GOV UK · Web view2018/07/24 · 4.3.1 Employer’s liability insurance is a legal requirement (except for businesses employing only the owner / close family members) and this should

The Defence and Security Public Contracts Regulations Chapter 15 – Annex A – Pre-Qualification Questionnaire

Annex A

DSPCR 2011 – Pre-Qualification Questionnaire

Procurer User Guide 1. This Pre-Qualification Questionnaire (PQQ) is designed to be used for procurements subject to the Defence and Security Public Contracts Regulations 2011. MOD procurers must use the Dynamic PQQ on Defence Contracts Online (DCO). This PQQ is provided for procurers from Other Government Departments who can adapt this template to suit their specific requirements.2. You must make it easier for suppliers to bid for defence and security contracts and to comply with legal obligations by:

a. asking questions which are relevant and proportionate to the procurement;b. only asking for information where this is essential (i.e. you need to evaluate the information as part of supplier selection).

3. You will need to insert the details specific to your requirement where there is blue text enclosed in square brackets, for example [Insert the name of the contracting authority or entity] into the PQQ template. There are also some special notes to the Authority in blue text and square brackets that should be deleted before the PQQ is issued. 4. You must not amend or add any extra questions or request further evidence in Part 1. You may, however, delete a question from Forms A, D and E in Part 1 if the question is not relevant or proportionate to your procurement. 5. You may only ask questions in Part 2 if they are relevant and proportionate to your requirement. You may delete or amend any of the suggested questions in Part 2. You may also add extra questions to Part 2, as necessary.6. You must consider the amount of evidence that you will require suppliers to provide in order to support the statements of capability given. Providing large volumes of documentary evidence is a costly burden, especially for SMEs, so you need to be reasonable when asking for evidence.7. You must also consider levels of capability. Where potential providers do not have the necessary levels of insurance or private equity you can ask them if they are willing to obtain insurance or bank guarantees if they were to be awarded the contract. A letter from an insurance broker confirming that the insurance will be given, or a letter from a bank confirming that financial support will be provided are examples of potentially acceptable evidence of capability.8. The evaluation template at Appendix 1 to the PQQ is only suggested best practice. You can replace it with alternatives if you are using a different evaluation methodology. If you are using the template at Appendix 1, please ensure you have inserted all the questions into the Appendix with their relevant scores before you publish the PQQ.

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The Defence and Security Public Contracts Regulations Chapter 15 – Annex A – Pre-Qualification Questionnaire

9. When you list technical, quality, health and safety or other standards or certification as requirements or pre-qualification criteria, you must add “or equivalent”. The DSPCR 2011 requires, to ensure that suppliers from outside the UK are not discriminated against, that equivalent standards or certification are accepted by the Authority.10. All text in blue in the template gives instructions to procurers on preparing the PQQ for publication. You must delete Blue text prior to formally issuing the PQQ.



[Security Classification]Potential Provider Name: Potential Provider Reference:

DEFENCE AND SECURITYPRE-QUALIFICATION QUESTIONNAIRE (v3.3)

Contracting Authority: [Insert name and address of the procurer, including contact telephone and email address]

Requirement: [Insert title of requirement, the reference of any document describing the requirement including the contract notice and any reference number (e.g. the proposed contract number)]

Issue date: [Insert date of issue]

Return date: [Insert date of return]

Note that PQQs received after the return date may not be considered.




Guidance Instructions and ConditionsI. Introduction 1. The Authority issues this Pre-Qualification Questionnaire (“PQQ”) for the procurement of [Note to Authority: Insert title] which we will conduct in accordance with the [Note to Authority: Insert name of procurement procedure] under the Defence and Security Public Contracts Regulations 2011 (“the DSPCR”).2. The Authority requires the information sought in this PQQ from each Potential Provider that wishes to participate in this procurement. Only Potential Providers who are successful at PQQ stage will be invited to proceed to the next stage of the procedure.

II. Notes for completion by Potential Provider 1. The following definitions are used in this document:

“We” or “Authority” means the [Note to Authority: Insert the name of contracting authority or entity].“You” or “Your” or the “Potential Provider” means the business or company which is completing this PQQ.

2. Please ensure that you complete the questionnaire as requested. Failure to do so may result in your application to participate in the procurement procedure being disqualified. If the question does not apply to you please write N/A; if you do not know the answer please write N/K. Where you cannot complete a question, the Authority reserves the right to require further clarification or supplementary information. 3. Where you have a valid reason for being unable to provide the specific information requested in relation to Economic and Financial Standing, Technical and Professional Ability, Defence and Security Sector Matters or Project Matters; other information may be accepted but only if it is considered appropriate by the Authority.4. All questions should be answered without reference to general marketing or promotional material. 5. Please answer every question in English. If any of the required information (e.g. text in financial accounts) is not in English, you must supply a copy of the original document and an English translation of that information. 6. Where financial information is quoted in figures other than pounds sterling; the sum should be stated in both the original currency and pounds sterling. You should use exchange rates quoted (by national central banks, international institutions or commercial banks operating in the foreign exchange market) on the day this PQQ was issued for all currency conversions, and you must state the exchange rate used in your response. 7. You must inform the Authority of any material changes to the information provided as soon as you become aware of the change.



[Security Classification]Potential Provider Name: Potential Provider Reference:III. Return of this PQQ 1. Please return this form no later than … [Note to Authority: Insert time and date] to:[Note to Authority: Insert Name

Insert OrganisationInsert Address]

2. In your response, you must provide the name, position and contact detail for the person within the business or company of the Potential Provider responsible for this requirement in Part 1 - Form A. 3. The completed PQQ should be sent in a plain envelope with the following reference included in the bottom left corner [Note to Authority: Insert contract number] when returned to the Authority.4. The Authority does not accept responsibility for the premature opening or mishandling of envelopes that are not submitted in accordance with these instructions.

IV. Contact point within the Authority for all queries 1. Name: … [Note to Authority: Insert name of individual acting as contact point for this procurement]2. Telephone: … [Note to Authority: Insert full number, including international country code, e.g. +44 117 913 xxx] 3. Fax: … [Note to Authority: Insert full number]4. E-mail: … [Note to Authority: Insert full external e-mail address]

V. Verification of Information Provided 1. The higher the value and technical complexity of the procurement, the higher the level of verification that is likely to be required. Not all questions require supporting documents at this stage (for example certificates or statements). Each question in the PQQ will state what documentary evidence is required and when it is required to be submitted. The Authority may ask to see these documents at a later stage, so it is advisable you ensure they can be made available upon request. 2. You may also be asked to clarify your answers or provide more details about certain issues. 3. Any serious misrepresentation in providing the information requested or failure to provide any of the information requested in the PQQ or in response to a request for clarification by the Authority may result in the Potential Provider’s exclusion from the competition on discretionary grounds under Regulation 23(4)(i) of the DSPCR.4. The Authority may seek independent financial and market advice to validate information declared by you or to assist in the evaluation. Reference site visits,



[Security Classification]Potential Provider Name: Potential Provider Reference:demonstrations, or presentations are unlikely to be requested at this stage but the Authority reserves the right to request these as a part of the PQQ process.




VI. Supply Chain 1. The purpose of this section is to provide the Authority with sufficient information to pre-qualify and select tenderers from Potential Providers. The information supplied under the PQQ will not be used to influence the selection of subcontractors. The Authority requires this information for [Note to Authority: Insert how far down the supply chain you require information on, which must be proportionate and relevant to the requirement].2. Where the Potential Provider will rely on the capacities or resources of third parties in its supply chain for the delivery of goods, works or services, or both, under any ensuing contract:

all information provided in response to this PQQ must be given in respect of the Potential Provider; and

the Potential Provider must also provide in a separate Annex details of the composition of the supply chain as currently envisaged for the requirement identified in this PQQ, identifying in particular where the Potential Provider is relying on the capacity or resources of third parties, including:o the company / organisation name of any third party in that supply

chain;o the elements of the requirement for which the third party in that

supply chain will be responsible; ando information of a type and form similar to that required of the

Potential Provider by this PQQ to prove the supply chain has the necessary capacities or resources to allow the Potential Provider to fulfil the requirement.

3. Failure to prove to the Authority that the supply chain has the necessary capacity or resources to allow the Potential Provider to fulfil the contract may affect the suitability of the Potential Provider to proceed with the procurement process. You should be aware that the Authority may require an undertaking from any third party in the supply chain that it has the necessary capacity or resources to allow the Potential Provider to fulfil the contract. 4. At any stage in the procurement process, Potential Providers must, as soon as possible, notify the Authority in writing of any significant change to the proposed supply chain. The Authority reserves the right to require the responses to the PQQ to be updated to reflect the revised arrangement so that it can make a further assessment by applying the selection criteria to the new information provided, which may affect the suitability of the Potential Provider to proceed with the procurement process.

VII. Consortia Arrangements 1. If the Potential Provider has requested to participate in this procurement and stated its intention to bid as a consortium, the following information must be provided:




a. full details of the consortium; andb. the information sought in this PQQ, for each of the consortium’s constituent members, gathered together in a single response.

2. 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 the consortium arrangements should be provided in the Annex. However, please note the Authority reserves the right to require a successful consortium to form a single legal entity in accordance with Regulation 28 of the DSPCR.3. At any stage in the procurement process, Potential Providers must, as soon as possible, notify the Authority in writing of any material change in relation to the proposed consortium arrangement (including any change of roles or responsibilities and the addition or removal of consortium members). The Authority reserves the right to require the responses to the PQQ to be updated to reflect the revised arrangement so that it can make a further assessment by applying the selection criteria to the new information provided, which may affect the suitability of the Potential Provider to proceed with the procurement process.

VIII. Selection of Tenderers 1. During the PQQ stage, the intention is to arrive at a Short List of [Note to Authority: Insert number which must be at least three and may be expressed as a range, if you express a range you must indicate how you will choose the exact number to proceed] qualified Potential Providers for formal invitation to tender, negotiate or participate in a dialogue as applicable to the procurement process against the requirement as advertised in … [Note to Authority: Insert date, reference and publication of advert].2. The criteria applied for the selection of tenderers are:

a. the mandatory and discretionary grounds for exclusion relating to the personal situation of the Potential Provider (see Part 1 Forms B and C); [Note to Authority: Insert:b. any minimum levels of economic or financial standing or technical or professional ability that the Authority requires (which must be related and proportionate to the subject matter of the contract); c. the objective and non-discriminatory selection criteria used to reduce the number of Potential Providers to the minimum stated above; and d. any scoring methodology (e.g. marks and weightings) used to evaluate the returned PQQs.]

[Note to Authority: Appendix 1 provides a suggested approach which details how a mixed pass / fail and scored PQQ will be evaluated and sets out the pass criteria with scores for the questions. If you are not using this framework please delete and insert your alternative.



[Security Classification]Potential Provider Name: Potential Provider Reference:You must state the minimum capacity level for the safeguarding of classified information if you wish to reject Potential Providers that do not have a sufficient level of security clearance. If possible and appropriate Potential Providers should be allowed time to obtain such a clearance before the planned contract award date, or a specified date if clearance is required to take part in the competition.] 3. The Authority will contact you again by: … [Note to Authority: Insert date] to let you know whether you have been successful. If so, you will then be invited to tender for the contract.

IX. Selection of Subcontractors [Note to Authority: You must include a specific reference in the contract notice to this section in the PQQ explaining that it sets out criteria for the rejection or selection of subcontractors. You must state the minimum equivalent clearance level for the safeguarding of classified information if you wish to reject subcontractors that do not have a sufficient level of security clearance.These criteria must be objective and non-discriminatory and consistent with the criteria applied by the Authority for selection of the Potential Provider. The capabilities required must be directly related to the subject of the sub-contract and the levels of ability must be commensurate with it.]1. The Authority reserves the right under Regulation 37(4) in the DSPCR to reject any subcontractor chosen by the Potential Provider at any stage of the contract award procedure or during performance of the contract. A rejection may only be based on the criteria applied for the selection of tenderers at paragraph VIII.2(1) and VIII.2(2) above. 2. The Authority requires that the following criteria must be used by the Potential Provider as part of the selection of subcontractors:

[Note to Authority: (Please ensure you read Chapter 14 of the DSPCR guidance on subcontracting as it sets out how the subcontracting provisions work) Insert either or both:a. Any criteria for the rejection of economic operators under Regulation 23 that the Authority requires the Potential Provider to use for the selection of subcontractors (please consider in particular Regulation 23(4)(g) in the context of any previous breaches of obligations relating to security of supply or security of information and Regulation 23(4)(f)) relating to findings of unreliability ; b. Any minimum levels of economic and financial standing or technical and professional ability under Regulation 24 or 25 which the Authority requires the Potential Provider to use for the selection of subcontractors.]



[Security Classification]Potential Provider Name: Potential Provider Reference:X. Clarification Process 1. The cut-off date for clarification questions is before [Note to Authority: insert time] on the [Note to Authority: insert date]. The Authority reserves the right not to respond to queries submitted after this date.2. All responses received and any communication from you will be treated in confidence. However, where the Authority considers any question or request for clarification to be of material significance to the procurement process, it may communicate both the query and the response, without identifying the originator, to all Potential Providers who are participating in the process. 3. If you do not wish for a query or response to be disclosed to other Potential Providers you must tell the Authority this and the reason why when raising the query. The Authority will consider the request and may choose to discuss with you whether it is appropriate to disclose the query or the response, or both, to other Potential Providers. In cases where the Authority would disclose the question and the answer to other Potential Providers you will be entitled to withdraw the question.

XI. Costs and Expenses 1. Potential Providers are responsible for their costs and expenses incurred in connection with the preparation and submission of the PQQ and all future stages of the selection and tender process. The Authority, or any of its advisers, does not accept any liability in respect of this PQQ or any supporting documentation or liability for any costs or expenses borne by the Potential Provider or any of their Sub-Contractors or advisers in this process.

XII. Right to Cancel or Vary the Process 1. The Authority reserves the right to:

a. cancel the pre-qualification process and evaluation process at any stage; b. amend the terms and conditions of the procurement process; andc. not to award a contract as a result of the procurement process.

XIII. PQQ Documents 1. This Guidance, Instructions and Notices, the PQQ and any related documents (referred to as the “PQQ Documents”) have been prepared by the Authority for the purpose of providing an application procedure for individuals or organisations interested in tendering for the [Note to Authority: insert name of requirement] and to assist Potential Providers in making their own evaluation of the potential opportunity.2. Whilst prepared in good faith, the PQQ Documents are intended only as a preliminary background explanation of the Authority’s activities and plans and are not intended to form the basis of any decision on whether to enter into any contractual relationship with the Authority. The PQQ Documents do not purport



[Security Classification]Potential Provider Name: Potential Provider Reference:to be all-inclusive or to contain all of the information that a Potential Provider may require in the performance of a contract.3. Any persons considering making a decision to enter into contractual relationships with the Authority following receipt of the PQQ Documents should make their own investigations and their own independent assessment of the Authority and their requirements for the [Note to Authority: insert name of requirement] and should seek their own professional financial and legal advice.4. None of the Authority, its advisors, or the directors, officers, members, partners, military or civilian personnel, employees, other staff, agents or advisers of any such body or person:

a. makes any representation or warranty (express or implied) as to the accuracy, reasonableness or completeness of the PQQ Documents; b. accepts any responsibility for the information contained in the PQQ Documents or for its accuracy or completeness; orc. shall be liable for any loss or damage (other than in respect of fraudulent misrepresentation) arising as a result of reliance on such information or any subsequent communication.

5. Only the express terms of any written contract relating to the subject of the PQQ Documents as and when it is executed, shall have any contractual effect in connection with the matters to which it relates. That contract will be governed by English or Scottish law, as specified in the contract.6. Nothing in the PQQ Documents is, or should be, relied upon as a promise or a representation as to the Authority’s ultimate decisions in relation to the [Note to Authority: insert name of requirement] contract. The publication of the PQQ Documents in no way commits the Authority to award any contract or pursue any tender process for the [Note to Authority: insert name of requirement].

XIV. Confidentiality and Freedom of Information 1. The information in the PQQ Documents is made available on condition that it is treated as confidential by the Potential Provider and is not disclosed, copied, reproduced, distributed or passed to any other person at any time except for the purpose of enabling a submission to be made (for example, disclosure by a Potential Provider to its insurers or potential suppliers who are directly involved in the bid is permitted provided they have each given an undertaking at the time of receipt of the relevant information (and for the benefit of the Authority) to keep such information confidential).2. The Authority is subject to the requirements of the Freedom of Information Act 2000 and the Environmental Information Regulations 2004, the subordinate legislation made under those Act / Regulations and any guidance and / or codes of practice issued (from time to time) in relation to such legislation. Potential Providers are required to (where known at the time):

a. specify (with reasons) the PQQ responses which they regard as falling within any of the exemptions from disclosure specified under the Act /




Regulations including (without limitation) information provided in confidence; andb. state which provisions of the Act/Regulations apply to the PQQ responses identified under XIV.2a above.

3. The Authority shall be responsible for determining, at its absolute discretion and subject to its legal obligations, whether any of the exemptions from disclosure under the Freedom of Information Act 2000 or the Environmental Information Regulations 2004, including those claimed by the Potential Provider, should apply. Nothing in this provision will affect the Potential Provider’s rights at law.

XV. Data Protection 1. The Authority will process personal data provided in any PQQ response only for evaluation for the selection of Prospective Providers under this procurement process for the stated requirement. The Authority will comply with its obligations as a data controller under the Data Protection Act 2018 for this procurement process.

XVI. Conflicts of Interest 1. The Authority is required by Regulation 5(2) to ensure that all Potential Providers are treated equally and in a non-discriminatory way during the procurement process. The Authority therefore needs to eliminate or mitigate conflicts of interest so as to ensure a fair and non-discriminatory procurement process. 2. Potential Providers should note that, subject to the terms of this PQQ, the Authority reserves the right to disqualify a Potential Provider where there is an actual or potential conflict of interest, including in relation to any other party identified in response to this PQQ. Such identified parties may include an associated company or member of any consortium or proposed sub-contractors. 3. Potential Providers are required to review carefully the prior or current involvement of the Potential Provider or any other identified party before submission of the completed PQQ. 4. Potential Providers must report to the Authority whether or not they have identified from this review any actual or potential conflicts of interest arising from the Potential Provider or any other identified party’s participation in the procurement5. If the Authority considers there is a conflict of interest, it is a condition precedent for participation in the procurement that the Potential Provider to demonstrate to the absolute satisfaction of the Authority that the Potential Provider or the other identified party has or will put in place measures to eliminate any unfair advantage it may have and ensure that its participation will not distort the competition. 6. The measures mentioned at paragraph 5 above are likely to include physical separation, protection of information, control of personnel and managerial and administrative separation, as appropriate.



[Security Classification]Potential Provider Name: Potential Provider Reference:7. If the Potential Provider puts in place measures to mitigate any risk from a conflict of interest, the Authority may make such measures contractually binding commitments on the part of a Potential Provider or the other identified party.8. Any Potential Provider should take this condition into account when deciding whether to participate in this procurement.

XVII. Anti-Competitive Behaviour 1. The Authority is required by Regulation 5(2) to ensure that all Potential Providers are treated equally and in a non-discriminatory way during the procurement process. The Authority therefore needs to prohibit anti-competitive behaviour so as to ensure a fair and non-discriminatory procurement process. 2. You are required to report any final convictions or settlements with regard to anti-competitive behaviour (and if so, any measures that you have taken to prevent such behaviour happening again) in your response to the appropriate question(s) in Forms B and C (which depends on the nature of the conviction or settlement).3. If the Authority suspects anti-competitive behaviour, the Authority will require evidence from you that your arrangements are not anti-competitive. Any evidence of any anti-competitive behaviour in relation to this procurement could result in you being disqualified from the procurement process.




PART 1: FORM A: Organisation and Contact Details1.1 ORGANISATION DETAILS1.1.1 Full name of organisation tendering (or of organisation acting as lead contact where a consortium bid is being submitted).1.1.1.2 Address Line 11.1.1.3 Address Line 21.1.1.4 Address Line 31.1.1.5 Town1.1.1.6 County1.1.1.7 Post Code1.1.1.8 Country1.1.1.9 Company or charity registration

number1.1.1.10 Data Universal Numbering System

(DUNS) number. If your organisation does not have a DUNS number please obtain one from Dun & Bradsheet.

1.1.1.10 VAT registration number1.1.1.11 Name of immediate parent company1.1.1.12 Name of ultimate parent company1.1.13 Type of organisation

i) a public limited company.ii) a limited company. iii) a limited liability partnership. iii) other partnership. iv) sole trader. v) other (please specify).

1.2 CONTACT DETAILSContact details for enquiries about this PQQ1.2.1 Name1.2.2 Address Line 11.2.3 Address Line 21.2.4 Address Line 31.2.5 Town1.2.6 County1.2.7 Post Code1.2.8 Country1.2.9 Telephone Number1.2.10 Mobile Number1.2.11 Email

1.3 CONSORTIA AND SUB-CONTRACTING




1.3.1 Please confirm the following:a) Your organisation is bidding to provide the

goods/services required itself.b) Your organisation is bidding in the role of Prime

Contractor and intends to use third parties to provide some goods/services.

c) The Potential Provider is a consortium.

If your answer is (b) or (c) please indicate in a separate annex by confirming the relevant company / organisation name, the composition of the supply chain, indicating which member of the supply chain (which may include the Potential Provider solely or together with other providers) will be responsible for the elements of the requirement.

1.4 FOR COMPLETION BY NON-UK BUSINESSES ONLY

1.4.1 Registration with professional body

Is your business registered with the appropriate trade or professional register(s) in the EU member state where it is established (as set out in Schedule 3 of the DSPCR) under the conditions laid down by that member state).

1.4.2 If “yes”, please provide a copy of the certificate of registration or similar record.

1.4.3 Is it a legal requirement in the State where you are established for you to be licensed or a member of a relevant organisation in order to provide the requirement in this procurement?

1.4.4 If “yes”, please provide details of what is required and confirm that you have complied with this.



[Security Classification]Potential Provider Name: Potential Provider Reference:PART 1: FORM B - Grounds for mandatory rejectionIMPORTANT NOTICE: The Authority may be required by Regulation 23 of the DSPCR to exclude you from participating in this procurement. If you answer “Yes”, please set out (in a separate Annex) full details of the relevant conviction and any remedial action taken including any compensation paid, steps taken by you to aid the investigation of the matter, measures that you have taken to prevent further offences or misconduct. If you answer “No”, but wish to provide any information relevant to these questions, please put an asterisk against your answer and provide the information in a separate Annex.Please state ‘Yes’ or ‘No’ to each question.

2.1 Has your organisation or any directors or partner or any other person who has powers of representation, decision or control been convicted of any of the following offences?

Answer

a) Conspiracy within the meaning of section 1 or section 1A of the Criminal Law Act 1977 or article 9 or 9A of the Criminal Attempts and Conspiracy (Northern Ireland) Order 1983, or in Scotland the Offence of conspiracy, where that conspiracy relates to participation in a criminal organisation as defined in Article 2 of Council Framework Decision 2008/841/JHA;

b) Involvement in serious organised crime or directing serious organised crime within the meaning of section 28 or 30 of the Criminal Justice and Licensing (Scotland) Act 2010;

(c) 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*;

(d) The offence of bribery;

(e) Bribery within the meaning of section 1, 2 or 6 of the Bribery Act 2010;

(f) Bribery or corruption within the meaning of section 68 and 69 of the Criminal Justice (Scotland) Act 2003;

(g) 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* the Theft Act (Northern Ireland) 1969*, the Theft Act 1978* or the Theft (Northern Ireland) Order 1978*;




(iv) fraud within the meaning of section 2, 3 or 4 of the Fraud Act 2006;

(v) in Scotland, the offence of fraud;

(vi) in Scotland, the offence of theft;

(vii) fraudulent trading within the meaning of section 458 of the Companies Act 1985, article 451 of the Companies Act (Northern Ireland) Order 1986 or section 993 of the Companies Act 2006;

(viii) 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*;

(ix) an offence in connection with taxation in the European Union within the meaning of section 71 of the Criminal Justice Act 1993;

(x) 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* or making, adapting, supplying or offering to supply articles for use in frauds within the meaning of section 7 of the Fraud Act 2006;

(xi) in Scotland the offence of uttering; or

(xii) in Scotland, the criminal offence of attempting to pervert the course of justice;

(h) Money laundering within the meaning of section 93A, 93B, or 93C of the Criminal Justice Act 1988, section 45, 46 or 47 of the Proceeds of Crime (Northern Ireland) Order 1996 or the Money Laundering Regulations 2003 or money laundering or terrorist financing within the meaning of the Money Laundering Regulations 2007*;

(i) Terrorist offences or offences linked to terrorist activities, as defined in Articles 1 and 3 of Framework Decision 2002/475/JHA*;

(j) An offence in connection with proceeds of drug trafficking within the meaning of section 49, 50 or 51 of the Drug Trafficking Act 1994;

(k) In Scotland, the offence of incitement to commit any of the crimes described in Regulation 23(1);

(l) Any other offence within the meaning of Article 39(1) of the Defence and Security Procurement Directive 2009/81/EC as defined by the national law of any member State.

* including amendments to the legislation




PART 1: FORM C - Grounds for discretionary rejectionIMPORTANT NOTICE: The Authority is entitled to exclude you from participating in this procurement if any of the following apply but may decide to allow you to proceed further. If you cannot answer ‘no’ to every question it is possible that your application might not be accepted. In the event that any of the following do apply, please set out (in a separate Annex) full details of the relevant incident and any remedial action taken subsequently. The information provided will be taken into account by the Authority in considering whether or not you will be able to proceed any further in respect of this procurement exercise. Please state ‘Yes’ or ‘No’ to each question.

3.1 Is any of the following true of your organisation?(a) being an individual,is a person in respect of whom a debt relief order has been made or is bankrupt or has had a receiving order or administration order or bankruptcy restrictions order or debt relief restrictions order made against him or has made any composition or arrangement with or for the benefit of creditors or has made any conveyance or assignment for the benefit of 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 of the company’s business or is the subject of similar procedures under the law of any other State?3.2 Has your organisation(a) been convicted of a criminal offence relating to the conduct of its business or profession, including, for example, any infringements of any national or foreign law on protecting security of information or the export of defence or security goods;(b) committed an act of grave misconduct in the course of its business or profession, including a breach of obligations regarding security of information or security of supply required by the contracting authority in accordance with Regulation 38 or 39 of the DSPCR during a previous contract;




(c) been told by a contracting authority, that your organisation does not to possess the reliability necessary to exclude risks to the security of the United Kingdom*;(d) failed to fulfil obligations relating to the payment of social security contributions under the law of any part of the United Kingdom or of the member State in which it is established;(e) failed to fulfil obligations relating to the payment of taxes under the law of any part of the United Kingdom or of the member State in which it is established; 3.3 Modern Slavery(a) Are you a relevant commercial organisation as defined by section 54 ("Transparency in supply chains etc.") of the Modern Slavery Act 2015 ("the Act")?(b) If you have answered ’Yes’ to question 3.3(a) are you compliant with the annual reporting requirements contained within Section 54 of the Act 2015?

If yes, please provide the relevant url:

If no, please provide an explanation:

Yes ☐

No ☐

* Please note that under the DSPCR the Authority may, on the basis of any evidence, including protected data sources, not select Potential Providers that do not possess the reliability necessary to exclude risks to the security of the United Kingdom.




PART 1: FORM D - Economic and Financial StandingIMPORTANT NOTICE: Where the Potential Provider is a consortium or association of suppliers, the financial information is required for each Potential Provider that is a member of the consortium or association. Where the Potential Provider is a subsidiary of a group, the financial information is required for both the subsidiary and the parent company.

4.1 FINANCIAL INFORMATION

4.1.1 What was your overall turnover in each of the last two financial years?

£………… for year ended -- /--/----£………… for year ended -- /--/----

The annual contract value is [Note to Authority: Insert figure]. A low turnover compared to annual contract value will not automatically exclude the Potential Provider from being selected to tender. To provide evidence that mitigates any financial risk, if the annual contract value is greater than 25% of the Potential Provider’s turnover, the Potential Provider must:

(1) Provide any additional information showing it has sufficient economic and financial resources to deliver the requirement; and (2) State whether the Potential Provider is willing to provide the Authority with a bank guarantee or parent company guarantee or other guarantees of performance

[Note to Authority: – Before you issue the PQQ, the Authority must indicate (by choosing the appropriate optional text below) what information you require the Potential Provider to submit out of the options below so that you can carry out a financial health evaluation. For competitive contracts over £2M, this must include at least two years audited accounts (if available) to identify any significant financial trends.]

4.2 Please provide the information indicated below

A copy of your audited accounts for the most recent two years or for the period that is available if trading for less than two years.

[Note to Authority: Choose “This information must be submitted” or “Not required”]

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.


Alternative means of demonstrating financial status if trading for less than a year.





4.

4.3 INSURANCE

4.3.1 Employer’s liability insurance is a legal requirement (except for businesses employing only the owner / close family members) and this should be at least £5 million. Please confirm that you have this in place.[Note to Authority: Other aspects of Insurance will be addressed through contract conditions]

Please indicate Yes / No




PART 1: FORM E - Technical and Professional AbilityIMPORTANT NOTICE: Where the Potential Provider is a special purpose vehicle or not intending to be the main provider of the goods or services, the information requested should be provided in respect of the principal intended provider of the goods or services.

5.1 EXPERIENCE AND CONTRACT EXAMPLES

Please provide details of up to three contracts from either or both the public or private sector, which are relevant to the Authority’s requirement. Contracts for the supply of goods or services or works should have been performed during the past five years. [Note to Authority: You may specify a shorter period for goods and services, if necessary] The customer contact should be prepared to speak to the purchasing organisation to confirm the accuracy of the information provided below if we wish to contact them).

Contract 1 Contract 2 Contract 3

5.1.1 Customer Organisation (name)

5.1.2 Contact Name

5.1.3 Contact Telephone Number

5.1.4 Contact Email Address

5.1.5 Contract start date

5.1.6 Contract complete date

5.1.7 Contract Value

5.1.8 Brief description of contract (max 150 words) including evidence as to your technical capability in this market.

5.2 EXPERIENCE AND CONTRACT EXAMPLES

5.2.1 If you cannot provide at least one example, please briefly explain why (100 words max)




5.3 Mandatory Selection Criterion for the Government’s Cyber Essentials Scheme

For all requirements involving the transfer of [Note to Authority: insert your organisation name]’s identifiable information from customer to supplier or the generation of information by supplier(s) specifically in support of the [Note to Authority: insert your organisation name] contract, the [Note to Authority: insert your organisation name] will require suppliers to have a Cyber Essentials certificate by the contract start date.The potential prime contractor must flow down this mandatory selection criterion to any part of the supply chain that falls within its scope.For further information on [Note to Authority: insert your organisation name] Identifiable Information please see [Note to Authority: insert a web link to where further information can be obtained, for information the MOD link is https://www.gov.uk/government/publications/industry-security-notices-isns]Please confirm that where [Note to Authority: insert your organisation name] Identifiable Information is being generated or transferred under this requirement your organisation and all members of your supply chain and Group of Economic Operators (where applicable), comply with the criteria set out below. You are required to answer ‘Yes’ or ‘No’ against each question and you have the option to provide comments in support of your answer at 5.3.5.

5.3.1 Your organisation currently has a current and valid Cyber Essentials certificate, which has been awarded by one of the government approved Cyber Essentials accreditation bodies within the last 12 months

5.3.2 Your organisation does not currently have a current and valid Cyber Essentials certificate which has been awarded by one of the government approved Cyber Essentials accreditation bodies BUT you are working towards gaining it, and will be in a position to confirm that you have been awarded a current and valid Cyber Essentials certificate by one of the government approved accreditation bodies by the Commencement Date of the Contract.



https://www.gov.uk/government/publications/industry-security-notices-isns


5.3.3 Your organisation does not have a current and valid Cyber Essentials certificate which has been awarded by one of the government approved Cyber Essentials accreditation bodies, but you can

demonstrate (or will be able to demonstrate by the Commencement Date of the Contract) that your organisation meets the technical requirements prescribed by the Cyber Essentials Scheme (as detailed in the following link: https://www.cyberessentials.ncsc.gov.uk/): and

provide evidence of verification by a technically competent and independent third party (which has taken place within the last 12 months) that your organisation demonstrates current compliance with Cyber Essentials technical requirements.

5.3.4 Please confirm you are working with your proposed supply chain to ensure where appropriate that they either have a Cyber Essentials certificate, are working towards obtaining one or that they can demonstrate and provide evidence that they have the technical requirements prescribed by the Cyber Essentials Scheme as detailed in the link above, and that you will have this in place by the Commencement Date of each of your supplier Contracts. (Answer ‘No’ if this does not apply (e.g. there is no supply chain) and explain at 5.3.5).

5.3.5 If you have any comments you wish to offer in support of your answers, for example if you want to explain why not every member of your supply chain holds the appropriate level of certification, you can provide them here. The Authority may, at its discretion, consider your comments when determining whether it will pass or fail your answers. Note: You are not obliged to provide any comments; the option to provide them is to allow you to offer the rationale for your answers where you feel it necessary to do so.



https://www.cyberessentials.ncsc.gov.uk/


PART 2: FORM F: Project Questions [Note to Authority: Insert here any additional technical or professional capability questions relevant to the requirement. You may choose from the optional questions below, which may be deleted, amended or supplemented for specific requirements. Any additional financial questions must be strictly necessary for delivering the project. All questions or information requested must be relevant and proportionate to the subject matter of the contract. You must clearly state the form and nature of any document or evidence required so that the Potential Providers know what they must do to satisfy the questions that you ask.]6.1 Addition Questions for Technical or Professional Capability: 6.1.1 Please provide details of the technicians or technical services available to the Potential Provider to perform the contract, particularly those involved with quality control, whether or not they are independent of the Potential Provider. For this requirement the Potential Provider is expected to have access to: [Note to Authority: Insert list of types of technicians / technical services required]

Statement of technicians and technical services available to the Potential Provider

6.1.2 Please provide details of the Potential Provider’s technical, study and research facilities available to perform the contract. For this requirement the Potential Provider is expected to have access to: [Note to Authority: Insert list of facilities]

Statement of available technical facilities, and study and research facilities




6.1.3 Please provide details of the Potential Provider’s measures for ensuring quality in relation to the goods to be sold or hired or the services provided under the contract. For this requirement the Potential Provider is expected to have or be prepared to get: [Note to Authority: insert list of required quality management accreditation and standards]

Details of the Potential Provider’s measures to ensure quality such as any recognised quality management certification or quality management systems If the Potential Provider does not have quality certification or a quality management system, please explain why:

6.1.4 If available, provide a Certificate of Satisfactory Completion (works) or Certificate of completion from a customer confirming that the supplies or services were satisfactorily delivered to the correct quality standard.

6.1.5 The standards and technical specifications (within the meaning of regulation 12(1)) required by the Authority are [Note to Authority: list or reference the required standards and technical specifications that are apply to the requirement so the Potential Provider can answer the question below.]

6.1.6 Certification by official quality control institutes or agencies of recognised competence attesting that the goods to be purchased or hired under the contract (for supplies) conform to standards and technical specifications (within the meaning of regulation 12(1)) identified by the Authority above.



[Security Classification]Potential Provider Name: Potential Provider Reference:6.1.7 Please provide details of the Potential Provider’s, tools, material, technical equipment, know-how and sources of supply available to perform the contract.

Statement of available tools, material, technical equipment, know-how and sources of supply

6.1.8 If the requirement is to provide services, works and services or services covering siting and installation operations as part of a supply contract, please provide details of the educational and professional qualifications of either the Potential Provider (if an individual), or the Potential Provider’s managerial staff, or the one or more persons responsible for providing the services.

Potential Provider

The Potential Provider’s managerial staff, if any

The one or more persons who would be responsible for providing the services or carrying out the works.

6.1.9 Please provide details of the Potential Provider’s technical ability to perform the contract, including details of skills, efficiency, experience and reliability relevant to the contract.

Details of the Potential Provider’s technical ability

Please answer the following questions related to health & safety:

6.1.10 Please confirm that your organisation has a Health and Safety Policy that complies with current legislative requirement

6.1.11 Has your organisation or any of its Directors or Executive Officers been in receipt of enforcement/remedial orders in relation to the




Health and Safety Executive (or equivalent body) in the last 3 years

6.1.12 If you use sub-contractors, for all key sub-contractors (including sub-contractors that deliver any steel that will be used in performing the contract), then: 1. (i) do you have the processes in place to check whether any of the circumstances outlined at 6.1.10 and 6.1.11 apply to these other organisations; and 2. (ii) are you able to confirm the subcontractors are compliant with the relevant health and safety and employment legislation that applies to their work under the subcontract.

6.1.13 If you have any comments you wish to offer in support of your answers to the health & safety questions you can provide them here.




[Note to Authority: The use of the Contracting, Purchasing and Finance (CP&F) system is mandatory in the MOD for all contracts. MOD procurers must include the following question on electronic purchasing. Other Government Department procurers may adapt the question for their electronic purchasing systems.]

The Authority will trade electronically with the Contractor during the life of the Contract using the Contracting, Purchasing and Finance (CP&F) system. Whilst the use of CP&F is a mandatory requirement for this Contract, the Authority does not require you to be already connected electronically to the CP&F system. The Authority does need to be assured that you have the technical ability to trade electronically and connect to the CP&F system if you were awarded the Contract. You can find details of the CP&F system and how to connect to the CP&F system at https://www.gov.uk/government/publications/mod-contracting-purchasing-and-finance-e-procurement-system Please state “Yes” or “No” for each following question:

Answer

6.1.14 Do you possess the technical equipment and know-how to conduct electronic trading with the Authority by being already connected to the CP&F system?6.1.15 If you answered “No” to 6.2.10 above, please confirm that you possess the technical ability to take all necessary measures to connect to the CP&F system if the Authority decides to award the Contract to you?



https://www.gov.uk/government/publications/mod-contracting-purchasing-and-finance-e-procurement-system

https://www.gov.uk/government/publications/mod-contracting-purchasing-and-finance-e-procurement-system


PART 2: FORM G: Defence and Security Questions 7.1 Security of Information: [Note to Authority: This question should only be used where the requirement or execution of the contract includes the protection of classified information as defined in DSPCR 2011.] Note to Potential Provider: The Authority will verify the information you give in reply to these questions with your own National or Designated Security Authority. For UK suppliers, FSC means “List X” status.

7.2 The Potential Provider must state its ability to process, store and transmit classified information at [Note to Authority: Insert level of Classification] by describing the required Facility Security Clearance (FSC) granted by its National or Designated Security Authority under the relevant national rules in the boxes below. Potential Providers must also provide similar evidence of their subcontractors’ ability to handle classified information at this level of protection, where required by the sub-contract performance. Company Name Facility Security Clearances

7.2.1 If a Potential Provider or subcontractors do not possess the required FSC, it is to state whether: a) the Company has applied for and waiting for a FSC; or has previously applied unsuccessfully for a FSC; or has not applied for FSC but is willing to apply for FSC; and b) the Company is also prepared to take all necessary security measures to obtain an FSC under their relevant national rules. 7.2.2 The time limit for acquiring FSC is [Insert date which must be (1) the planned date for contract award; or (2) if classified information marked CONFIDENTIAL or above is required as part of the tendering exercise; the planned date of issue of the contract documents to tenderers]. Please confirm your understanding that FSC must be in place before this date




7.3 Security of Supply (1): [Note to Authority: This question should be used when security of supply is of importance to the requirement.] 7.3.1 Further to the response at question 6.2.7 above in Form F, the Potential Provider is to describe the sources of supply that are outside the European Union which the Potential Provider has as its disposal or on which it will significantly rely to perform the contract, and cope with any additional needs the Authority may have as a result of crisis. Name of Resource Location of

ResourcesOutside the EU

Type of Goods, Works or Services

Criticality to meeting the requirement

7.4 Security of Supply (2)

7.4.1 The Potential Provider is to describe how it will manage the supply chain to mitigate any risks to the performance of the contract and satisfy any additional needs the Authority may have as a result of crisis arising from identified sources of supply (in particular those that are outside the European Union) which the Potential Provider has as its disposal or on which it will significantly rely.




7.5 Intellectual Property Rights: [Note to Authority: This question is to be used where access to Intellectual Property or retaining Intellectual Property within either UK or EU territory is of critical importance.]7.5.1 The Potential Provider is to state its internal rules with regard to Intellectual Property (IP), in particular with regard to its business approach to dealing with intellectual property necessary to meet the Authority’s requirements, to include its ability to:

Protect and maintain the confidentiality of IP both provided by the Authority and generated by the Potential Provider to meet the Authority’s requirements;

Acquire and maintain access to the IP necessary to meet the Authority’s requirements. This includes technology transfer to or from a parent company or a subsidiary company or a subcontractor or third party located outside the UK or EU on which the Potential Provider will significantly rely to meet the Authority’s requirements;

Grant licence rights or assign IP to the Authority as necessary to meet the Authority’s requirements; and

Demonstrate compliance with these internal rules to the Authority.

Statement of Internal Rules for Intellectual Property Rights




SIGNATURE

7 I declare that to the best of my knowledge the answers submitted in response to this PQQ, comprising ―Part 1

Form AForm BForm CForm DForm E

Part 2Form FForm G

Annexures (delete or add as appropriate)Annex 1 – [Description]Annex 2 – [Description]Annex 3 – [Description]and others …

are correct. I understand that the information will be used in the procurement process to assess my organisation’s suitability to be invited to tender for the Authority’s requirement. I understand that the Authority may not invite my organisation to tender if there is a failure to answer all relevant questions fully or if the response to the PQQ includes materially false or misleading information.

FORM COMPLETED BY

7.1 Name:

7.2 Date:

7.3 Signature on behalf of the Potential Provider:




PQQ Evaluation[Note to Authority: (1) The criteria and scoring methodology against which the completed PQQ will be assessed must be made available to all potential tenderers when the PQQ is issued. (2) This draft note and template is designed to help you provide this information. You may adapt the template to suit your needs, or use an alternative means to provide the information to potential tenderers. (3) The Evaluation Approach in the Matrix Template (Appendix 1) must indicate whether the question is a simple pass / fail test and set out what will happen if a question gets a score of pass / fail or if the answer to the question will be scored. If the answer is to be scored, you must tell potential tenderers:

how the question will be marked against the required standard; if there are any minimum required standards for the question, e.g.

whether a marking indicating an unacceptable response to a specific question would exclude them from being invited to tender; and

any weighting factors used in scoring the PQQ. (4) We recommend that you use a marking scheme for the PQQ based on a "weighted scoring approach", in which you score answers to the PQQ questions according to a predetermined scoring system, typically being scored 0-5. (5) The scores for PQQ questions are then multiplied by the weighting factor assigned to each Part of the PQQ on the basis of its importance relative to other Parts of the PQQ. The weighted scores for the Parts of the PQQ are then added together to give a total weighted score for that PQQ response. (6) You may not wish to score each part of the PQQ response. For example, a assessment of company financial information may not lend itself to scoring. In these cases it may be considered more appropriate to rate the responses on the basis of risk to contract performance (e.g. low, medium, high) and to consider these ratings and how the rating will tie into the scoring system along with the total weighted score awarded to that PQQ response. (7) If you use this template, you must strike out from the table below any Part 2 (Forms F to G) questions not used and insert additional questions together with their evaluation type and pass criteria.]

Chapter 14 - 34 of 43



Notes on PQQ Evaluation to Potential Tenderers1. The objective of the PQQ evaluation is to pre-qualify and select tenderers from Potential Providers for the [Insert name of project] in accordance with Paragraph VIII (Selection of Tenderers) of the Instructions for this Pre-Qualification.2. The PQQ will be evaluated in two stages:

Stage 1 (PASS / FAIL Evaluation) A number of PASS / FAIL questions each of which must be passed by the Potential Provider in order to progress to the second stage evaluation (except where the Authority has discretion not to fail the Potential Provider which is discussed at paragraph 8 below).

Stage 2 (Scored Evaluation)An assessment through a scoring methodology, by Subject Matter Experts (SMEs), of the responses and supporting evidence provided by a Potential Provider to each question with a range of criteria. The Authority may require Potential Providers to demonstrate a minimum capability in certain areas. Stage 2 will only be evaluated if the Potential Provider is successful in the Stage 1 evaluation i.e. he records passes in all of the questions in Stage 1.

3. All PASS / FAIL questions are detailed in Appendix 1 to this document. Potential Providers are to note that where a pass / fail question allows the Authority the discretion to pass/fail, then the Authority will exercise its discretion in determining the exclusion or not of a Potential Provider. 4. For those Potential Providers who are successful in the Stage 1 evaluation (i.e. they do not score “Fail” against any question); their capability will be assessed using a series of weighted questions and a scoring regime across a range of weighted criteria. The questions and criteria have been weighted to reflect the relevant importance of the question and criteria to the assessment of the capability of the Potential Provider. 5. The scores and weightings are detailed in Appendix 1 to this document. An individual weighted score is calculated for each question by multiplying the question weighting by the appropriate score allocated to the Potential Provider for that question. A total weighted score is then calculated by adding together the entire individual question weighted scores for the Potential Provider.




6. The Authority will score the Potential Provider’s response to each question based on its assessment of the evidence provided by the Potential Provider, as follows:

Score Description

0 No Answer

1 Poor [Note to Authority: Insert an explanation of what would constitute a “Poor” response]

2 Satisfactory [Note to Authority: Insert an explanation of what would constitute a “Satisfactory” response]

3 Good [Note to Authority: Insert an explanation of what would constitute a “Good” response]

4 Very Good [Note to Authority: Insert an explanation of what would constitute a “Very Good” response]

5 Excellent [Note to Authority: Insert an explanation of what would constitute a “Excellent” response]

7. At the end of the evaluation process, the Authority will wish to invite the [Note to Authority: insert number, minimum three] top-scoring Potential Providers to bid for the requirement in the next phase of the procurement process [Note to Authority: insert, if appropriate: provided their total score exceeds [insert minimum total score]]. Right to Reject and / or Disqualify8. The Authority reserves the right to reject or disqualify a Potential Provider where:

(a) the PQQ response is submitted late, is completed incorrectly, is incomplete or fails to meet the Authority’s submission requirements in the PQQ or as otherwise notified to Potential Providers prior to the deadline for submission of PQQ responses; (b) the Potential Provider would be excluded under Regulation 23 of the DSPCR 2011 at any stage during the pre-qualification and evaluation process; (c) the Potential Provider is guilty of serious misrepresentation in relation to its application and / or the process; (d) following pre-qualification of a Potential Provider for the next stage of the procurement there is a change in identity, control, financial standing or




other factor affecting the Potential Provider unless approved by the Authority; (e) if the Authority becomes aware that information provided by the Potential Provider in response to the PQQ is intentionally or unintentionally false, misleading or incorrect.

Right to Revisit PQQ Evaluation9. The Authority reserves the right to revisit, and if necessary amend the result of, the evaluation if after completion of the evaluation:

(a) new information emerges which gives the Authority reason to doubt the original pre-qualification; or (b) in relation to a bid by a consortium, a member of the consortium changes.

10.The Authority also reserves the right at a later stage of this process to ask for evidence as to the claims made by and information provided by the Potential Provider pursuant to the PQQ.




Appendix 1Defence and Security Pre-Qualification Questionnaire Evaluation Matrix TemplatePQQ Conditions

PQQ Guidance,Instructions & Conditions

Evaluation Approach

Required Standard QuestionWeighting

Para V.3Verification of Information Provided

Pass / Fail No serious misrepresentation in providing the information requested and no failure to provide any of the information in response to a request by the Authority.

Not applicable

Para XVIConflicts of Interest

Pass / Fail Either Potential Provider has confirmed no conflicts of interest; or the Potential Provider has identified conflicts of interest; and has put in place mitigation measures that fully satisfy the Authority.

Not applicable

Para XVIIAnti-Competitive Behaviour

Pass / Fail No evidence of current anti-competitive behaviour from any source; or the Potential Provider has provided evidence of past anti-competitive behaviour and has to put in place mitigation measures that fully satisfy the Authority.

Not applicable




PQQ Part 1 Forms A to D

PQQ Form & QuestionNumber

Evaluation Approach(Enter either a score or pass / fail)


Form A Section 1

Potential Provider has answered all questions in this section.

Form A Q1.4.1

Non-UK Potential Provider has confirmed registration with relevant authority where it is required to be registered on the professional or trade register of the Member State specified in schedule 3 of the DSPCR from which the Potential Provider originates or in which it is established, in order to pursue its professional activity.

Form AQ1.4.3

Non-UK Potential Provider has confirmed licence / membership of organisation relevant to type of work (where this is a legal requirement under the law of the Member State concerned).

Form B – Grounds for Mandatory Rejection

Pass / Fail Potential Provider has answered either yes or no to all questions. If the answer to any question is yes, additional details have been provided in accordance with the instructions to Part 1 Form.

Form C – Grounds for Discretionary Rejection

Pass / Fail Potential Provider has answered yes or no to all questions. If the answer is yes to any question, additional information has been provided.




Form D Q4.1 Potential Provider has stated last 2 years turnover.

Form D Q4.1.1 (1) & (2)

Potential Provider meets or exceeds annual turnover threshold required. If the Potential Provider does not meet or exceed the required annual turnover threshold, it has submitted evidence of sufficient financial resources to support the requirement and has confirmed bank or parent guarantee to an appropriate level available.

Form D Q4.2 Potential Provider has supplied the documents requested.

Form D Q4.3 Potential Provider has confirmed appropriate employers liability insurance is in place.




PQQ Part 2 Forms E to G

PQQ QuestionNumber

Evaluation Approach


Form EQ5.1

Evidence of previous satisfactory performance given.

Form EQ5.3

Cyber Essentials

Form FQ6.1.1

Potential Provider has the relevant technicians and technical services available, if the Potential Provider does not have the relevant technicians, a statement of how this shortfall will be mitigated has been provided.

Form FQ6.1.2

Potential Provider has the relevant technical facilities and study or research facilities. If not, a statement of how this will shortfall will be mitigated has been provided.

Form FQ6.1.3

Potential Provider has stated which quality management accreditations held and which quality standards or equivalents they meet.

Form FQ6.1.4

Potential provider has appropriate certificate of satisfactory completion of works a certificate or declaration confirming or attesting details of the contract for goods sold or services provided or equivalents.




Form FQ6.1.6

Potential provider has provided a certificate by official quality control institutes or agencies of recognised competence (or equivalent) attesting that the goods to be purchased or hired under the contract (for supplies) conform to standards and technical specifications (within the meaning of regulation 12(1) as identified by the contracting authority). [Note to Authority: List what is expected]

Form FQ6.1.7

Potential Provider has stated tools, materials, technical equipment, know-how and sources of supply available to support the requirement. [Note to Authority: List what is expected]

Form FQ6.1.8

Potential Provider has stated the level of education / professional qualification of staff who will be responsible for delivery of the service. [Note to Authority: List what is expected]

Form FQ6.1.9

Evidence of satisfactory ability (i.e. skills, efficiency, experience and reliability) given.

Form FQ6.1.10-13

Statement of satisfactory health and safety practices.

Form FQ6.1.10/Q6.1.11

Can trade electronically

Form GQ7.2

Potential Provider has stated level of FSC awarded by national authority.

Form G If the answer to Q7.2 is no, Potential Provider has stated it has already applied or will apply for FSC to support the requirement.




Q7.2.1

Form GQ7.2.2

If the answer to Q7.2 is no, Potential Provider has confirmed its understanding that FSC must be in place before the planned contract award date.

Form GQ7.4.1

Potential Provider has a supply chain outside the EU and has stated how critical these suppliers are to timely delivery. It has also satisfactorily described how it will manage risk from that supply chain.[Note to Authority: state how the risk from supply chains will be calculated and scored.]

Form GQ7.5.1

Potential Provider has stated their internal management rules for intellectual property rights management for the stated requirements as set out in Q7.5.1.

Section 7 Signature block has been fully filled in.

