Tender Reference: LUV00 - lboro.ac.ukFM)-v0.6.docx · Web viewConsideration should also be given as to whether to include word limits for answers to the questions asked.] F

LOUGHBOROUGH UNIVERSITY

PRE-QUALIFICATION QUESTIONNAIRE[This PQQ template provides a very comprehensive set of questions, a number of which

could potentially be deleted based on the nature of the particular contract being tendered. There are also further supplementary questions, for example relating to equality, which

could be added if such issues are ‘core’ to the contract in question. The questions within Forms J-M – aligned to the PAS 91 Construction PQQ – must not be

deleted. Consideration should also be given as to whether to include word limits for answers to the

questions asked.]

FOR THE PROVISION OF:

[Name of Works or Service]

TENDER REFERENCE: [LU No.]

SUPPLIER DETAILSORGANISATION NAMECONTACT NAMETELEPHONE NUMBERE-MAIL ADDRESS

Deadline for receipt of the Pre-Qualification Questionnaire is [Time] on [Date]

Prequalification Questionnaire for the provision of [works/service]

a. Introduction

This Pre-Qualification Questionnaire (PQQ) has been issued by Loughborough University’s Procurement Team (Procurement Team) in connection with a competitive procurement conducted in accordance with the Restricted Procedure under the Public Contract Regulations 2015 (the Regulations).

Loughborough University (the University) is one of the country’s leading universities, with an international reputation for research that matters, excellence in teaching, strong links with industry, and unrivalled achievement in sport and its underpinning academic disciplines.

It has been awarded five stars in the independent QS Stars university rating scheme, putting it among the best universities in the world. The University has enjoyed Britain’s best student experience over the last 10 years, after ranking top seven times in the THE Student Experience Survey, between 2007 and 2017. The University was ranked 6th in the Guardian University League Table 2018 and 10th in The UK Complete University Guide 2018 and was also named best sporting university in the world in the QS World University Rankings by Subject 2017.

The University is currently ranked 6th in the Times Higher Education’s ‘table of tables’ 2017 and is in the top 10 in England for research intensity. In recognition of its contribution to the sector, the University has been awarded seven Queen's Anniversary Prizes.

The University has an additional academic campus in London’s new innovation quarter, Here East. Loughborough University London, based on the Queen Elizabeth Olympic Park, offers postgraduate and executive-level education, as well as research and enterprise opportunities.

b. Purpose of this document

This PQQ is being provided to Applicants who have expressed an interest in participating in this procurement exercise based upon the Contract Notice [Notice Reference] placed in the Official Journal of the European Union (OJEU).

The Procurement Team requires the information sought in this PQQ as a first step in selecting Applicants to tender for the business. Eligible Applicants will be invited to participate further in the procurement exercise.

Your attention is drawn to the closing date for receipt of PQQ submissions at [Time] on [Date].

c. Notes to Applicants for completing the PQQ

Please answer every question. Many procurement exercises generate a great deal of interest from potential Applicants, so please ensure that you complete the questionnaire as requested. Failure to do so may result in your application being disqualified.

If the question does not apply to you please write N/A; if you don’t know the answer please write N/K.

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All questions and responses regarding this PQQ and the procurement should be submitted via Loughborough University’s Delta electronic tendering system (Delta).

Contact regarding this procurement should solely be made through Delta.

General information;i. The final contract will be let under English law and subject to the jurisdiction of the

courts of England.ii. Loughborough University (University) will not reimburse any expenses however

incurred by Applicants in preparing their responses to this PQQ and their participation in the procurement generally.

iii. The Procurement Team reserves the right to revisit and re-evaluate all or any of the responses to this PQQ at any stage of the procurement process at its absolute discretion.

iv. The Procurement Team reserves the right to seek further evidence in support of responses to this PQQ at a later date.

v. Delta is the sole method of contact with the Procurement Team in respect of queries concerning this PQQ.

vi. Please respond to each question in the space provided. Responses should be as brief as possible providing key facts rather than a narrative explanation. Where requested, or if absolutely necessary, Applicants shall attach any supporting documents to this PQQ marking clearly on all such documents the name of their organisation and the number of the question in this application form to which the documents refer.

vii. Failure to provide a satisfactory response or no response at all to any of the questions may result in an Applicant being excluded from further consideration.

viii. The information supplied may be checked for completeness and compliance before responses are evaluated.

ix. Answers to clarification questions will be published to all Applicants to ensure fairness, unless commercially sensitive.

x. The University may choose not to award a contract or to amend the terms of the tender at its sole discretion.

d. Freedom of Information

Applicants should note that the University is subject to the Freedom of Information Act (FOIA). Some or all of the contents of this PQQ may be subject to the FOIA and may have to be disclosed after conclusion of the tendering process and Contract award. Any Information which an Applicant believes to be Confidential Information must be notified to the Procurement Team in writing. Applicants may not declare the entire PQQ as Confidential Information – only those sections an Applicant considers to be Confidential Information (which must pertain only to the Applicant and pass at least one of the exclusion tests under the FOIA).

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e. Verification of information provided

Some documentary evidence is required to be produced but not all questions require supporting documents up front at this stage. However, the Procurement Team may ask to see these documents at a later stage, so it is advisable that Applicants ensure they can be made available upon request.

Applicants may also be asked to clarify their answers or provide more details concerning certain issues.

f. Sub-contracting arrangements

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

Whilst sub-contractor details are requested in Form B, it is recognised that arrangements in relation to sub-contracting may be subject to future change. However, Applicants 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 Applicant to deliver the [works/services], resulting in them being eliminated from the procurement process. g. Consortia arrangements

Where the Applicant is a consortium, it is recognised that arrangements in relation to consortia may (within limits) be subject to future change. You should therefore respond in the light of the arrangements as currently envisaged. Applicants are reminded that any future proposed change in relation to consortia must be notified to the Procurement Team so that it can make a further assessment by applying the selection criteria to the new information provided.

h. Queries about the procurement exercise

Any questions about the procurement exercise should be submitted via Delta.

Applicants are free to ask questions and clarifications at any stage of the PQQ process up to [date and time].

If the Procurement Team considers any question or request for clarification to be of material significance, both the query and the response will be communicated, in a suitably anonymous form, to all Applicants who have responded via Intend.

All responses received and any communication from Applicants will be treated in confidence.

i. Applicant contact point

Applicants are asked to provide a single point of contact in their organisation for all issues relating to their PQQ. The Procurement Team shall not be responsible for contacting the

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Applicant through any route other than the nominated contact. Applicants must therefore undertake to notify any changes relating to the contact promptly.

j. Organisation of this PQQ

This PQQ contains three sections:

1. Introduction, background information, requirements and instructions for completion;

2. Evaluation methodology; and

3. The pre-qualification questionnaire.

SECTION 1- Introduction, background information, requirements and instructions for completion

[Describe the requirement and the background to the requirement.

If the requirement is being funded/part-funded by a grant (for example, from a research council) it is important to take account of any grant conditions the fulfilment of which will necessitate the assistance of the supplier. It may be necessary that the funder be named in the procurement documentation.]

[Where the requirement is not to be divided into separate lots, the reason for this decision must be stated here. Where the requirement is to be divided into lots, the number of lots for which tenderers may bid, and the number of lots which may be awarded to any one tenderer must be stated.] The PQQs will be evaluated according to the criteria shown in Appendix A, and the [number] Applicants which achieve the highest scores will be invited to submit a tender for a fixed [number] year contract with the option to extend for up to a further [number] months.

Contract Period

[XX/XX/XXXX] to [XX/XX/XXXX] with the option to extend for up to a further [number] months.

Timetable

Responses for the PQQ must be received by [date and time].

Responses received after this date will be disregarded.

The timetable for this procurement exercise is detailed below; however the Procurement Team reserves the right to amend the timetable at any time and will make reasonable endeavours to communicate changes to Applicants.

Document / Event Date

Issue OJEU Notice [Date]Deadline for PQQ questions to the Procurement Team [Date]

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Document / Event Date

Deadline for PQQ submissions [Date]Evaluation of PQQs [Date]Shortlist PQQ Applicants [Date]Issue Invitation to Tender (ITT) and unsuccessful letters [Date]Deadline for ITT questions to the Procurement Team [Date]Deadline for Tender returns [Date]Evaluation of Tenders [Date]Contract Award decision [Date]Issue Intention to Award letters [Date]Standstill Period [Date]Contract Award [Date]Contract Start [Date]

Additional documentation included with PQQ

[List any additional documentation included with the PQQ]

[Please note that whist this information is supplied by the University, it is the responsibility of the Applicant to ensure that the information is correct.]

Instructions for completion

The term Applicant refers to sole proprietor, partnership, incorporated company, co-operative, agency etc., as appropriate.

If the Applicant is a company and is part of a group of companies, the responses in the application must be provided by the Applicant and not by a parent or holding company on behalf of the Applicant.

SECTION 2- Evaluation methodology

Applicant selection

The objective of the selection process is to assess the responses to the PQQ and select Applicants to proceed to the next stage of the procurement process.

Selection criteria will be a combination of both financial and non-financial factors and will include:

a) Convictions for those criminal offences detailed in Regulation 57 of the Public Contracts Regulations 2015

b) Information as to economic and financial standing in accordance with Regulation 58(7) of the Public Contracts Regulations 2015

c) Information as to technical and professional ability in accordance with Regulation 58(15)-(18) of the Public Contracts Regulations 2015

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Failure to provide a satisfactory response to any of the questions may result in the Applicant being eliminated from the procurement process.

The information supplied may be checked for completeness and compliance before Applicants’ responses are evaluated.

Evaluation of the PQQ will be made against the criteria and scoring mechanism detailed in Appendix A.

SECTION 3 – Pre-qualification questionnaire

Form A: Applicant Details (For Information Only)

A1 Full name of organisation participating in the PQQ stage

A2 Company and/or Charity Registration No., and date of registration(s)A3 Address of Registered Office.

A4 Address of office from where service is to be provided (if different from above)

A5 Telephone number: A6 Fax number: A7 Email: A8 Web address: A9 Contact Name: A10 State number of employees:

Dir/Mgr: Admin: Technical:

A11 Provide detailed corporate structure chart(s), key staff names.

A12 Provide details of other regional offices within the UK.

A13 If the Applicant intends to make a Joint Venture bid for this tender, please identify the role and responsibilities of each party involved in such an agreement.

A14 Please indicate the services your organisation can provide.

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A15 State your organisation’s status by ticking the relevant box below.

A Public Limited company

A Limited Company

A Company Limited by Guarantee

A Partnership

A Sole Trader

A Charity

A Franchise

A Small/Medium Sized Enterprise or SME

Other (e.g. a Special Purpose Vehicle, Joint Venture Company etc.)

Please specify:

A16 VAT Registration Number (or alternative E.U. Registration Number)

A17 For Completion by Non-UK Businesses only

Registration with Professional body

Is your organisation registered with the appropriate trade or professional register(s) in the EU member state where it is established (as set out in Annex XI of Directive 2014/24/EU) under the conditions laid down by that member state).

Yes No 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? If yes, please provide details of what is required and confirm that you have complied with this.

Yes No

A18 Parent Company Information, where applicable

Please provide the name of your parent or holding company together with the names of other subsidiary companies of the parent or holding company.

Parent Company

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Other Subsidiary Companies

If awarded the contract, please confirm whether your Parent Company will guarantee your contract performance.

Yes No

A19 Conflict of Interest

To the best of your knowledge, does any director or senior officer of your organisation have any personal or financial connection with a senior member of the University’s staff (including academics) or any member of University staff involved in this procurement exercise? If yes, please provide details of the individuals concerned and the nature of their relationship.

Yes No

Please note: A criminal record check for relevant convictions may be undertaken for the preferred suppliers and the persons of significant in control of them.

Form B: Bidding Model

B1 Are you bidding as the lead contact for a group of economic operators?

Yes No

If Yes, please complete Form B, and the rest of the PQQ. If No, and you are a supporting bidder, please answer B2, B5, Forms C and D.

B2 Name of group of economic operators (if applicable)

B3 Proposed legal structure if the group of economic operators intends to form a named single legal entity prior to signing a contract, if awarded. If you do not propose to form a single legal entity, please explain the legal structure.

B4 Are you or, if applicable, the group of economic operators proposing to use sub-contractors?

Yes No

B5 If you responded Yes to B4 please provide additional details for each sub-contractor below. (We may ask them to complete this form as well)

Name of organisation:

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Contact name: Role in organisation:Phone number: E-mail address:Postal address: Signature (electronic is acceptable):Date:Company and/or Charity Registration No., and date of registration(s):Status of organisation (select from list at A15):Small/Medium Sized Enterprise VAT Registration No.:The role each sub-contractor will take in providing the works/services e.g. key deliverables:The approximate % of contractual obligations assigned to each sub-contractor:

Form C: Grounds for Mandatory Exclusions

Completion of Form C and Form D provides a formal statement that the organisation has not breached any of the exclusions grounds. Consequently we require all the organisations that you will rely on to meet the selection criteria to provide a completed Form C and Form D. For example these could be parent companies, affiliates, associates, or essential sub-contractors, if they are relied upon to meet the selection criteria. This means that where you are joining in a group of organisations, including joint ventures and partnerships, each organisation in that group must complete one of these forms. Sub-contractors that you rely on to meet the selection criteria must also complete the forms (although sub-contractors that are not relied upon do not need to complete the self-declaration).

The detailed grounds for mandatory exclusion of an organisation are set out on this web page, which should be referred to before completing these questions.

Please indicate if, within the past five years you, your organisation or any other person who has powers of representation, decision or control in the organisation been convicted anywhere in the world of any of the offences within the summary below and listed on the webpage.C1 Participation in a criminal organisation.

Yes

No

C2 Corruption. Yes

No C3 Fraud.

Yes

No C4 Terrorist offences or offences linked to terrorist activities

Yes

No C5 Money laundering or terrorist financing

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Yes

No C6 If you have answered Yes to question C1-C5, please provide further

details.Date of conviction, specify which of the grounds listed the conviction was for, and the reasons for conviction,Identity of who has been convictedIf the relevant documentation is available electronically please provide the web address, issuing authority, precise reference of the documents.

C7 If you have answered Yes to any of the questions C1-B5, have measures been taken to demonstrate the reliability of the organisation despite the existence of a relevant ground for exclusion? (Self-Cleaning)

Yes

No

C8 Regulation 57(3)Has it been established, for your organisation by a judicial or administrative decision having final and binding effect in accordance with the legal provisions of any part of the United Kingdom or the legal provisions of the country in which the organisation is established (if outside the UK), that the organisation is in breach of obligations related to the payment of tax or social security contributions (including obligations set out in the Criminal Finances Act 2017)?

Yes

No

C9 If you have answered Yes to question C8, please provide further details. Please also confirm you have paid, or have entered into a binding arrangement with a view to paying, the outstanding sum including where applicable any accrued interest and/or fines.

Please Note: The University reserves the right to use its discretion to exclude a potential supplier where it can demonstrate by any appropriate means that the potential supplier is in breach of its obligations relating to the non-payment of taxes or social security contributions.

Form D: Grounds for Discretionary Exclusions

Regulation 57 (8)The detailed grounds for discretionary exclusion of an organisation are set out on this web page, which should be referred to before completing these questions.

Please indicate if, within the past three years, anywhere in the world any of the following situations have applied to you, your organisation or any other person who has powers of representation, decision or control in the organisation. D1 Breach of environmental obligations?

Yes

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No

D2 Breach of social obligations? Yes

No

D3 Breach of labour law obligations? Yes

No D4 Bankrupt or is the subject of insolvency or winding-up proceedings,

where the organisation’s assets are being administered by a liquidator or by the court, where it is in an arrangement with creditors, where its business activities are suspended or it is in any analogous situation arising from a similar procedure under the laws and regulations of any State?

Yes

No

D5 Guilty of grave professional misconduct? Yes

No D6 Entered into agreements with other economic operators aimed at

distorting competition? Yes

No D7 Aware of any conflict of interest within the meaning of regulation 24

due to the participation in the procurement procedure? Yes

No D8 Been involved in the preparation of the procurement procedure?

Yes

No D9 Shown significant or persistent deficiencies in the performance of a

substantive requirement under a prior public contract, a prior contract with a contracting entity, or a prior concession contract, which led to early termination of that prior contract, damages or other comparable sanctions?

Yes

No

D10 Please answer the following statements

The organisation is guilty of serious misrepresentation in supplying the information required for the verification of the absence of grounds for exclusion or the fulfilment of the selection criteria.

The organisation has withheld such information.

Yes

No

Yes

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The organisation is not able to submit supporting documents required under regulation 59 of the Public Contracts Regulations 2015.

The organisation has influenced the decision-making process of the University to obtain confidential information that may confer upon the organisation undue advantages in the procurement procedure, or to negligently provided misleading information that may have a material influence on decisions concerning exclusion, selection or award.

No

Yes

No

Yes

No

C11 If you have answered Yes to any of the above, explain what measures been taken to demonstrate the reliability of the organisation despite the existence of a relevant ground for exclusion? (Self-Cleaning)

Form E: Economic and Financial Standing (Pass / Fail)

If you are bidding on behalf of a group (consortium) or you intend to use sub-contractors, you should complete the rest of the PQQ on behalf of the consortium and/or any sub-contractors.

If the relevant documentary evidence referenced in completing the rest of the PQQ is not provided upon request and without delay we reserve the right to amend the contract award decision and award to the next compliant bidder.

E1 The Procurement Team will carry out an independent financial check on all Applicants using CreditSafe software. In the event that an Applicant’s financial stability equates to a commercial credit rating of less than [XX] out of 100 on the day that the PQQ is evaluated, and/or that following evaluation of the documents submitted in support of their PQQ, if there remained any financial concerns which could not reasonably be satisfied, then their application would fail.

[The appropriate Category Manager can advise on the minimum requirement for financial stability]

Please indicate which of the following you would be willing to provide to evidence your organisation having the required financial strength was your organisation to fail the CreditSafe financial check, by ticking the appropriate box.

A copy of your audited accounts for the most recent two years

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

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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

E2 In the event that analysis of your financial position determines that additional measures are necessary in order to provide adequate assurance of your financial strength, you may be required to provide either a parent company guarantee or a bank guarantee.

E3 It is a requirement of this contract that the supplier holds the levels of insurance indicated below. [If you do not believe that the default insurance levels shown below, and in the University’s Standard Ts&Cs for Goods and Services and Consultancy, reflect the risk presented by the contract, then please contact the appropriate Category Manager]

Employer’s (Compulsory) Liability Insurance = [£10M] Public Liability Insurance = [£10M] Professional Indemnity Insurance = [£2M for Works/ Services or £10m for Consultancy] Product Liability Insurance = [£10M]

E4 Please confirm below whether you already have or can commit to obtain, prior to the commencement of the contract, the levels of insurance cover indicated. Applicants that do not have, or cannot commit to obtain, the required levels of insurance will be excluded from further participation in this procurement exercise.

E5 Employer’s (Compulsory) Liability Insurance Yes, I already have this

I do not currently have, but I am willing to obtain

No, I do not have and I am not willing to obtain

E6 Professional Indemnity Insurance Yes, I already have this



E7 Public Liability Insurance Yes, I already have this



E8 Product Liability Insurance Yes, I already have this

I do not currently have, but I am willing to

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obtain


E9 If you already have the required levels of insurance cover, please provide details, i.e. name of insurer, policy number, renewal date, limit of indemnity, excess and a copy of the current certificate of insurance (and reference).

Form F: Contract Termination (Pass / Fail)

F1 Have you, either as a supplier or as an organisation in the supply chain, been involved in the provision of any contract in the last 3 years for goods and services, where the contract has been terminated or payment has been withheld because your performance was not satisfactory?

Yes

No

F2 If applicable, has any member of your consortium been involved in the provision of any contract in the last 3 years for goods and services and 5 years for works, where a contract has been terminated or payment has been withheld because their performance was not satisfactory?

Yes

No

F3 If you have answered Yes to either question please provide details regarding the circumstances of the termination and details of any remedial action that was carried out as a result of the termination. (The University will not select Applicants that cannot demonstrate to its satisfaction that appropriate remedial action has been taken to prevent future occurrences.)

F4 Have you as a supplier had a contract renewal refused during the last three years?

(If Yes, please provide further information)

Yes

No

F5 Have you as a supplier withdrawn from a contract prematurely during the last three years?


Yes

No

F6 Have you as a supplier had to pay financial penalties or had payment deducted from monies arising from failure to perform in accordance with contractual obligations during the last three years?

Yes

No

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Form G: Subcontractors (For Information, and Pass / Fail Elements)

G1 Where you intend to sub-contract a proportion of the contract, please demonstrate how you have previously maintained healthy supply chains with your sub-contractor(s)

Evidence should include, but is not limited to, details of your supply chain management tracking systems to ensure performance of the contract and including prompt payment or membership of the UK Prompt Payment Code (or equivalent schemes in other countries)

Form H: Modern Slavery Act 2015 – Requirements under the Modern Slavery Act 2015

H1 Are you a relevant commercial organisation as defined by section 54 ("Transparency in supply chains etc.") of the Modern Slavery Act 2015 ("the Act")?

Yes

N/A H2 If you have answered Yes to H1, are you compliant with the annual

reporting requirements contained within Section 54 of the Act 2015? Yes

Please provide relevant url…

No

Please provide an explanation

Form I: Technical & Professional Ability (Maximum Score of XX, and Pass / Fail Elements)

I1 Please provide details of up to three contracts from either or both the public or private sector, that are similar to the University’s requirement. [Contracts for the services should have been performed during the past three years. Works contracts may be from the past five years]

The customer contact should be prepared to speak to the University to confirm the accuracy of the information provided below, if we wish to contact them. The University reserves the right to contact any or all of these organisations for a reference.

Consortia bids should provide relevant examples of where the consortium has delivered similar requirements. Where the Supplier is a Special Purpose Vehicle, or a managing agent not intending to be the main provider of the supplies or services, the information requested should be provided in respect of the main intended provider(s) or sub-contractor(s) who will deliver the contract.

If this is not possible (e.g. the consortium is newly formed or a Special Purpose Vehicle is to be created for this contract) then three separate examples should be provided between the principal member(s) of the proposed consortium or Special Purpose Vehicle (three examples

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are not required from each member).

Contract 1 Contract 2 Contract 3I1a Customer

Organisation

I1b Customer contact name, phone number & email

I1c Contract start date Completion date Contract Value

I1d Brief description of contract (max 150 words) including evidence as to your technical capability in this market)

I2 If you cannot provide at least one example above, in no more than 500 words please provide an explanation for this e.g. your organisation is a new start-up or you have provided services in the past but not under a contract.

General Exemptions

Has your organisation within the last twelve months successfullycompleted a pre-qualification application undertaken by anassessment provider able to demonstrate that its informationgathering process conforms to PAS 91?

If Yes, Forms J-M need not be completed, and you may proceed to Form N.

Exemption claimed

Yes

No

If yes, please provide copy of certificate (and reference) or Constructionline Membership No.…………………………

Form J: Health and Safety [PASS / FAIL needs to be on the same basis as used by PAS91]

J1 Health and Safety Exemptions:Form J need not be completed if your organisation meets the criteria identified in J1a and/or J1b below.

J1a You have within the last twelve months, successfully met the assessment Yes

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requirements of a construction-related scheme in registered membership of the Safety Schemes in Procurement (SSIP) forum No

J1b You hold a UKAS or equivalent, accredited independent third party certificate of compliance with BS OHSAS 18001.

Yes

No

J2 Role related question selection:The questions asked in J4 to J21 are appropriate for particular construction roles and have been colour coded accordingly to assist identification. Please indicate below which role(s) best describes your organisations activity and then only provide responses to the questions colour coded to the role(s) you have selected.NOTE If your organisation will potentially fill more than one role (e.g. Design and Build), please provide responses to the questions applying to all relevant roles (e.g. Designer and Contractor)

J2a Contractor or Sub-Contractor (respond to unshaded questions J3 to J15) Yes

No

J2b Designer (respond to red shaded questions J16 to J18) Yes

No

J2c Principal Designer (respond to green shaded questions J19 to J21) Yes

No

J3 Are you able todemonstrate thatyou have a policyand organisation forhealth and safety (H&S) management?

Please provide evidence of a periodically reviewed H&S policy, endorsed by the chief executive officer. The policy should be relevant to the anticipated nature and scale of activity to be undertaken and set out responsibilities for H&S management at all levels in the organization.(Organisations with fewer than 5 employees, see note (i) in Appendix B)

Yes

No

Please provide reference to any supporting documents

J4 Are you able to describe your arrangements for ensuring that your H&S measures are effective in reducing/ preventing incidents, occupational ill-health and accidents?

Please provide details of the arrangements for H&S management that are relevant to the anticipated nature and scale of activity to be undertaken and show clearly how these arrangements are communicated to the workforce. (Organisations with fewer than 5 employees, see note (i) in Appendix B)

Yes

No


J5 Do you have accessto competent H&Sadvice/assistance

Please provide evidence of how your organization obtains access tocompetent H&S advice.

Yes


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– both general andconstruction/sectorrelated?

NOTE Access to competent in-house advice, in whole or part, is preferred. It is essential that H&S advisor(s) are able to provide general H&S advice and that (from the same source or elsewhere) advice relating to construction H&S issues is accessible as required.

No

J6 Do you have a policyand process forproviding your staff/workforce with training and information appropriate to the types of activity that your organisation is likely to undertake?

Provide evidence that your organization has in place and implements, training arrangements to ensure that its staff/ workforce has sufficient skills and understanding to discharge their various duties. This should include refresher training (e.g. a CPD programme) that will keep the workforce updated on good H&S practice applicable throughout thecompany.

Yes

No


J7 Does your staff/workforce have H&S or other relevant qualifications andexperience sufficientto implement yourH&S policy to astandard appropriateto the activity that your organization is likely to undertake.

You will be expected to demonstrate and provide evidence on request, that your staff/ workforce possesses suitable qualifications and experience for the tasks assigned to them, unless there are specific situations where they need to work under controlled and competent supervision e.g trainees.

Yes

No


J8 Do you check, reviewand where necessaryimprove your H&Sperformance?

Please provide evidence that your organization has in place and implements, an ongoing system for monitoring H&S procedures on an ongoing basis and for periodically reviewing and updating that system as necessary.

Yes

No


J9 Do you have proceduresin place to involveyour staff/ workforcein the planning andimplementation of H&S measures?

Please provide evidence that your organization has in place and implements a means of consulting with its staff/ workforce on H&S matters and show how staff/ workforce comments, including complaints are taken into account.

Yes

No


J10 Do you routinely record and review accidents/ incidents and undertake follow-up action?

Please provide access to records of accident rates and frequency for all RIDDOR reportable (see note (ii) in Appendix B) - events for at least the last three years. Demonstrate that your organization has in place a system for reviewing significant incidents, and recording action taken as a

Yes

No


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result including action taken in response to any enforcement.

J11 Do you have arrangements forensuring that yoursuppliers apply H&Smeasures to a standard appropriate to the activity for which they are being engaged?

You will be expected to demonstrate and provide evidence on request, that your organization has and implements, arrangements for ensuring that H&Sperformance throughout the whole of your organization’s supply chain is appropriate to the work likely to be undertaken.

Yes

No


J12 Do you operate a process of risk assessment capable of supporting safe methods of work andreliable project delivery where necessary?

You will be expected to demonstrate and provide evidence on request that your organization has in place and implements procedures for carrying out relevant risk assessments and for developing and implementing safe systems of work (‘method statements’).You should be able to provide indicative examples. The identification and control of any significant occupational health (not just safety) issues should be prominent.(Organizations with fewer than 5 employees, see note (i) in Appendix B) NOTE Risk assessments should focus on the needs of the particular job and should be proportionate to the risks arising from the work to be undertaken. In addition to ensuring risk management, the need to reduce documentary requirements on micro-businesses in particular should be taken into account by buyers and assessment providers.Excessive bureaucracy associated with competency assessment can obscure the real risk issues and divert effort away from them.

Yes

No


J14 Do you have arrangements for co-operating and co-ordinating your work with others (includingother suppliers, notably contractors)?

Please provide explanation of how co-operation and co-ordination of the work is achieved in practice, and how other organisations are involved in drawing up method statements/safe systems of work etc. including arrangements for response to emergency situations. This should include details of how comments and input from your suppliers will be taken into account and how external comments including any complaints, will be responded to.

Yes

No


J15 Do you have You will be expected to demonstrate and Please provide

20


arrangements for ensuring that on-sitewelfare provision meets legal requirements and the needs/expectationsof your employees?

provide evidence on request about how you ensure suitable welfare facilities will be in place before starting work on site, whether provided by a site-specific arrangement or your own organisational measures.

Yes

No

reference to any supporting documents

J16 Do you ensure that you and your workforce have the appropriate capabilities to enableyou and them to discharge your / theirlegal duties under health and safety legislation?

Provide evidence of your CPD programme and / or examples of training and development plans (which may include in-house training) Please provide evidence of how your organisation obtains H & S information, including how you maintain your technical knowledge and understanding of developments in construction. Provide commentary on how you match individual capabilities with the work undertaken

Yes

No


J17 Do you have and implement, arrangements formeeting the designerduties under theConstruction Designand ManagementRegulations?

Please provide evidence showinghow you address points 1 to 4 below. Please provide examples for each showing how riskwas reduced through design. NOTE Emphasis should be on practical measures that reduce particular risks arising from the design, not onlengthy procedural documentation highlighting generic risks.1. ensure co-operation and co-ordination of design work within the design team and with other designers/contractors;2. ensure hazards are eliminated and show how remaining risks are managed, (with reference to buildability, maintainability and use);3. ensure that any structure that will be used as a workplace will meet relevant requirements of the Workplace (Health, Safety and Welfare) Regulations 1992;4. manage design changes.

Yes

No


J18 Do you check, reviewand where necessaryimprove your H & Sperformance?

Please provide evidence that your organization has in place and implements, an ongoing system for monitoring H&S procedures and for periodically reviewing and updating that system as necessary for example through project design review (during and post-completion).

Yes

No


J19 Are you able to provide evidence of

Please provide evidence, in the form ofreal examples rather than by generic

Yes

Please provide reference to any supporting

21


your field of knowledge and experience in the design and construction process?

documents, of actual attainmentswhich should indicate competence asin the case of:• Professionally Qualified to Charteredlevel (see note (iii) in Appendix B);• Membership of a relevantconstruction institution, e.g. CIAT;CIBSE; CIOB; ICE; IET; IMechE;IStructE; RIBA; RICS.

No

documents

J20 Are you able toprovide evidence ofyour knowledge andexperience of H&S inconstruction?

Please provide examples of actualattainments which should indicatecompetence as in the case of validated CPD in this field, and typical additional qualifications e.g. NEBOSH Construction Certificate;Member of health and safety register administered by the ICE (see note (iv) in Appendix B);Membership of Association for Project;Safety; Membership of Institution of Construction Safety.

Yes

No


J21 Do you reviewand develop youreffectiveness atdelivering thecoordination role?

Please provide evidence that your organization has in place and implements, an ongoing system for monitoring performance including post project review.

Yes

No


Form K: Environment [PASS / FAIL needs to be on the same basis as used by PAS91]

K1 Environment Exemption: Form I need not be completed if your organisation holds a UKAS (or equivalent) accredited independent third party certificate of compliance with BS EN ISO 14001 or a valid EMAS certificate, and can provide the supporting evidence requested. (See EMAS note in Appendix B)

Exemption claimed

Yes

No

If yes, please provide copy of certificate (and reference)

K2 Do you have adocumented policyand organization forthe management ofconstruction-relatedenvironmental issues?

Please provide evidence that you or your organisation has an environmental management policy authorized by the Chief executive or equivalent and regularly reviewed. The policy should be relevant to the nature and scale of the activity and set out the responsibilities for environmentalmanagement throughout the organization

Yes

No


K3 Do you have Please provide evidence that your Please provide

22


documentedarrangements forensuring that yourenvironmentalmanagementprocedures are effective in reducing/preventingsignificant impacts onthe environment?

organisation’s environmental policyimplementation plan provides information as to how the company aims to discharge relevant legal responsibilities and provides clear indication of how these arrangementsare communicated to the workforce, in relation to environmental matters including:• sustainable materials procurement;• waste management;• energy management.This should include the arrangementsfor responding to, monitoring andrecording environmental incidents andemergencies and complaints.

Yes

No

reference to any supporting documents

K4 Do you havearrangements forproviding employeeswho will engage inconstruction, withtraining and informationon construction-relatedenvironmental issues?

Please provide evidence that yourorganisation has in place andimplements, training arrangementsto ensure that its workforce has sufficient skills and understanding to carry out their various duties. This should include a programme of refresher training that will keep the workforce updated on relevant legal requirements and good environmentalmanagement practice.

Yes

No


K5 Do you check,review and wherenecessary improveyour environmentalmanagement performance?

Please provide evidence that your organisation has a system for monitoring environmental management procedures on an ongoing basis and for updating them at periodic interval.

Yes

No


K6 Do you havearrangements forensuring that anysuppliers you engageapply environmentalprotection measuresthat are appropriate to the activity for which they are being engaged.

Please provide evidence that your organisation has procedures for monitoring supplier’s environmental management arrangements and ensuring that environmental performance appropriate for the activity to be undertaken is deliveredthroughout the whole of your organizations supply chain.

Yes

No


Form L: Quality Management Policy and Capability [PASS / FAIL needs to be on the same basis as used by PAS91]

L1 Quality Exemption: Form J need not be completed if your organization holds a UKAS (or

Exemption claimed

23


equivalent) accredited independent third party certificate of compliance with BS EN ISO 9001 and can provide the supporting evidence requested.

Yes

No


L2 Do you have a policyand organisation forquality management?

Please provide evidence that your organisation has and implements a quality management policy that is authorised by the Chief Executive or equivalent and periodically reviewed at a senior management level. The policy should be relevant to the nature and scale of the work to be undertaken and set out responsibilities for quality management throughout the organization.

Yes

No


L3 Do you havearrangements forensuring that yourquality management,including the quality of construction output andgeneral performance,is effective in reducing/preventing incidents of sub-standard delivery?

Please provide evidence that yourorganisation keeps copies of documentation setting out quality management organization and procedures that meet currently agreed good practice. These should include the arrangements for qualitymanagement throughout the organization. They should set out howthe company will carry out its policy,with a clear indication of how the arrangements are communicated to the workforce.

Yes

No


L4 Do you havearrangements forproviding yourworkforce withquality-related training and informationappropriate to the type of work for which your organisation is likelyto bid?

Please provide evidence that yourorganisation has in place andimplements, training arrangementsto ensure that its workforce hassufficient skills and understanding todischarge their various responsibilities.These arrangements should includea programme of training that willkeep the workforce up to date withrequired knowledge about qualityrelated issues, including copies of jobprofiles; training manuals and trainingrecords.

Yes

No


L5 Do you have proceduresfor periodically

Please provide evidence that yourorganisation has a system for monitoring quality management procedures on an on-

Yes


24


reviewing, correctingand improving qualityperformance?

going basis. Your organisation should be able to provide evidence of systematic, periodic review and improvement of quality in respect of construction output and general performance.

No

L6 Do you havearrangements forensuring that your own suppliers apply quality management measures that are appropriate tothe work for which they are being engaged?

Please provide evidence that yourorganisation has arrangementsfor monitoring supplier’s qualitymanagement arrangements andensuring that quality performanceappropriate for the work to be undertaken is delivered throughoutthe whole of your organisationssupply chain.

Yes

No


Form M: Building information modelling, policy and capability [PASS / FAIL needs to be on the same basis as used by PAS91]

M1 Building Information Modelling, Policy and Capability Exemption:Form K need not be completed if your organization holds a third party certificate of compliance with BS PAS 1192:2:2013 from an organisation with a related UKAS accreditation, or equivalent.NOTE Such accrediting organisations will be required to have specialized design management competences.

Exemption claimed

Yes

No


M2 Do you have thecapability of workingwith a project using a “Common Data Environment” as described inPAS 1192:2:2013?

You will be expected to demonstratethat your organisation understands the concept of a “Common Data Environment” as described in PAS 1192:2:2013 and is able to exchange information between supply chain members in an efficient and collaborative manner. If you have delivered a project in this way, you may use this to demonstrate your capability. Your explanation should be clear and concise.

Yes

No


M3 Do you have documented policy,systems and procedures to achieve “Level 2 BIM”maturity as defined in the government’s BIM Strategy?(See BIM note in

You will be expected to provide evidence that you or your organisation has a policy authorized by the Chief Executive or equivalent and regularly reviewed. The policy and procedures should be able to be applied to both large and small projects efficiently.

Yes

No


25


Appendix B)M4 Do you have the

capability of developing and delivering or working to (depending upon the role(s) that this PQQ covers) a BIM Execution Plan (BEP) as described inPAS 1192:2:2013?

You will be expected to demonstratethat your organisation understandsthe requirements of PAS 1192:2:2013,in particular with respect to BEP. Thiswill include how to create reliable information and exchange it betweensupply chain members in an efficientand collaborative manner, and whereappropriate, to the client, in the form specified (EG in accordance with the COBie UK 2012 standard and other typical client’s information requirements). If you have delivered a project in this way, you may present an example BEP.

Yes

No


M5 Do you havearrangements fortraining employees inBIM related skills anddo you assess theircapabilities?

You will be expected to demonstratethat your organisation has in place training arrangements to ensure that its staff/ workforce have sufficient skills and understanding to implement and deliver projects in accordance with the policy and procedures established to achieve “Level 2 BIM” maturity. Completed ConstructionProject Information Exchange (CPIx)templates referred to in the ProjectImplementation Plan (PIP), part of theBEP defined in PAS 1192-2 would beconsidered.If this PQQ is for the first such projectthat you have considered undertaking,a training plan and evidence of howprior training outcomes in other areas have been assessed, would be considered.

Yes

No


Form N: Equality (Maximum Score of XX%, plus Pass / Fail Elements)

N1 Is it your policy as an employer to comply with your statutory obligations to staff and applicants for employment under equality legislation, including the Equality Act 2010 and regulations made under that Act?

Yes

No

N2 Does your organisation have a formal equal opportunities/race relations policy?

(If yes, please attach your policy and answer question M3 below)

Yes

No

N3 Does the policy address the following?

26


(a) Recruitment, selection, training, promotion, discipline and dismissal

(b) Discrimination, harassment, and victimisation (and it is made clear that these are disciplinary offences within the organisation)

(c) Identification of the senior position with responsibility for the policy and its effective implementation

(d) How the policy is communicated to staff

(e) It covers both employees and service users

Yes No

Yes No

Yes No

Yes No

Yes No

N4 Is your policy effectively implemented in the organisation’s recruitment practices, including open recruitment methods such as the use of:

(a) Job centres

(b) Careers service

(c) Press advertisements

Yes No

Yes No

Yes No

N5 Does your organisation monitor the profile of its staff according to the following ‘protected characteristics’?

(d) Age

(e) Gender

(f) Disability

(g) Ethnicity

(h) Sexual orientation

(i) Religion and belief

Yes No

Yes No

Yes No

Yes No

Yes No

Yes No

N6 Does your organisation provide equality training for managers and any staff responsible for recruitment and selection? Yes

No

27


Form O: Business Continuity (Maximum Score of XX%, plus Pass / Fail Elements)

O1 Which of the following Business Continuity documents does your organisation maintain? (Please attach any documents to your submission)

Business Continuity Policy

Business Continuity Plan

Disaster Recovery Plan

Yes No

Yes No

Yes No

O2 When was your Business Continuity Plan last reviewed?

O3 When was your Business Continuity Plan last tested?

O4 What procedures are in place to ensure effective communication when an event occurs that disrupts the operations of your organisation?

O5 What reassurance has your organisation sought from key suppliers in respect of Business Continuity, e.g. do your key suppliers have Business Continuity Plans?

Form P: Skills and Apprentices (Maximum Score of XX%, plus Pass / Fail Elements)

[Procurement Policy Note 14/15 provides guidance on skills and apprenticeships. Selection criteria may be used to assess the skills and apprenticeships provided in bids for relevant contracts with a value of £10 million and above, and a duration of 12 months or more. Form P can be used where relevant.]

P1 Public procurement of contracts with a full life value of £10 million and above and duration of 12 months and above should be used to support skills development and delivery of the apprenticeship commitment. This policy is set out in detail in Procurement Policy Note 14/15.

Please confirm if you will be supporting apprenticeships and skills development through this contract.

Yes

No

P2 If Yes, can you provide at a later stage documentary evidence to support your commitment to developing and investing in skills, development and apprenticeships to build a more skilled and

Yes

28


productive workforce and reducing the risks of supply constraints and increasing labour cost inflation?

No

P3 Do you have a process in place to ensure that your supply chain supports skills, development and apprenticeships in line with PPN 14/15 (see guidance) and can provide evidence if requested?

Yes

No

Form Q: Steel (Maximum Score of XX%, plus Pass / Fail Elements)

[For contracts where the procurement of steel is a component, the advice in Procurement Policy Note 16/15 should be followed and Form Q should be included.]

Q1 Please describe the supply chain management systems, policies, standards and procedures you currently have in place to ensure robust supply chain management.

Q2 Please provide details of previous similar projects where you have demonstrated a high level of competency and effectiveness in managing of all supply chain members involved in steel supply or production so that there was a sustainable and safe supply of steel.

Q3 Please provide all the relevant details of previous breaches of health and safety legislation in the last 5 years, applicable to the country in which you operate, on comparable projects, for both:

(i) Your company

(ii) All your supply chain members involved in the production or supply of steel

Declaration

I declare that to the best of my knowledge the answers submitted in this PQQ are correct. I understand that the information will be used in the process to assess my organisation’s suitability to be invited to tender for the University’s requirement and I am signing on behalf of my organisation. I understand that the University may reject this PQQ if there is a failure to answer all relevant questions fully or if I provide false/misleading information

29


FORM COMPLETED BY

Name

Date

Signature

Telephone No

E-mail Address

30


Appendix A

PPQ EVALUATION AND SCORING GUIDE

Failure to complete any part of the questionnaire may result in your application being disqualified.

FORM A: APPLICANTS DETAILS

PASS / FAIL

PASS - All requested information has been provided

FAIL – Information requested not provided

FORM B: BIDDING MODEL

PASS - All requested information has been provided

FAIL – Information requested not provided

FORM C: GROUNDS FOR MANDATORY REJECTION

PASS / FAIL

PASS - All answers are No (Also including responses from all the organisations that will be relied upon to meet the selection criteria)

FAIL – One or more answers are Yes (Also including responses from all the organisations that will be relied upon to meet the selection criteria)

FORM D: GROUNDS FOR DISCRETIONARY REJECTION

PASS / FAIL

PASS - All answers are No or although one or more answers are Yes the Procurement Team, having reviewed the supporting information, has decided the Applicant can proceed to the next stage of the process (Also including responses from all the organisations that will be relied upon to meet the selection criteria)

FAIL – One or more answers are Yes and the Procurement Team, having reviewed the supporting information, does not wish the Applicant to progress further in the process (Also including responses from all the organisations that will be relied upon to meet the selection criteria)

31


FORM E: ECONOMICAL AND FINANCIAL STANDING

FINANCIAL INFORMATION

PASS / FAIL

PASS – Have achieved a commercial credit rating of [XX] or more against the CreditSafe financial checking software, or have provided sufficient evidence and assurance to allay any financial concerns, for example a bank guarantee

FAIL – Have not achieved a commercial credit rating of [XX] or more against the CreditSafe financial checking software, and have not provided sufficient evidence and assurance to allay financial concerns

INSURANCE

PASS / FAIL

PASS – Proof of insurance provided and level of cover is acceptable for this particular contract

FAIL – Insufficient insurance cover in place and unwilling to provide sufficient insurance cover

FORM F: CONTRACT TERMINATION

PASS / FAIL

PASS - All answers are No or although one or more answers are Yes the Procurement Team, having reviewed the supporting information, has decided the Applicant can proceed to the next stage of the process

FAIL – One or more answers are Yes and the Procurement Team, having reviewed the supporting information, does not wish the Applicant to progress further in the process

FORM G: SUBCONTRACTORS

[Identify as Pass/Fail or score / weighting allocated]

FORM H: MODERN SLAVERY ACT 2015

PASS – Not a relevant commercial organisation, or is a relevant commercial organisation and is compliant with Section 54 of the Act (or has a reasonable explanation as to why it is not compliant).

FAIL - A relevant commercial organisation that is not compliant with Section 54 of the Act (nor has a reasonable explanation as to why it is not compliant).

32


FORMS I: TECHNICAL AND PROFESSIONAL ABILITY [XX%][Identify the score / weighting allocated to each question, and any questions that are Pass/Fail]

FORM J: HEALTH AND SAFETY [PASS / FAIL needs to be on the same basis as used by PAS91]

FORM K: ENVIRONMENT[PASS / FAIL needs to be on the same basis as used by PAS91]

FORM L: QUALITY MANAGEMENT POLICY AND CAPABILITY[PASS / FAIL needs to be on the same basis as used by PAS91]

FORM M: BUILDING INFORMATION MODELLING, POLICY AND CAPABILITY[PASS / FAIL needs to be on the same basis as used by PAS91]

FORM N: EQUALITY [XX%][Identify the score / weighting allocated to each question, and any questions that are Pass/Fail]

FORM O: BUSINESS CONTINUITY [XX%][Identify the score / weighting allocated to each question, and any questions that are Pass/Fail]

FORM P: SKILLS AND APPRENTICES [XX%][Identify as Pass/Fail or score / weighting allocated]

FORM Q: STEEL [XX%][Identify the score / weighting allocated to each question, and any questions that are Pass/Fail]

Please note that in order for Applicants to be fully evaluated and scored in accordance with the evaluation model, they must achieve a Pass for all Pass/Fail questions in all sections.

33


Appendix B

NOTES

Health & Safety

(i) Organizations with fewer than five employees are not legally required to have a documented policy statement. If a supplier is in this category it does not have to write down its policy, organisation or arrangements. However, it does need to be able to demonstrate that its policy and arrangements are adequate in relation to the type of activity likely to be undertaken and assessments of competence will be made easier if when procedures are clear and accessible.

(ii) RIDDOR: The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013.

(iii) The terms ‘Designer’ and ‘Principal Designer’ relate to the professional function to be provided by the supplier, not to the type of organization. These questions align with the requirements for evidence in the Guidance for the CDM Regulations 2015. They cover the Stage 1 assessment of capability only (CDM 2015).

(iv) Chartered membership of a recognised construction-related institution.

Environment

EMAS: The European Eco-management and Audit Scheme, sponsored by the European Commission (see http://ec.europa.eu/environment/emas/index_EN.htm)

Building information modelling, policy and capability

Level 2 BIM describes a specific range of BIM capabilities (se PAS 1192-2:2013). These involve developing and sharing 3D construction project-related data, via an electronic ‘BIM environment’, with others involved in a project. This includes an as-built ‘Data Drop’ for use by the Client. The electronic BIM environment allows design models (digital objects and supporting information about these objects) to be shared. Each model requires platform software and a database of object information.

34

http://ec.europa.eu/environment/emas/index_EN.htm

Documents

Tender Reference: LUV00 - lboro.ac.ukFM)-v0.6.docx · Web viewConsideration should also be given as to whether to include word limits for answers to the questions asked.] F