Pre-Qualification Questionnaire Template

Note to ESCC Staff

Please note that the following pre-qualification questionnaire template has been set for a Restricted Procedure Tender for Services. If your tender is of another type, please ensure that you alter the questionnaire to meet your requirements. You will also need to specify the number of copies and format required for companies to return the questionnaire.

Potential areas for change have been highlighted in red, however you should ensure that all elements of the document are set to your requirements. Questions 8.7 and 9.5 can only be asked for services - question 8.8 relating to TUPE is only applicable to some service/works contracts.

The additional questions 8.12 and 8.13 (highlighted in red) can be asked if equalities is a core requirement in respect of the contract being tendered and subject to either (i) the contract being less than the EU threshold, and/or (ii) the contract being for services, which fall within part B of Schedule 1 of the EU Procurement Services Regulations e.g. health and social services category – otherwise the questions should be deleted.

You will need to insert the proposed scoring of the questionnaire in the table contained in section 1.18.

If in doubt, please contact Jonathan Ruddock-West (Assistant Director – Legal Services).

**THIS PAGE IS NOT PART OF THE PRE-QUALIFICATION QUESTIONNAIRE**

East Sussex County Council

Pre-Qualification Questionnaire

Index

1.Instructionsfor Completion of the Questionnaire

2.Organisation Information

3.Eligibility

4.Business and Professional Conduct

5. Financial

6. Insurance

7.Quality Assurance

8. Staffing and Co-ordination

9.Experience/References/Ability

10.Health and Safety

11.Sustainability

12.Enclosures / Comments

1.Instructions for completion of the questionnaire

1.1 Thepurpose of this pre-qualificationquestionnaire (PPQ) is to enable prospective tenderers, who are interested in receiving the Invitation to Tender (ITT), to provide the Council with sufficient information to make an initial assessment of their financial standing, capability and suitability for the proposed contract, enabling the Council to shortlist for the ITT.

1.2 Please note that if a bid is to be submitted by a consortium, joint venture or structure other than a single company, then each section may relate to one or more of the organisations. Care should be taken to ensure that a completed response is provided for each consortium member. The lead member should complete the general sections and submit all responses together.

1.3 All sections of the questionnaire should be completed.

Notes for completion

• Please complete in English in type or, if hand-written, in block capitals in black ink.

• Continue on separate sheets if the space in the document is insufficient.

• Please do not use abbreviations.

• Please include, where appropriate, any supporting documents. All enclosures should be clearly marked with the name of your organisation and the question to which they refer. All information you give will be treated as confidential by the Council.

• Please return one signed and dated hard copy of the completed questionnaire and all supporting information by ……………………. to:

East Sussex County Council

Department……………………..

County Hall

St.Anne’s Crescent

Lewes

BN7 1SFUE

FAO:…………………………

Telephone:01273……………....

Facsimile:01273………………..

E-Mail:………………………………....

1.4. Further hard / soft copies of this questionnaire are available on request.

1.5Applicants are advised that they are solely responsible for bearing their costs and

expenses incurred in connection with the preparation of responses and submission

of the completed PQQ and all future stages of the selection and evaluation process.

Under no circumstances will the Council or any of its advisers, be liable for any

costs or expenses borne by an Applicant in this procurement process.

1.6Please note that if any of the information supplied in your PQQ response regarding

the Applicant changes in the ensuing evaluation period, you are required to notify

the Council accordingly, giving details of the changes.

1.7The Council reserves the right to reject or disqualify an Applicant where:

• the PQQ response is submitted late, is completed incorrectly, is incomplete or fails to meet the Council’s submission requirements and conditions as set out in these guidance notes;
• the Applicant is guilty of serious misrepresentation in relation to its application and/or the procurement process;
• there is a change identity, control, financial standing or other factor impacting on the selection and/or evaluation process affecting the Applicant; and/or
• there is a conflict of interest arising between the Council and the Applicant.

1.8The Council reserves the right to:

• cancel the selection and evaluation process at any stage;
• require an Applicant to clarify it s response in writing and/or provide additional information; and/or
• amend the terms, conditions and/or requirements of the tender process including the PQQ/pre-selection process.

1.9Evaluation of responses to the PQQ

This section sets out the basis of evaluation of responses to the PQQ. The purpose of defining the basis for evaluation of responses is to ensure that PQQs will be evaluated consistently and objectively.The evaluation will be in two stages:

Stage 1

• Compliance and eligibility- This is a hurdle stage. An assessment will be made of whether each Applicant’s responses to the PQQ are complete and compliant, whether there is any reason why the Applicant should be considered ineligible to tender under the provisions of Regulation 23 (Appendix 1) or might be the subject of a material conflict. Further details on this stage are given in paragraphs 1.9.1 to 1.9.4below.

Stage 2

• Detailed Evaluation- The responses to the PQQ questions will be scored. The score for each question is given in the Table at paragraph 1.9.71.28. The responses to the questions in Section 5 (Financial) and question 6.2 (minimum level of insurance) are pass or fail.

1.9.1Compliance and eligibility

This first stage of the evaluation is designed to determine whether an Applicant’s response is complete and complies with the requirements in the PQQ.

1.9.2Completeness of Information

Applicants are required to submit complete data in the specified formats and covering the specified periods. The Council will notify an Applicant if required data appears to have been omitted from their response, stating the period within which such information must be provided. The Council reserves the right to eliminate at this stage of the assessment any Applicant who fails to provide information required in the right form and in sufficient depth within the specified period after a reminder has been issued.

1.9.3Eligibility

Any Applicant who fails to answer any questions in the PQQ relating to eligibility under Regulation 23 of the Regulations may be excluded from further consideration. However, in the event that the Applicant declares that one or more of the grounds applies, the Council will determine in the light of all circumstances whether the matter(s) disclosed are so material as to justify exclusion of the Applicant from further consideration.

Any Applicant who fails to answer any question in the PQQ relating to convictions under equal opportunities, health and safety or environmental/pollution legislation or any other criminal prosecutions may be excluded from further consideration. However, in the event that the Applicant declares that it has been found guilty in any such prosecution, the Council will determine in the light of all the circumstances whether the matter(s) disclosed are so material as to justify exclusion of the Applicant from further consideration.

1.9.4Conflicts

The declaration of a potential conflict of interest will not result in automatic disqualification of an Applicant. The Council will assess the likelihood of any conflict affecting the robustness of the tender process, taking into account the Applicant’s proposal for dealing with the conflict, in deciding whether or not to consider the Applicant ineligible. If it appears likely that the conflict will have such an effect, the Council will discuss the matter with the Applicant and seek to agree a method for dealing with the conflict satisfactorily. In the event that agreement is not reached on terms acceptable to the Council, the Applicant will be excluded from further consideration.

1.9.5Detailed evaluation

The detailed evaluation entails evaluating and scoring the Applicant’s responses to a series of structured questions, some of which, namely those in question 3.1 (Compliance with EU/UK Legislation), Section 5 (Financial) and question 6.2 (Minimum Level of Insurance) are pass or fail.

1.9.6Financial

The financial appraisal of Part 5 aims to establish from formal (audited) annual accounts, and the other information requested, whether:

(a) applicant organisations have sufficient resources to support a contract, and (b) applicant organisations are financially sound and potentially stable enough to remain in-business for the duration of the contract.

The financial strength of the organisation is assessed by looking at its turnover, gross and (pre-tax or net) profits, net worth and certain financial ratios. Consideration of the accounts for the last three/four years enables an opinion to be made on continuing information, rather than just at one point in time. In general a contract value should not exceed 25% of a company’s turnover. Annual accounts should indicate appropriate levels of net worth, liquidity and profitability.

Overall the final pass/fail for an appraisal is taken by assessing these factors and arriving at a professional view of what a company’s formal financial position is. Individual factors may sometimes offer contrary indicators of a company’s position and no two companies are ever exactly the same – the accounts will often reflect the role and nature of the organisation’s business and what is acceptable in one area may not be in another.

However, in ordinary circumstances, if a company is materially short or weak on any of the above issues, in a manner which is not compensated for elsewhere in the accounts and from the other information supplied, then the likely outcome to the financial appraisal would be a fail, eliminating the organisation from the next stage of the procurement procedure.

1.9.7Summary of PQQ Scoring

Note: This table summarises the scoring for each part of the PQQ

PQQ reference / Information requested / % of total points available
Part 1 / Instruction for Bidders / n/a
Part 2 / General Organisation Information / Not scored but must be completed. Failure to do so may lead to exclusion of the bidder
Part 3 / Compliance with EU/UK Legislation
Q 3.1 / Pass or fail
Part 4 / Business and Professional Conduct
Q 4.1
Q 4.2
Q 4.3
Part 5 / Financial Standing
Q 5.1
Q 5.2
Q 5.3
Q 5.4
Q 5.5
Q 5.6
Q 5.7
Q 5.8 / Pass or fail
See paragraph 1.9.6
Part 6 / Insurance
Q 6.1
Q 6.2 / Pass or fail
Part 7 / Quality Assurance
Q 7.1
Q 7.2
Part 8 / Staffing and Co-ordination
Q 8.1
Q 8.2
Q 8.3
Q 8.4
Q 8.5
Q 8.6
Q 8.7
Q 8.8
Q 8.9
Q 8.10
Q 8.11
Q 8.12
Q 8.13
Part 9 / Experience/References/Ability
Q 9.1
Q 9.2
Q 9.3
Q9.4
Q 9.5
Part 10 / Health and Safety
Q 10.1
Q 10.2
Q 10.3
Q 10.4
Q 10.5
Q 10.6
Part 11 / Environment
Q 11.1
Q 11.2
Part 12 / Enclosures and comments
Q12.1
Q12.2 / n/a

1.9.8Information in relation to this pre-qualification questionnaire may be made available on demand in accordance with the Freedom of Information Act 2000. Applicants should state if any of the information supplied by them in response to this pre-qualification questionnaire, is confidential or commercially sensitive and should not be disclosed in response to a request for information under the above Act. Applicants should state why they consider the information to be confidential or commercially sensitive.

2.Organisation Information

2.1 Name of organisation in whose name the tender would be submitted

Name of the main contractor who will act as lead bidder for the purposes ofthis

tender:

2.2 Contact details:

Name:
Position in organisation:
Telephone no.:
Fax no.:
Email address:

2.3 Main address for correspondence:

2.4 Company Registration details:

Company Registration no.:
Date of registration:
Registered address (if different from above):

2.5 Legal status of your organisation (tick as applicable):

Sole trader
Partnership
Private Limited Company
Public Limited Company
A Higher Education Institution
A Local Authority
Voluntary organisation
A consortium of companies
Other (please specify)

2.6 Date organisation commenced business (and date of incorporation in the UK if different):

2.7VAT registration number:

2.8 Please state the names of all other organisations involved in the tender/contract, your relationship with them and the respective roles and responsibilities:

2.9 Is your organisation registered under the Data Protection Act 1998? If so, what is your DPA registration number?:

2.10Please provide enclose details of your organisation’s national structure and total number of employees, e.g. organisation chart showing location network and range of business units.

2.11Is your company a subsidiary of another company? If so, please provide the name and registered office address of the holding or parent company and the ultimate parent (if applicable):

2.12 Is your company affiliated or associated with any other company which would be capable of tendering for these services? If so, please provide the name and registered office address:

2.13Has any director, partner or associate been employed by East Sussex County Council? (If so, please give details.)

2.14Does any director, partner or associate have a relative(s) who is employed by East Sussex County Council at a senior level or is a Councillor? (If so, please give details.)

2.15Please give the number of offices and the locations of the main premises from which your organisation envisages providing services similar to those required by the Council:

3. Eligibility

Please provide confirmation that there are no grounds applicable to your company or to any parent company pursuant to which your company or parent company as a whole might be, or might become, ineligible under Regulation 23 of the Public Contracts Regulations 2006 (see Appendix 1 attached to this PQQ for details )

Delete as appropriate

Confirmed * Not confirmed *

If not confirmed, please supply details separately

Note : Evidence may be sought at a later date, in confirmation of your answer.

4.Business and Professional Conduct

4.1Are there any court actions and/or employment tribunal hearings outstanding against your organisation? If so, please give details:

4.2In the last three years has your organisation:

4.2.1 / Been involved in any court action and/or employment tribunals? / YES/NO
4.2.2 / Paid damages in respect of failure to perform any contract? / YES/NO
4.2.3 / Had a contract terminated or been refused the opportunity to re-tender for a contract? / YES/NO
4.2.4 / Been successfully sued for breach of contract? / YES/NO
4.2.5 / Withdrawn from a contract before the agreed completion date? / YES/NO
4.2.6 / Had proceedings for a Receiver, Manager, or Administrator on behalf of a creditor appointed in respect of the organisation’s business? / YES/NO

4.3 If you have answered YES to any of the above questions, please provide details, including appropriate judicial or equivalent extracts:

5.Financial

5.1Please indicate the annual turnover of organisation, in whose name the tender would be submitted, over the last 3 years. If your organisation is part of a group, please give figures for both your own organisation and the group:

Year / Organisation annual turnover (£) / Group annual turnover (£) (where applicable)

5.2Your Company Accounts:

(a)If you are an organisation that is registered with Companies House, which you supplywith a full set of Audited Accounts,all you need to do is to give us your Name andCompany Registration Number:

Name andCompany Registration Number:

(b)If your organisation isnot registered with Companies House, or only publish “Abbreviated” accounts then please provide a set of the last three years audited accounts for your own organisation (being the one which makes this application andwhich will directly provide the service), and the holding company and/or the ultimate parent (if applicable).

Applicant Name:

(c)If your organisation has been trading for less than 3 years, the Council will accept 2 years audited accounts.

(d)If the organisation has been established for less than 2 years, please provide a business plan for the whole organisation, including a profit and loss account, cash flow forecast and projected balance sheets covering at least the period of the contract.

5.3Please give details of any changes in company status since the last published accounts or any planned changes e.g. acquisitions, mergers, share issues, major investments, major loans, etc:

5.4 Please give details of any event between the date on which the latest set of accounts was authorised for issue and the date of the submission of your response to this PQQ that, had the accounts not been authorised for issue until this submission date, would have required an adjustment or disclosure:

5.5 Please provide copies of any company announcement made to the authorities of the stock exchange, since the publication of the latest set of accounts:

5.6 Provide a statement, as at the last reporting date, of any contingent liability or loss (where not otherwise reported).

5.7What are the likely sources of funds you would intend to use for this contract?:

5.8Please provide any other information you consider necessary for a fair appreciation of the financial position and prospects of your organisation:

6.Insurance

6.1 Please provide details (name of insurer and indemnity levels) of your organisation’s

insurance in respect of:

Insurer / Limit for single incident / Indemnity level
Public Liability
Professional Indemnity
Employers Liability

6.2The Council requires a minimum cover of [£10 million] for each and every claim under a company’s public liability insurance policy. Please confirm that you will provide this level of cover for the proposed contract

7.Quality Assurance

7.1 Please provide details of any quality assurance accreditation that your organisation holds e.g. ISO9000 or equivalent standard for the areas of work relevant to the contract. Please attach a copy of your quality assurance certificate if you have one. If no accreditation held, please attach a copy of your quality assurance policy.

7.2 Please indicate the scope of your Quality Assurance systems:

8.Staffing and Co-ordination

8.1 Please provide full details of how your organisation will deliver/co-ordinate an experienced team capable of delivering all aspects of this contract:

8.2 Total number of staff employed in your organisation:

8.3 Please give details of your training policy with regard to staff involved directly in the provision of the service to which this questionnaire relates including any minimum expected standards/qualifications:

8.4 Please provide details of your staff and organisation’s qualifications and membership of relevant trade associations and professional bodies: