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LBC PQQ Page 1 of 20 LONDON BOROUGH OF CROYDON (LBC) PRIVATE AND CONFIDENTIAL PRE-QUALIFICATION QUESTIONNAIRE (PQQ) GUIDANCE

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Page 1: PRE-QUALIFICATION QUESTIONNAIRE (PQQ) … PQQ Page 2 of 20 This Pre-Qualification Questionnaire (PQQ) has been issued on behalf of London Borough Of Croydon (LBC) in connection with

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LONDON BOROUGH OF CROYDON (LBC)

PRIVATE AND CONFIDENTIAL

PRE-QUALIFICATION QUESTIONNAIRE (PQQ) GUIDANCE

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This Pre-Qualification Questionnaire (PQQ) has been issued on behalf of London Borough Of Croydon (LBC) in connection with a competitive procurement conducted in accordance with the Public Contract Regulations 2006 (“the Regulations”).

1. GENERAL INFORMATION

1.1 PURPOSE OF QUESTIONNAIRE

In order to evaluate your organisation / company’s ability to meet the advertised requirement, LBC asks all potential providers to complete the pre-qualification questionnaire and submit supporting information about their organisation / consortium. This focuses on your organisation / company’s capacity, capability, financial standing, governance and compliance. The questionnaire should be read in conjunction with the accompanying documents, which provide more information about LBC’s requirements of its suppliers, the required services and the procurement process.

Where LBC considers that the contract may be suitable for economic operators that are small or medium enterprises (SMEs), the contracting authority, for the avoidance of doubt, confirms that no weighting will be attached to whether or not an economic operator is an SME in selecting economic operators to participate or in assessing the most economically advantageous tender.

1. Your organisation / company’s completed questionnaire must be submitted via LBC’s e-tendering portal at www.londontenders.org. Completed questionnaires may be submitted at any time before the closing deadline.

2. We strongly advise that your organisation / company’s completed questionnaire is submitted at least three hours prior to the closing deadline. Please do not leave the submission of your questionnaire to the last minute.

3. Please note that completed questionnaires received after the closing date may be rejected.

4. If you are unsure about any of the questions, please contact us for advice before completing the questionnaire.

5. All requests for additional information or clarification must be directed via LBC’s e-tendering portal (discussions area) and should be received no later than 10 days before the closing date.

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2. INSTRUCTIONS FOR COMPLETION

1. Potential providers are strongly advised to read the supporting information listed in the portal prior to responding to this Pre-Qualification Questionnaire (PQQ).

2. Please answer the questions specifically for your organisation / company NOT for a group of organisations / companies if you are part of a group.

3. Many procurement exercises generate a great deal of interest from potential providers, so please ensure that your organisation / company complete the questionnaire as requested. Failure to do so may result in your organisation / company’s application being disqualified.

4. Please complete questionnaire in full, selecting YES/NO responses as appropriate.

5. If the question does not apply to your organisation / company please write N/A, giving a brief reason why you believe it is not applicable.

6. Supplementary documentation/Supporting documentation may be attached to the portal where bidders have been directed to do so. Such material must be clearly marked with the name of the organisation and the question to which it relates. Please note that LBC may require clarification of the answers provided or ask for additional information.

7. Information provided but not properly referenced will not be taken into account and will not be scored.

8. All responses must be in English (UK)

9. Please note that documents submitted electronically using LBC’s e-tendering portal will, upon being submitted, be deemed to have been signed electronically within the meaning of the Electronic Communications Act 2000.

10. Potential providers must keep their details on the e-tendering portal up to date or they will be unable to receive communications from LBC. It is recommended that your organisation / company register on the portal using a generic email address.

2.1 VERIFICATION OF DOCUMENTATION PROVIDED

Depending on the nature of the procurement exercise, not all questions will require the provision of supporting documentation at this stage. However, LBC may ask to see these documents at a later stage, so it is advisable that your organisation / company ensure that they can be made available upon request. You may also be asked to clarify your answers or provide more details about particular answers.

Potential providers should note that if any error or omission or misrepresentation is discovered, LBC reserves the right to disqualify the potential provider from participation in the tendering exercise, no matter what stage in the process has been reached when the error, omission or misrepresentation is discovered.

2.2 SUB CONTRACTING ARRANGEMENTS

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Where a sub-contracting approach is proposed, all information requested should be given in respect of the prime contractor.

It is recognised that arrangements in relation to sub-contracting may be subject to future change. However, potential providers should be aware that where sub-contractors are to play a significant role, any changes to those sub-contracting arrangements may constitute a material change and therefore may affect the ability of the potential provider to proceed with the procurement process and/or to provide the goods and/or services and/or works in question. LBC reserves the right to reject any changes to sub-contracting arrangements.

2.3 CONSORTIA ARRANGEMENTS

If the potential provider bidding for the provision of goods and/or services and/or works is a consortium, the following information must be provided:

Full details of the consortium;

The information sought in this PQQ in respect of each of the consortium’s constituent members as part of a single composite response.

Where a consortium is proposed, one of the responses described in section A8 – Consortia * Sub-Contracting (a) through to (c) in question, full company accounts is also required for each member of the consortium. Please provide this relevant information for each consortium member as an annex to this document.

Potential providers should provide details of the actual or proposed percentage shareholding of the constituent members within the consortium in a separate Annex. If a consortium is not proposing to form a corporate entity, full details of alternative proposed arrangements should be provided in the Annex. However, please note LBC reserves the right to require a successful consortium to form a single legal entity in accordance with regulation 28 of the Public Contracts Regulations 2006.

LBC recognises that arrangements in relation to consortia may (within limits) be subject to future change. Potential providers should therefore respond in the light of the arrangements as currently envisaged. Potential providers are reminded that any future proposed change in relation to consortia must be notified to LBC so that it can make a further assessment by applying the selection criteria to the new information provided.

PLEASE NOTE:

Whenever used in this questionnaire:

The term "organisation / company / provider / supplier" refers to a sole practitioner, partnership, consortium, incorporated company, co-operative, charity, local authority, public sector organisations, voluntary sector organisation or analogous entities operating outside the UK, as appropriate.

The term "officer" refers to any director, company secretary, partner, associate, trustee or other person occupying a position of authority or responsibility within the firm.

“Contracting Authority”/“Authority”/“LBC” or “Council”,” means the purchasing organisation that is seeking to award a contract.

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“You”/“Your”/“Potential Provider”/”Applicant” or “Supplier” means the business or organisation / company which is completing this PQQ.

Unless instructed otherwise when answering the questions, please give details that specifically relate to your organisation / company, not to the whole of the group if your company forms part of a group.

3. THE REQUIREMENT

If the information you want to include in this section is extensive, you may prefer to issue a separate document, which could contain details such as: scope; objectives; required performance; and outcomes. Level of demand (end users and frequency) and technical requirements, in accordance with relevant standards, regulations and legislation, could also be included. Expected approach to contract management, marketing etc. and in certain circumstances, the maximum contract value acceptable (to be used only in very specific circumstances). This will ensure that potential providers understand the requirements at the earliest stage of the procurement process and will encourage only those potential providers who have the capability and capacity to deliver, to apply.

3.1 OUTLINE TIMETABLE

The proposed procurement timetable is set out below. This is intended as a guide and whilst LBC does not intend to depart from the timetable it reserves the right to do so at any stage.

Target Date Activity

Insert Advert / Contract Notice published with questionnaire / tender docs made available to potential providers

Insert Potential Providers Open Day (if applicable)

Insert Deadline for clarification questions to be submitted by bidders via LBC’s e-tendering portal

Insert Questionnaire / Tender doc return date

Insert Evaluation of PQQ to be completed by

Insert Unsuccessful bidders notified

Insert Invitation to tender issued to qualifying bidders

Insert Tender return date

Insert Evaluation of tenders (including product evaluation, site visits and/or interviews etc. where applicable)

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Target Date Activity

Insert Award Report to Contracts & Commissioning Board / Corporate Services Committee

Insert Successful and unsuccessful bidder(s) notified

Insert 10-day Standstill Period starts (if applicable)

Insert Contract Execution and Implementation

4. THE PROCESS

4.1 EVALUATION AND SCORING

The following scoring system will be used for evaluating any weighted criteria:

Score Classification

0 UNACCEPTABLE – the response and evidence either does not meet the requirement, and/or is non-existent and/or there is a major failure to properly address the area in question

1 POOR – the response and evidence is deficient in a number of areas and meets only a very few of the requirements

2 FAIR – the response and evidence is deficient in that the level of detail, information or evidence required only meets some of the requirement

3 SATISFACTORY – the response and evidence meets most of the requirement but not all

4 GOOD – the response and evidence meets all of the requirement

5 EXCEPTIONAL – the response and evidence comprehensively both meets and exceeds the requirement

For those criteria that are weighted, a pre-appointed evaluation team will allocate sores. A minimum threshold score of XXX out of 5 or above must be achieved for each weighted criteria. Any one or more criteria that is marked with a score that is lower than the minimum will have failed and the organisation submitting the PQQ will not be invited to tender.

Each score achieved will be multiplied by the sub-weighting for that criterion, where indicated in the table below. The top XXX but not less than five highest scoring potential

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providers that have fully completed the PQQ documentation and have also achieved a Pass for all criteria with a Pass / Fail rating will be issued an Invitation to Tender (ITT).

The short listing process will be conducted as follows: 4.1.1 Stage 1: Legal Eligibility

Tenderers must be legally eligible to take part in this procurement.

The legal eligibility assessment will be carried out to reject any Tenderers where there exist either:

(a) mandatory grounds for exclusion of a tenderer as set out in Regulation 23(1) of the Public Contracts Regulations 2006 No.5, as summarised in Appendix 1;or

(b) discretionary grounds for exclusion of a tenderers set out in Regulation 23(4) of the Public Contracts Regulations 2006 No.5, as summarised in Appendix A, which the Council considers are sufficiently serious to justify the exclusion of the Tenderers from the tender process.

The information requested at Stage 1 is mandatory and is a PASS/FAIL section of this Questionnaire. Tenderers must provide an answer to both questions. The Council reserves the right to exclude tenderers if these questions are not completed.

The Council reserves the right to seek further information or clarification where necessary. Submissions which do not pass the eligibility assessment will not be evaluated in Stage 2.

4.1.2 Stage 2 Selection Criteria

PQQ submissions that have passed the legal eligibility assessment will then be assessed in detail to determine whether the tenderer has the economic and financial standing and technical and professional ability/necessary skills and experience to undertake this contract.

The key selection criteria listed below will be assessed on a PASS/FAIL basis: Stage 2 Section A (Company Information) Stage 2 Section B (Economic and Financial Standing) Stage 2 Question C?? (Equalities) Stage 2 Question D?? (Health and Safety) Inability to achieve a ‘PASS’ against any of the key criteria may result in exclusion from the tender process.

4.1.3 Economic and Financial Standing

The assessment of Economic and Financial Standing is in two parts;

Insurance

Where specified the required minimum levels of insurance as stated in the PQQ must be met. Evidence of current insurance levels meeting the Council’s minimum standard or a statement to the effect that these minimum levels will be met upon award of contract will achieve an acceptable score. Failing to meet the Council’s minimum in relation to the

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levels of insurance will attract an overall unacceptable score for Economic and Financial Standing.

Financial Standing

The Council will undertake a financial appraisal using the information provided by tenderers in response to questions B. (B2 is for information only) to provide an overall financial Health Score in relation to both lots. The Health Score model uses seven factors measured on a scale 0 to 100 (the higher the better) viewed simultaneously in order to provide the overall measure (out of 100) of tenderers’ financial health. The Council reserves the right to carry out further financial checks on tenderers who have been trading for less than 3 years to satisfy itself of tenderers’ economic and financial standing and its capability in meeting the financial obligations anticipated under the contract. The checks cover seven factors which are grouped into three management areas;

Profit Management Profit Management – This measures the ability of tenderers to generate profits sufficient to cover their short term commitments

Asset Management Liquidity – This measures the liquidity position (debtors and cash) of tenderers in relation to the short-term liabilities, taking into account the annual expenses (as measured by sales less profit before tax) Stock & Debtor Management – This measures how well the stock, including work in progress, and debtors have been controlled in relation to the secure long-term funding i.e. capital employed (net worth, long term debt and other long term liabilities). Current Asset Cover – This measures the cover available from the current assets (stock, debtors and cash) to meet the short term liabilities of tenderers.

Funding Management Equity Base – This measures the adequacy of tenderers’ capital base. It compares the Net Worth to all its liabilities (including, but not restricted to, it’s borrowing). Current Funding – This measures the degree to which the total tangible assets are funded out of short term liabilities. The greater the reliance on short term funding, the worse the result. Debt Dependency – This measures the degree to which tenderers are dependent on debt for their funding. The higher the reliance on external bank debt, the worse the result. The overall financial Health Score is translated into a rating as shown in the following table;

Health Score Rating

50 to 100 Good

25 to 49 Moderate

17 to 24 Caution

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0 to 16 Extreme Caution

An indicative maximum transaction size (recommended maximum contract award value) is then calculated based upon tenderers’ overall Health Score as a percentage of their turnover as shown in the following table;

Health Score Recommended Maximum Transaction Size as %age of turnover

50 to 100 35%

25 to 49 17.5%

17 to 24 10%

0 to16 0%

Results of Financial Standing Acceptable – the tenderer’s economic and financial standing indicates a reasonable likelihood that it is capable of meeting the financial obligations anticipated under the contract. If a tenderer has achieved a rating of Good, Moderate or Caution and the recommended maximum transaction size is in line with the Council’s estimated annual value of the potential contract they will be considered to have provided an acceptable response (PASS). Unacceptable – the tenderer’s economic and financial standing indicates that a significant risk exists in terms of its capability of meeting the financial obligations under the contract. If a tenderer has achieved a rating of Extreme Caution or has achieved a higher rating but their recommended maximum transaction size is deemed by the Council to be too low then, subject to the Council’s discretion (as outlined below) they will be considered to have provided an unacceptable response (FAIL). To achieve an overall acceptable rating for Economic and Financial Standing; tenderers must achieve an acceptable rating for both Insurance and Financial Standing. An overall acceptable rating will be a PASS. Subject to the following paragraph, an overall unacceptable rating will be a FAIL and the tenderer’s PQQ will not be evaluated further. Notwithstanding the above, in situations of ‘Extreme Caution’ or where tenderers have obtained a higher rating but do not satisfy the criteria for maximum transaction value and where in the best interests of the procurement exercise and where it is believed there are potential benefits to the Council which outweigh any potential risk, the Council reserves the right in accordance with the Council’s Tenders and Contracts Regulations to report to the Council’s Section 151 officer outlining any mitigating circumstance why on this occasion a tenderer receiving an Extreme Caution rating or having obtained a higher rating but not satisfying the criteria for maximum transaction value should be shortlisted. The decision of the Council’s Section 151 officer will be final.

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4.1.4 Table A - Selection Criteria

Title / Criteria Information to be provided by Weighting

Stage 1: Legal Eligibility

1 Grounds for Mandatory Rejection

Individual applicant / each member of a consortium

Pass / Fail

2 Grounds for Discretionary Rejection – Part 1

Individual applicant / each member of a consortium

Pass / Fail

3 Grounds for Discretionary Rejection – Part 2

Individual applicant / each member of a consortium

Pass / Fail

Stage 2: Selection Criteria

A Organisation Information Individual applicant / each member of a consortium

For information only

B.1 Economic and Financial Standing - Insurance

Individual applicant / each member of a consortium

Pass / Fail

B.2.1 Economic and Financial Standing – Accounts / Profit & Loss / Cash Flow

Individual applicant / each member of a consortium

Pass / Fail

B.2.2 Economic and Financial Standing - Chief Finance Officer’s Details

Individual applicant / each member of a consortium

For information only

B.2.3 Economic and Financial Standing - Banker's Reference

Individual applicant / each member of a consortium

For information only

B.2.4

Economic and Financial Standing - Details of Outstanding Claims or Litigation Against the Organisation / Company

Individual applicant / each member of a consortium

For information only

B.2.5 Economic and Financial Standing - Guarantee

Individual applicant / each member of a consortium

Pass / Fail [Please delete row if not required]

C.1 Equality Act 2010 and Public Sector Equality Duties - Policy

Individual applicant / each member of a consortium

Pass / Fail

C.2 Equality Act 2010 and Public Sector Equality Duties – Staff Training

Individual applicant / each member of a consortium

Pass / Fail

C.3 Equality Act 2010 and Public Sector Equality Duties – Compliance

Individual applicant / each member of a consortium

Pass / Fail

C.4

Equality Act 2010 and Public Sector Equality Duties – Record of Discrimination

Individual applicant / each member of a consortium

For information only

D.1 Health and Safety - Individual applicant / each For information

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Title / Criteria Information to be provided by Weighting

Responsible Person member of a consortium only

D.2 Health and Safety - Policy Individual applicant / each member of a consortium

Pass / Fail

D.3 Health and Safety - H&S Performance

Individual applicant / each member of a consortium

For information only

D.4 Health and Safety – Prosecutions

Individual applicant / each member of a consortium

For information only

E.1

Sustainability and Environmental Management – Sustainability Policy

Individual applicant / each member of a consortium

Insert as required

E.2

Sustainability and Environmental Management – Environmental Management System

Individual applicant / Lead applicant on behalf of consortium

Insert as required [Please delete row if not required]

E.3

Sustainability and Environmental Management – Prosecutions and Regulator Actions

Individual applicant / each member of a consortium

For information only

F.1

Technical and Professional Ability - Experience and Contract Examples

Individual applicant / Lead applicant on behalf of consortium

Insert as required

F.2 Technical and Professional Ability - Contract Performance

Individual applicant / Lead applicant on behalf of consortium

For information only

F.3

Technical and Professional Ability – Organisation / Company Performance

Individual applicant / Lead applicant on behalf of consortium

For information only

G

Technical and Professional Ability – Project Specific Questions - General

Individual applicant / Lead applicant on behalf of consortium

Insert as required

Technical and Professional Ability – Project Specific Questions – Health & Safety

Individual applicant / Lead applicant on behalf of consortium

Insert as required [Please delete row if not required]

Technical and Professional Ability – Project Specific Questions - Environmental

Individual applicant / Lead applicant on behalf of consortium

Insert as required [Please delete row if not required]

Technical and Professional Ability – Project Specific Questions

Individual applicant / Lead applicant on behalf of consortium

Insert as required [Please delete

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Title / Criteria Information to be provided by Weighting

– Quality Assurance row if not required]

Technical and Professional Ability – Project Specific Questions – Business Continuity

Individual applicant / Lead applicant on behalf of consortium

Insert as required [Please delete row if not required]

Technical and Professional Ability – Project Specific Questions – Other

Individual applicant / Lead applicant on behalf of consortium

Insert as required [Please delete row if not required]

H Declaration Individual applicant / Lead applicant on behalf of consortium

N/A

I Freedom of Information N/A N/A

Appendix A

Public Contracts Regulations 2006 No.5 Criteria for the rejection of economic operators

N/A For information only

Appendix B

Significant Subcontracting Arrangements

Individual applicant / Lead applicant on behalf of consortium

For information only

Appendix C

Consortia Arrangements Individual applicant / Lead applicant on behalf of

For information only

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5. GLOSSARY OF TERMS

Terms Description/Meaning

Company Includes the following:

a) a charity

b) a consortium

c) a co-operative

d) a firm

e) a Government Department (as represented by the Secretary of State)

f) a group of persons

g) an incorporated company

h) another local authority or a group of local authorities

i) a partnership

j) a public sector organisation

k) a public utility that has been privatised

l) a sole practitioner

m) a statutory body

n) an unincorporated association

o) a voluntary sector organisation

p) an analogous entities operating outside the UK, as appropriate

Contracting Authority / Authority / LBC or Council

Means the purchasing organisation that is seeking to award a contract.

Contract value’ or ‘value of a contract’

A value: a) calculated on the basis of the Full Term of the Contract. i.e. if it

is a three year contract with a possibility of a two year extension then the calculation of the contract value must be based on a five year term;

and

b) that is net of Value Added Tax or any other Tax or Duty. However, the amount of any such Tax or Duty payable must be stated separately in the both the tender and the award report.

‘evaluation criteria’ Refers to the measures used in either the PQQ or ITT to undertake an assessment of potential providers.

i. Criteria used in the PQQ are referred to as ‘selection criteria’.

ii. Criteria used in the ITT are referred to as ‘award criteria’.

The two are not interchangeable and there should be no repetition from one stage to the next.

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Terms Description/Meaning

Expression of Interest (EoI) A statement by a potential provider of their intention to compete for a tendering opportunity for the provision of goods, services and/or works:

‘e-Tendering’ An internet based process wherein the complete tendering process, from advertising to submitting and receiving tender-related information, is done online.

EU Rules Where the EU Rules are referenced, it is also to include EU Public Procurement Directives, Regulations and those enacted into UK legislation.

‘Framework Agreement’ An agreement subject to the EU legislation between one or more contracting authorities and one or more economic operators, the purpose of which is to establish the terms governing contracts to be awarded during a given period, in particular with regard to price and, where appropriate, the quantity envisaged.

Invitation to Tender (ITT)

The step of a competitive tendering process in which qualified suppliers or contractors are invited to submit sealed bids for the supply of specific and clearly defined goods, services or works during a specified timeframe.

KPI Key Performance Indicator - a type of performance measurement used to evaluate the success of a particular activity carried out by a provider.

Most Economically Advantageous Tender (MEAT)

The tendering approach used to provide a balance between quality and cost.

Officer Refers to any director, company secretary, partner, associate, trustee or other person occupying a position of authority or responsibility within the firm

An Output (or Outcome) Based Specification (OBS)

A specification that focuses on the desired outputs of a service in business terms, rather than a detailed technical specification of how the service is to be provided.

Part A Service These services are subject to the full weight of the Public Contract Regulations 2006 and need to be to be advertised across the EU where the level of expenditure meets or exceeds the EU Procurement Thresholds.

Part B Service These services are not subject to the full weight of the Public Contract Regulations 2006 and need not be advertised across the EU but an award notice must be published via the OJEU for expenditure above the EU Procurement Thresholds

Post Tender Clarification Tender or bid clarifications that may become necessary during the evaluation of tenders.

PQQ (Pre-Qualification Questionnaire)

The process used to identify potential suppliers that are most capable of performing a contract.

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Terms Description/Meaning

Small and Medium Enterprises SME

The main factors determining whether a company is an SME are:

1. number of employees and

2. either turnover or balance sheet total.

Company category Employees Turnover or Balance sheet total

Medium-sized < 250 ≤ € 50 m ≤ € 43 m

Small < 50 ≤ € 10 m ≤ € 10 m

Micro < 10 ≤ € 2 m ≤ € 2 m

These ceilings apply to the figures for individual firms only. A firm which is part of larger grouping may need to include employee / turnover / balance sheet data from that grouping too.

Social Value

The process whereby the Council meets its needs for goods, services, works and utilities in a way that achieves value for money on a whole life basis in terms of generating benefits to society and the economy, whilst minimising damage to the environment

Third Sector The range of non-statutory service providers set up as not for profit organisations. These encompass the traditional voluntary and community sector, co-operatives, social enterprises and registered social landlords. For the purposes of this document the term ‘third sector’ is used to denote this group of organisations.

‘TUPE’ Transfer of Undertakings (Protection of Employment) Regulations 2006.

Value for Money (VfM) Value for Money (VfM) is the term used to assess whether or not the Council has obtained the maximum benefit from the goods and services it acquires and/ or provides, within the resources available to it.

It not only measures the cost of goods and services, but also takes account of the mix of quality, cost, use of resources, fitness for purpose, timeliness and convenience to judge whether or not, when taken together, they constitute good value. Achieving VfM may be described in terms of the 'three Es' - economy, efficiency and effectiveness

Variant bid A bid which is different from that specifically requested by the contracting authority in the tender documents. Examples of variant bids are those proposing different pricing structures, or new and innovative ways of delivering a service.

Weightings The weightings allotted to the criteria chosen to evaluate the PQQ / ITT

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Terms Description/Meaning

to reflect what is most important in any particular procurement. Weightings may be exact percentages or a specified range, where this is appropriate in view of the subject matter.

‘in writing’ Refers to paper and electronic records.

“You”/“Your”/“Potential Provider”/”Applicant” or “Supplier”

Means the business or company which is completing this PQQ.

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APPENDIX APPENDIX A Public Contracts Regulations 2006 No.5 Criteria for the rejection of economic operators 23. — (1) Subject to paragraph (2), a contracting authority shall treat as ineligible and shall not select an economic operator in accordance with these Regulations if the contracting authority has actual knowledge that the economic operator or its directors or any other person who has powers of representation, decision or control of the economic operator has been convicted of any of the following offences— (a) conspiracy within the meaning of section 1 of the Criminal Law Act 1977 where that conspiracy relates to participation in a criminal organization as defined in Article 2(1) of Council Joint Action 98/733/JHA; (b) corruption within the meaning of section 1 of the Public Bodies Corrupt Practices Act 1889 or section 1 of the Prevention of Corruption Act 1906; (c) the offence of bribery; (d) fraud, where the offence relates to fraud affecting the financial interests of the European Communities as defined by Article 1 of the Convention relating to the protection of the financial interests of the European Union, within the meaning of—

(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 and the Theft Act 1978; (iv) fraudulent trading within the meaning of section 458 of the Companies Act 1985; (v) defrauding the Customs within the meaning of the Customs and Excise Management Act 1979 and the Value Added Tax Act 1994; (vi) an offence in connection with taxation in the European Community within the meaning of section 71 of the Criminal Justice Act 1993; or (vii) destroying, defacing or concealing of documents or procuring the extension of a valuable security within the meaning of section 20 of the Theft Act 1968;

(e) money laundering within the meaning of the Money Laundering Regulations 2007; or (f) any other offence within the meaning of Article 45(1) of the Public Sector Directive as defined by the national law of any relevant State. (2) In any case where an economic operator or its directors or any other person who has powers of representation, decision or control has been convicted of an offence described in paragraph (1), a contracting authority may disregard the prohibition described there if it is satisfied that there are overriding requirements in the general interest which justify doing so in relation to that economic operator. (3) A contracting authority may apply to the relevant competent authority to obtain further information regarding the economic operator and in particular details of convictions of the offences listed in paragraph (1) if it considers it needs such information to decide on any exclusion referred to in that paragraph. (4) A contracting authority may treat an economic operator as ineligible or decide not to select an economic operator in accordance with these Regulations on one or more of the following grounds, namely that the economic operator—

(a) being an individual is bankrupt or has had a receiving order or administration order or bankruptcy restrictions order made against him or has made any composition or arrangement with or for the benefit of his creditors or has made any

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conveyance or assignment for the benefit of his creditors or appears unable to pay, or to have no reasonable prospect of being able to pay, a debt within the meaning of section 268 of the Insolvency Act 1986, or article 242 of the Insolvency (Northern Ireland) Order 1989, or in Scotland has granted a trust deed for creditors or become otherwise apparently insolvent, or is the subject of a petition presented for sequestration of his estate, or is the subject of any similar procedure under the law of any other state; (b) being a partnership constituted under Scots law has granted a trust deed or become otherwise apparently insolvent, or is the subject of a petition presented for sequestration of its estate; (c) being a company or any other entity within the meaning of section 255 of the Enterprise Act 2002 has passed a resolution or is the subject of an order by the court for the company's winding up otherwise than for the purpose of bona fide reconstruction or amalgamation, or has had a receiver, manager or administrator on behalf of a creditor appointed in respect of the company's business or any part thereof or is the subject of the above procedures or is the subject of similar procedures under the law of any other state; (d) has been convicted of a criminal offence relating to the conduct of his business or profession; (e) has committed an act of grave misconduct in the course of his business or profession; (f) has not fulfilled obligations relating to the payment of social security contributions under the law of any part of the United Kingdom or of the relevant State in which the economic operator is established; (g) has not fulfilled obligations relating to the payment of taxes under the law of any part of the United Kingdom or of the relevant State in which the economic operator is established; (h) is guilty of serious misrepresentation in providing any information required of him under this regulation; (i) in relation to procedures for the award of a public services contract, is not licensed in the relevant State in which he is established or is not a member of an organisation in that relevant State when the law of that relevant State prohibits the provision of the services to be provided under the contract by a person who is not so licensed or who is not such a member; or (j) subject to paragraphs (7), (7A), (7B), (8), (8A), (8B) and (9), is not registered on the professional or trade register of the relevant State specified in Schedule 6 in which he is established under conditions laid down by that State.

(5) The contracting authority may require an economic operator to provide such information as it considers it needs to make the evaluation in accordance with paragraphs (1) and (4) except that it shall accept as conclusive evidence that an economic operator does not fall within the grounds specified in paragraphs (1) and (4) (a), (b), (c), (d), (f) or (g) if that economic operator provides to the contracting authority—

(a) in relation to the grounds specified in paragraphs (1) and (4) (a), (b), (c) or (d)— (i) an extract from the judicial record; or (ii) in a relevant State which does not maintain such a judicial record, a document issued by the relevant judicial or administrative authority;

(b) in relation to the grounds specified in paragraphs (4) (f) or (g), a certificate issued by the relevant competent authority; and (c) in a relevant State where the documentary evidence specified in paragraphs (5) (a) and (b) is not issued in relation to one of the grounds specified in paragraphs (1), (4) (a), (b), (c), (d), (f) or (g), a declaration on oath made by the economic operator

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before the relevant judicial, administrative or competent authority or a relevant notary public or Commissioner for oaths.

(6) In this regulation, "relevant" in relation to a judicial, administrative or competent authority, notary public or Commissioner for oaths means an authority designated by, or a notary public or Commissioner for oaths in the relevant State in which the economic operator is established. (7) An economic operator established in the United Kingdom or Ireland shall be treated as registered on the professional or trade register for the purposes of paragraph (4) (j) if the economic operator —

(a) is established in Ireland and is certified as registered with the Registrar of Friendly Societies; or (b) is established in either State and is either —

(i) certified as incorporated by their respective Registrar of Companies; or (ii) is certified as having declared on oath that it is carrying on business in the trade in question in the State in which it is established at a specific place of business and under a specific trading name.

[(7A) An economic operator established in Cyprus shall be treated as registered on the professional or trade register for the purposes of paragraph (4)(j) if--

(a) in relation to procedures for the award of a public services contract or a public supply contract the economic operator is either--

(i) certified as incorporated by the Registrar of Companies and Official Receiver (Eforos Etaireiwn kai Epiohmos Paralhpths); or

(ii) certified as having declared on oath that the economic operator is carrying on business in the trade in question in Cyprus at a specific place of business and under a specific trading name; or

(b) in relation to procedures for the award of a public works contract the economic operator is certified by the Council for the Registration and Audit of Civil Engineering and Building Contractors (Sumboulio Eggrafhs kai Elegcou Ergolhptwn Oikodomikwnkai Tecnikwn Ergwn) according to the Registration and Audit of Civil Engineering and Building Contractors Law of Cyprus.

(7B) An economic operator established in Malta shall be treated as registered on the professional or trade register for the purposes of paragraph (4)(j) if--

(a) the economic operator produces its "numru ta' registrazzjoni tat- Taxxa tal- Valur Mizjud (VAT) u n- numru tal-licenzja ta' kummerc"; and

(b) where the economic operator is a member of a partnership or is a company, it produces the relevant registration number issued by the Malta Financial Services Authority.]

(8) In relation to procedures for the award of a public services contract, an economic operator established in Greece shall be treated as registered on the professional or trade register for the purposes of paragraph (4)(j)—

(a) when the services to be provided under the contract are specified in category 8 of Schedule 3 and when Greek legislation requires persons who provide those services to be registered on the professional register (Μητρώο Μελετητών and Μητρώο Γραφείων Μελετών), if it is registered on that register; and (b) in any other case, in accordance with paragraph (9).

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[(8A) In relation to procedures for the award of a public services contract, an economic operator established in Hungary shall be treated as registered on the professional or trade register for the purposes of paragraph (4)(j) if the economic operator is certified as being entitled to be engaged in the trade in question in Hungary.

(8B) In relation to procedures for the award of a public supply contract, an economic operator established in Spain shall be treated as registered on the professional or trade register for the purposes of paragraph (4)(j) if the economic operator is certified as having declared on oath that it is entitled to be engaged in the trade in question in Spain.]

(9) An economic operator established in a relevant State, other than the United Kingdom or Ireland, which either has an equivalent professional or trade register which is not listed in Schedule 6 or which does not have an equivalent professional or trade register shall be treated as registered on a professional or trade register for the purposes of paragraph (4)(j) on production of either a certificate that he is registered on the equivalent professional or trade register or where no such register exists, a declaration on oath, or in a relevant State which does not provide for a declaration on oath a solemn declaration, made by the economic operator before the relevant judicial, administrative or competent authority or a relevant notary public or Commissioner for oaths, that he exercises the particular profession or trade.