken, assess the extent to which this affects their technical ability to provide the work or services.

C.INSURANCE

NOTE TO ORGANISATION:
This section will be evaluated on a pass/fail basis.
Confirmed
Public liability £10 million
(in respect of any one claim) / YES NO
Employers liability £5 million / YES NO
Product Liability £2 million
(in respect of any one claim) / YES NO

Your Organisation should have this level of insurance in place at the time of tender or agree to obtain it, should your Organisation be successful.

YOUR SUBMISSION WILL BE REJECTED IF YOU ARE NOT PREPARED TO COMPLY WITH THIS REQUIREMENT

Please Note: Copy Certification of the required minimum levels of insurance cover will be a requirement to be satisfied prior to the entering into the contract.

1 / The organisation has the relevant levels of insurance in place at time of tender? / Yes No
2 / The organisation agrees to obtain relevant levels of insurance, should the organisation be successful. / Yes No

D.FINANCIAL INFORMATION

NOTES TO ORGANISATION:
  1. This section will be evaluated on a pass/fail basis.
  2. We may seek evidence relating to the questions below, if required and we reserve the right to use the services of an independent third party to assess your financial standing/appraisal.
  3. Where the organisation is a subsidiary of a group all questions must be answered for both the subsidiary and the ultimate parent.
  4. Where document is being submitted as a consortium, the information is required for each member organisation

1.Has your organisation met the terms of its banking facilities and loan agreements (if any) during the past year?

YES NO

If the answer to the above question is no, what were the reasons, and what has been done to put things right?

Criteria for Assessment
  • If Confirmed Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Taking into account the severity of the discrepancy and any remedial action taken, assess the extent to which this affects their ability to provide the works or services

2.Has your organisation met all its obligations to pay its creditors and employees during the past year?

YES NO

If the answer to the above question is no, please explain why not:

Criteria for Assessment
  • If Confirmed Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Taking into account the severity of the discrepancy and any remedial action taken, assess the extent to which this affects their ability to provide the works or services

3.What is the name and branch of your bankers who could provide a reference?

Name
Branch
Contact Details

PLEASE NOTE: ALL COMPANIES WILL FIT UNDER THE DESCRIPTION FOR EITHER QUESTION NO 4.1 OR 4.2. IF YOU ARE UNCLEAR, PLEASE RAISE A CLARIFICATION QUESTION VIA THE CHEST.

4.1For private and public limited companies (including companies limited by guarantee), Unlimited Companies and Community Interest Companies:

*4.1.1Please provide an up to date Comprehensive Credit Report for your company from any of the listed providers. If a report is not submitted with this PQQ, it will be considered a fail and will not be considered further. If your credit rating is outside the listed parameters it will also be considered a fail.

Credit reports accepted from the following companies:

Dun & Bradstreet acceptable rating: 1 to 3

Equifax acceptable rating: A+ to D-

UK Data Ltd acceptable rating: 100 to 30

Check Sure acceptable rating: 100 to 41

Check That Company acceptable rating: 100 to 36

Credit Assist acceptable rating: 100 to 31

SUPPLIED: YES NO

*4.1.2If you have been trading for less than 2 years and a credit report is not available, please provide a copy of your Profit & Loss Accounts and cash flow since incorporation.

SUPPLIED: YES NO N/A

4.1.3If or when asked, would you provide the following?

A copy of your most recent accounts, audited if applicable (for the last two years if this applies)

A statement of your turnover, profit & loss account and cash flow for the most recent year of trading

A statement of your cash flow forecast for the current year and a bank letter outlining the current cash and credit position

YES NO

If you are not able or willing to supply the documents requested, it will be considered a fail and your submission will not be considered further.

4.2For Sole Traders and Partnerships (LLP), Industrial & Provident Societies & any other form of company not covered in 4.1:

*4.2.1Please provide a copy of your last 2 years Profit & Loss Accounts and Cash Flow.

SUPPLIED: YES NO

If the answer to the above question is no, please explain why not:

Criteria for Assessment
  • If Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Taking into account the severity of the discrepancy, assess the extent to which this affects their ability to provide the works or services

4.2.2If asked, would you be able and willing to provide the following?

A copy of your most recent accounts, audited if applicable (for the last two years if this applies)

A statement of your cash flow forecast for the current year and a bank letter outlining the current cash and credit position

YES NO

If you are not able or willing to supply the documents requested, it will be considered a fail and your submission will not be considered further.

E.HEALTH AND SAFETY

NOTE TO ORGANISATION:
This section will be evaluated on a pass/fail basis

THIS IS OUR ORGANISATION’S COMMITMENT TO HEALTH AND SAFETY:

To provide adequate control of the health, safety and welfare risks arising from our work activities which may affect workforce or others

Where required by law, to adopt a H&S Policy Statement and publish to employees

To consult with our workforce on matters affecting health and safety

To provide and maintain safe plant and equipment

To ensure safe handling and use of substances

To provide information, instruction and supervision for workforce

To ensure all workforce are competent to do their tasks, and to give them adequate training

To prevent accidents and cases of work related ill health

To maintain safe and healthy working conditions

To ensure sufficient funds are available to implement this statement; and;

To review and revise this statement as necessary at regular intervals not exceeding 12 months.

Declaration: In submitting this completed PQQ, I/we agree to ensure that our entire workforce will comply with all relevant health and safety legislation, as well as any instructions from the Authority, whilst our organisation undertakes any work on behalf of the Authority.

YES NO

If the answer to the above question is no, please explain why not:

Criteria for Assessment
  • If Yes – Pass
  • If answered no but no details provided – Fail
  • If answered no and full details given: -
Taking into account the severity of the discrepancy, assess the extent to which this affects their ability to provide the works or services

F.EQUALITIES AND CORPORATE REQUIREMENTS

NOTES TO ORGANISATION:
  • This section will be evaluated on a pass/fail basis
  • We will seek evidence relating to the questions below, if required

1. a) Does your organisation comply with its legal obligations relating to the following?

Equalities Act 2010 / YES NO
Human Rights Act 1998 / YES NO
NOTE TO ORGANISATION:
You must keep up to date with relevant changes in legislation.

1. b) Does your organisation have the following Policy in place?

(Safer) Recruitment Policy / YES NO
Equal Opportunities Policy / YES NO
Training Policy / YES NO
Complaints Handling Policy / YES NO
Quality Assurance Policy / YES NO
Equality and Diversity Policy / YES NO
Safeguarding Policy / YES NO
Environmental & Sustainability Policy / YES NO
Criteria for Assessment
  • If Yes – Pass
  • If answered no – Fail
(Please note in respect of your Safeguarding Policy, this must be in line with the Children’s Act 1989 and the Children’s Act 2004)
  1. In the last three years has any finding of unlawful discrimination been made against your organisation by any court or industrial or employment tribunal?

YES NO

If the answer to the above question is yes, please explain:

What actions were you required to take as a result of that finding or investigation?
If you were required to take action, what action did you take and did the action taken satisfy the relevant organisation?
If you were required to take action and no action was taken, please explain why not?
Criteria for Assessment
  • If No – Pass
  • If answered yes, but full details not provided – Fail
  • If answered yes and full details given: -
Taking into account the severity of the discrepancy, assess the extent to which this affects their ability to provide the works or services
  1. In the last three years has your organisation been the subject of a formal investigation on grounds of alleged unlawful discrimination by, for example, the Commission for Racial Equality (CRE), Disability Rights Commission (DRC), Equal Opportunities Commission (EOC) or Equality and Human Rights Commission (EHRC)?

YES NO

If the answer to the above question is yes, please explain:

What actions were you required to take as a result of that finding or investigation?
If you were required to take action, what action did you take and did the action taken satisfy the relevant organisation?
If you were required to take action and no action was taken, please explain why not?
Criteria for Assessment
  • If No – Pass
  • If answered yes, but full details not provided – Fail
  • If answered yes and full details given: -
Taking into account the severity of the discrepancy, assess the extent to which this affects their ability to provide the works or services

Version 6.1 20/04/12

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