Change, Grow, Live Coventry

Recovery Café

Expression Of Interest Questionnaire

Deadline: EOI questionnairemust be returned by midnight 15th February 2018

Contact:

Introduction & Process

DUE DILIGENCE QUESTIONNAIRE (to be completed by lead organisation only in event of an EOI by a partnership)

Name of Organisation completing questionnaire:
Name of Key Contact relating to this questionnaire:
Position of Key Contact relating to this questionnaire:
Address for correspondence:
Telephone Number:
Email Address:
Fax Number:
Website:

2. Organisation Details

1.2.1 / Registered Name of Organisation
1.2.2 / Please provide date of registration and registration number under Companies Act 1985(if registered).Please enclose a copy of the Certificate of Incorporation
1.2.3 / Please provide date of formation or commencement of trading
1.2.4 / Please provide trading name of organisation (if different to 2.1)
1.2.5 / Please provide VAT Registration number if applicable(if not VAT registered, please state the reason why)
1.2.6 / Please confirm type of organisation (please tick one):
Public Limited Company: / Private Limited Company: / Sole Trader:
Social Enterprise: / Registered Charity: / School/Academy:
Other (please specify):
1.2.7 / Please detail your mission statement and core business activities
(maximum 200 words)
1.2.8 / If the organisation is a member of a Group of Companies, please give the name and address of the Ultimate Holding Organisation
1.2.9 / Please confirm the number of employees:
Type of Staff / Current Number of Whole Time Equivalent
Operational
Administrative
Volunteers
Senior Management
Other
1.2.10 / Please provide turnover for the last 3 full years. If you cannot provide this please explain the reasons why:
2014-15 / 2013-14 / 2012-13
1.2.11 / Please provide bank details so that we may contact the bank for a reference if required:
Bank:
Address:
Sort Code:
Account Number:
Number of years account held:
1.2.12 / Please provide annual reports for your organisation for the past 3 financial years and your forecast turnover for the next 3 financial years. If you cannot provide this please explain the reasons why:
1.2.13 / Please provide details of current insurance held for the following items:
Cover Held / Insurer / Policy Number / Indemnity / Basis / Expiry
Employers’ Liability
Public Liability
Professional Indemnity
Medical Malpractice
Other (Please specify)
If you do not have the minimum required levels of insurance, please confirm that you will have these in place before contract start. The required levels of Insurance for this contract are as follows;
Employers’ Liability: £10m
Public Liability: £5m
Professional Indemnity (if applicable): £5m
Medical Malpractice (if applicable): £5m / Yes
Not Applicable; minimum insurance requirements in place
We confirm we would be willing to extend our insurance cover should it be a particular contractual requirement
1.2.14 / Please confirm the approximate percentage of your turnover that your agreement with CGL would comprise
1.2.15 / Please detail your proposed supply chain, including details (role in service delivery, % of contract price, etc) for each Party

1.3 Grounds for Exclusion

Our commissioners operate in line with Public Contracts Regulations 2015. CGL is therefore obliged to seek the same level of assurances from our sub-contractors and partners. An excerpt of these guidelines around Mandatory Exclusion, Discretionary Exclusion and ‘Self-Cleaning’ can be found at Appendix 1. The full document can be found here:

Grounds for Mandatory Exclusion
You will be excluded 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)and the supplier has failed to provide sufficient evidence of remedial action having taken place subsequently.
1.3.1 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? / Please indicate your answer by marking ‘X’ in the relevant box.
Yes / No
(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 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 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.
Grounds for Discretionary Exclusion
Contracting authorities are entitled to exclude suppliers from the procurement if any of the discretionary grounds for exclusion apply. However, we will consider all the relevant circumstances, and can at our discretion allow a supplier to proceed – please ensure your provide evidence of remedial action having taken place subsequently to assist with this process. Please see Appendix 1 for further detail regarding this.
Non-payment of taxes
1.3.2 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? / Please indicate your answer by marking ‘X’ in the relevant box.
Yes / No
Yes, details attached / Not applicable; organisation answered no.
1.3.3 Within the past three years, please indicate if any of the following situations have applied, or currently apply, to your organisation. / Please indicate your answer by marking ‘X’ in the relevant box.
Yes / No
(a)your organisation has violated applicable obligations referred to in regulation 56 (2) of the Public Contract 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 Contract 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 regulation 59 of the Public Contract Regulations 2015; or
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.

1.4. Health & Safety

1.4.1 / Please self-certify that you have a comprehensive Health and Safety policy, which meets the requirements below. If you have fewer than five employees, you do not have to write down your health and safety policy. If you do not have this Policy, please confirm that you will adhere to CGL’s Policies while providing these services. / Yes
No
If no, or working towards, please confirm that you will adhere to CGL’s Health & Safety Policies during the provision of services to CGL
(i)Is endorsed by the Chief Executive Officer / Director
(ii)Periodically reviewed (at a minimum of annual frequency period and after a serious incident and following a legislative change)
(iii)The nature and scale of the organisation’s health and safety activities are specifically relevant to the work being applied for
(iv)Clearly sets out responsibilities at all levels of the organisation. For small businesses the identification of a person responsible for health and safety will suffice
1.4.2 / Does your organisation (not individuals within it) have current membership of any trade associations, safety organisations, registration with or accreditation by any accrediting bodies (e.g. SSIP such as Contractors Health and Safety Assessment Scheme (CHAS) or equivalent)? If yes, please provide a copy. / Yes, details attached
No
If no, or working towards, please confirm that you will adhere to CGL’s Health & Safety Policies during the provision of services to CGL.
1.4.3 / Has your organisation been subject to prosecution /enforcement action from the Health & Safety Executive (or equivalent body) in the last 3 years? / Yes
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.
CGL will exclude bidder(s) that have been in receipt of enforcement/remedial action orders unless the bidder(s) can demonstrate that appropriate remedial action has been taken to prevent future occurrences or breaches. / Yes, details attached
Not applicable; organisation answered no to the above.

1.5. Quality

1.5.1 / Please supply details of any quality certification or licence (ISO9001, Investors in People etc.)
1.5.2 / Are you registered with OFSTED / Yes (please provide Unique Reference Number)
URN:
No
Not applicable – services provided are not subject to OFSTED registration
1.5.3 / If yes, please detail your most recent OFSTED inspection rating and the date the inspection was carried out. / Most Recent OFSTED Rating and Inspection Date

1.6. Environmental Management

1.6.1 / Please provide a copy of your Environmental Management Policy. If you do not have this Policy, please confirm that you will adhere to CGL’s Policies while providing these services. / Policy attached
Policy not held
If no, or working towards, please confirm that you will adhere to CGL’s Environmental Management Policy during the provision of services to CGL .
1.6.2 / 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.
You may be excluded if you are unable to demonstrate to CGL ’s satisfaction that appropriate remedial action has been taken to prevent similar unlawful discrimination reoccurring. / If yes to the above, details attached
Not applicable; organisation has answered no to the above.

1.7 Equal Opportunities

1.7.1 / Please provide copies of your Equal Opportunities, Code of Conduct, Recruitment & Selection and Staff Development Policies. If you do not have these Policies, please confirm that you will adhere to CGL’s Policies while providing these services. / Policies attached
Policies not held
If no, or working towards, please confirm that you will adhere to CGL’s Equality, Diversity & Inclusion Policies during the provision of services to CGL .
1.7.2 / 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)? / Yes
No
1.7.3 / In the last three years, has your organisation had a complaint upheld following an investigation by the Equality and Human Rights Commission or its predecessors (or a comparable body in any jurisdiction other than the UK), on grounds or alleged unlawful discrimination? / Yes
No
If you have answered “yes” to one or both of the questions in this section, 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. / If yes to the above, details attached
Not applicable; organisation has answered no to the above.

1.8. Corporate Social Responsibility / Social Value

1.8.1 / As the Prime Contractor, CGL will have certain responsibilities under the Social Value Act 2012. Please confirm that you will work with CGL to allow the service to achieve all Social Value objectives under the contract.
An overview of the Social Value Act 2012 can be found here:
/ Yes
No
1.8.2 / If you are currently undertaking tasks that enhance the Social, Economic and/or Environmental wellbeing of Service Users, please detail here.
Maximum 400 words
1.8.3 / Do you pay your employees the Birmingham Living Wage?
For further details please follow the link below:
/ Yes
No
If No, please confirm you will pay staff delivering this service the Living Wage
If you have selected ‘no’ please provide details regarding your timescales for achieving this as an organisational standard?
1.8.4 / If your organisation has an annual turnover of more than £36m, please confirm that you comply with all requirements of the Modern Slavery Act 2015 / Yes
No
Not Applicable, our organisation has an annual turnover of less than £36m
1.8.5 / If you have selected ‘Not Applicable’ please provide confirmation that you will undertake to ensure that no Modern Slavery is represented in your supply chain in any form.

1.9. Business Continuity Plan / Disaster Recovery

1.9.1 / Does your organisation have a written Business Continuity / Disaster Recovery policy?
If yes, please:
a)Confirm that a copy of your organisation’s Business Continuity / Disaster Recovery policy and evidence of its implementation and any non-compliance procedures will be provided on request. / Yes
If yes, available on request
No
If no, or working towards, please confirm that you will adhere to CGL’s Business Continuity/Disaster Recovery Policies during the provision of services to CGL .

1.10. Information Commissioner’s Office (ICO) Registration/Information Security

1.10.1 / Please confirm ICO registration and state your ICO registration number.
If you are exempt from requiring ICO registration please confirm this and the reason why you are exempt.
You can use the following link and complete the ICO’s quick online self-assessment form:
1.10.2 / Please provide the name and contact details for the individual appointed as data controller for the organisation
1.10.3 / Is your organisation accredited to ISO27001 by a recognised authority? If yes, please provide certification.
If no, please confirm that you will adhere to CGL’s Information Governance Policies while providing these services. / Yes
Certificate attached
No
Working towards
Details attached regarding timescales
If no, or working towards, please confirm that you will adhere to CGL’s Information Governance Policies during the provision of services to CGL .
1.10.4 / In the last three years has the Information Commissioner’s Office (ICO) made contact with you regarding any alleged breach of the Data Protection Act 1998, the Freedom of Information Act 2000 or Environmental Information Regulations 2004?
If you have answered Yes please provide details along with evidence of any remedial action or changes to procedures you have made as a result to prevent a recurrence? / Yes, details attached
No

1.11. HR / Safeguarding