web viewplease also provide a brief history of your organisation in no more than 400 words,...

PRE QUALIFICATION QUESTIONNAIREInternal audit 2013

Pre-Qualification Questionnaire

Item Evaluation Information Required Bidder’s Response Weighting

1 Organisation Identity

1.1 Information Name of the organisation in whose name the tender would be submitted:

1.2 Information Principal contact name:

1.3 Information Address:

1.4 Information Telephone number:

1.5 Information Facsimile number:

1.6 Information Email address:

(of corresponding representative leading your bid)

1.7 Information Please state your organisation's date of formation and registration number under the Companies Acts or equivalent national provision or other legislation:



Please also provide a brief history of your organisation in no more than 400 words, including details of any parent and associated companies and any changes of ownership over the last 5 years including details of significant pending developments, changes in financial structure or ownership, prospective take-over bids, buy-outs and closures, etc which are currently in the public domain.

1.8 Information Date of registration:

1.9 Information Registered address, if different from the address at 1.3:

2 Organisation Information

2.1 Information Is your organisation: Please tick

I a public limited company □

ii a limited company □



iii a sole trader □

iv a partnership □

v other □ (please specify ………………………………..)

2.2 Information Is your organisation a member of a group of companies? If so, please provide the name and registered address of:

a. the ultimate holding company;

b. any member of the group involved in building, construction or associated fields; and

c. all wholly owned subsidiaries.

2.3 Information Is your organisation affiliated or associated with any other organisation in respect of its expression of interest in tendering for the proposed contract? If so, please provide details including its name and address of its registered office:



2.4 Information VAT registration number (if applicable):

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

2.6 Scored Please enclose details of your organisation structure (diagrams are acceptable). In the case of National or International Organisations, please provide details of the structure of the operating division who will be undertaking the services.

Enclosed? Yes/No 2.5%

2.7 Information Are there any

a. court actions; and/or

b. industrial tribunal hearings; and/or

c. investigations/prosecutions/civil actions for any health and safety offences

currently outstanding against your organisation? If so, please give details:

Please note that if the findings are negative then Catalyst reserve the right to exclude a Bidder from further evaluation.



2.8 Information Please give the names and responsibilities of the executive directors/partners/members of your organisation.

Name: Responsibility

…………………… …………………….

…………………… …………………….

…………………… …………………….

…………………… …………………….

2.9 Information Have any of the individuals listed in 2.9 and/or their relatives been employed by Catalyst or do they have (or have they had) any commercial, manufacturing, contracting or other interest, including any relationship with Catalyst within the last 5 years? If so, please provide further details.

Details enclosed? Yes/No

2.10 Information Please give the number and location(s) of the premises from which your organisation carries out services similar to those required by Catalyst (please continue on separate sheet if necessary).

No of Offices: …………………………………

Address: …………………………………………

Address: …………………………………………

Address: …………………………………………



2.11 Scored Please indicate the principal areas of business activity of your organisation and whether these cover services of a similar nature to those being procured.

(You may use additional sheets in appendices to demonstrate your key business activities)

2.5%

2.12 Information Please confirm that your organisation's objectives (as set out in the organisation's memorandum of association) cover the works required by Catalyst and please enclose a copy of your organisation's memorandum of association.


3 Compliance with EC legislation/UK procurement legislation

3.1 Pass/Fail Do any of the circumstances set out in regulation 23(1) and 23(4) of the UK Public Contracts Regulations 2006 (S.I. 2006 No:5) apply to your



organisation?

Catalyst may seek evidence at a later date, in confirmation of your answer.

(Appendix 1 contains a summary of the circumstances)

4 Financial Standing

4.1 Pass/Fail Has your Organisation met the terms of its banking facilities and loan agreements (if any) during the past year? If the answer is no, what were the reasons, and what has been done to put things right?

Yes/No? Details Enclosed?

4.2 Pass/Fail Has your Organisation met all its obligations to pay its creditors and employees during the past year? If the answer is no, please explain why not.

Yes/No? Details Enclosed?

4.3 Information Please indicate the annual turnover of your organisation over the last 3 years. If your organisation is part of a group, please give figures for both your own organisation and the group.

Organisation

Annual Turnover £ …………………

For year …………………..




For year …………………..


For year …………………..

Group

Annual Consolidated Turnover £ ………………

For year ………………….





4.4 Information Please indicate the annual turnover of your organisation in respect of works or services of a similar type to the subject matter of the proposed contract over the previous 3 years.

Organisation


For year …………………..


For year …………………..


For year …………………..



4.5 Information Please enclose a set of the last audited accounts for your organisation and the holding and/or ultimate parent company (if applicable) or, if your organisation is a partnership, a financial summary of the accounts of the partnership for the last year together with confirmation from the partnership's auditors that the accounts have been subject to audit.

Enclosed? Yes/No

4.6 Information Please provide details of any significant changes that have occurred since your organisation's last set of audited accounts which may have the effect of altering the position as indicated in that set of accounts.

Details provided? Yes/No

4.7 Information Please give details of your bankers: Name: ……………………………………………

Branch Address: ……….……………………...

……………………………………………………

Account Name: ……………………….…………

Account Number: ……………………..………

Sort Code: ……………………………………….

Number of years account has been open: …………………………..



May bankers be approached for a reference? Yes/No

If yes, please enclose a letter on your headed notepaper, signed by an authorised signatory, authorising Catalyst to seek a financial reference from your principal banker and stating that any charges for the reference shall be paid by yourselves.

Enclosed? Yes/No

4.8 Information Has your organisation ever had a contract terminated or its employment determined under the terms of a contract?

If yes, supply details.


Enclosed? Yes/No

4.9 Information Has your organisation ever not had a contract renewed for failure to perform to the terms of a contract?

If yes, supply details.


Enclosed? Yes/No

4.10 Information In the event that you have provided account details for your holding/ultimate parent company, please indicate whether that company will offer a parent company guarantee in respect of your

Parent company guarantee available? Yes/No



organisation's obligations under the proposed contract with Catalyst.

4.11 Pass/Fail Catalyst will undertake a Dunn and Bradstreet credit check on each Bidder that has submitted a completed Pre-Qualification Questionnaire. These checks categorise the ‘Risk of Business Failure’ at the time the assessment is undertaken. The results of this check will be assessed on a pass/fail basis as follows:

Risk of business failure

Minimum – pass Lower than average – pass Average – pass/fail Higher than average – pass/fail High/undetermined – fail

Catalyst will then undertake its own assessments of the accounts, first to ascertain the minimum turnover of the organisation (which will be assessed on a pass/fail basis) and then to ascertain to its own satisfaction, the financial and economic standing and robustness of the organisation (which will be scored).

Please supply your Dunn and Bradstreet number.

5 Staff & Resources



5.1 Scored Please state the number of staff employed direct in relation to the subject matter of the contract, in terms of:

Partners/directors; professional staff; technical staff; administration support and other (please state discipline)

Please provide details of educational and professional qualifications of these employees.

Details enclosed? Yes/No 10%

5.2 Scored Please provide a current staffing structure in relation to the provision of services to which this project relates.

Enclosed? Yes/No 5%

6 Technicians and technical services

6.1 Scored Please provide the full names and details of all professional bodies, institutions, technical associations, employer or trade associations that your organisation is a fully registered member of and details of all trade licences held by your organisation. Please provide copies of certification, including association registration and trade licenses.


7 Quality assurance & Environmental Accreditation

7.1 Scored Please provide details and copies of certification (including a summary of your quality management system and the index of areas covered) of any quality assurance certification/accreditation that

Details and certification enclosed? Yes/No 5%



your organisation holds and whether your organisation is accredited to IS09001 or equivalent.

If no such certification or accreditation is held, please provide evidence of the quality procedures you have in place and any plans to obtain such accreditation.

In order to assess your company as accurately as possible, please ensure that in addition to your certification, you also enclose your full quality/environmental management system.

7.2 Information Please provide details of any awards for services forming the subject matter of this contract, that your organisation has been awarded in the last five (5) years.


7.3 Scored Please provide details and copies of accreditation to IS014001 or equivalent.

If no such certification or accreditation is held, please provide evidence of any environmental management procedures/policies you have in place and any plans to obtain such accreditation.


8 Equality & Diversity

8.1 Pass/Fail (Non UK-based firms should answer each of the following questions substituting, where relevant, the appropriate legislation and/or codes of practice etc, where applicable within their domestic



jurisdiction). Do you comply with the following current legislation?

a Sex Discrimination Act

b Equal Pay Act

c Race Relations Act

d Disability Discrimination Act

e Employment Equality (Religion or Belief) Regulations

f Equal Opportunities Act

g Employment Equality (Age) Regulations

Please provide copies of all relevant [policies/statements] covering the above legislation.

Yes/No

Yes/No

Yes/No

Yes/No

Yes/No

Yes/No

Yes/No

Included? Yes/No

8.2 Information In the last 3 years has any finding of unlawful discrimination in ANY field been made against your organisation by the Employment Tribunal, The Employment Appeal Tribunal or any court or in comparable proceedings in any other jurisdictions or has your organisation been the subject of formal investigation (which had a negative finding) by relevant authorities (such as the Commission for Racial Equality) on the grounds of alleged unlawful discrimination?

If the answer is Yes, please advise what the unlawful finding(s) was/were and what corrective actions have been taken by your Company as a

Yes/No

Included? Yes/No



result.


8.3 Information Is your organisation an ethnic minority business (50% or more of which is owned by members of one or more ethnic minority groups, or, if there are few owners, where at least 50% of the owners are members of one or more ethnic minority groups)?

Please see: http://www.cre.gov.uk/gdpract/em_cat_ew.html

YES / NO

Not known as PLC/

Mutual /Charity

Do not wish to disclose (acceptable answer)

8.4 Information In the last three years has any contract with your organisation been terminated on grounds of your failure to comply with either or both of:

i) Legislation prohibiting discrimination or

ii) Contract conditions relating to equal opportunities in the provision of goods, facilities or services?

If yes, provide details of each occasion and state the corrective action you have taken.

Please note that if the findings are negative then Catalyst reserve the right to exclude a Bidder from

YES / NO

IF YES, PLS ATTACH DETAILS

http://www.cre.gov.uk/gdpract/em_cat_ew.html



further evaluation.

8.5 Information Please provide a breakdown of your workforce by diversity by completing the questionnaire at Appendix 1.

8.6 Scored Please provide a copy of your Equalities and Diversity Policy.

5%

9 Technical Ability

9.1 Scored Please provide a list of projects, carried out over the past three (3) years for the provision of services substantially similar to those required by Catalyst under the following categories:

a) projects currently undertaken; and

b) projects that have been undertaken over the last three years.

The details should include:

a) customer name and address;

b) contact name and telephone number;

c) name and location of project and brief description of nature of project including contract value, project reference and brief description of works/ services undertaken (including fees received);

20%



d) dates when services were provided; and

e) name(s) of sub-contractors and/or consortium members and their role (if applicable).

(NB. Catalyst may elect to contact any of the above companies for a reference. Your permission to do so will be assumed unless you state any objections).

Please note references will not be scored. However, in relation to any references taken up, if the findings are negative then Catalyst reserve the right to exclude a Bidder from further evaluation.

The relevance of projects listed above to the subject matter of the contract will be scored. Therefore, those bidders providing projects of a similar nature to the subject matter of the contract will be awarded the highest score.

9.2 Scored Please provide details of how your organisation's involvement in the contracts which you have described at 10.1 above demonstrate your previous relevant experience (Maximum 1,500 words).

15%

9.3 Scored Please provide case studies of [3] contracts (identified in 10.1 above) of a substantially similar value and scope to the contract tendered for and carried out over the past three years for the provision of services similar to those required by

20%



Catalyst and which demonstrate your organisation's experience in relation to the subject matter of this contract. In particular, each case study should include the following:-

- Brief description of the project

- Details of the services provided

- What were the key challenges on the project and how did you approach these challenges;

(Maximum 500 words for each case study detailed).

10 Insurances

10.1 Pass/Fail Please indicate the maximum amount of professional indemnity insurance cover either currently held by your organisation or that would be available for the proposed contract and provide a cover letter confirming such an amount from your insurance providers. Please note that the minimum amount of professional indemnity insurance to be held should be not less than three million pounds (£3,000,000), such sum to relate to any one occurrence or series of occurrence arising out of one event, the total number of events being unlimited and this cover should be maintained until the expiry of 12 years following the date of completion of this project.

Enclosed? Yes/No



10.2 Pass/Fail Your organisation will be required to indemnify Catalyst against any claims for personal injury to or damage to property of third parties resulting from the carrying out of the contract. Therefore, your organisation should have available public liability insurance cover in an amount of not less than five million pounds (£5,000,000), such sum to relate to any one occurrence or series of occurrence arising out of one event, the total number of events being unlimited. Please provide a cover letter confirming such an amount from your insurance providers.

Enclosed? Yes/No

10.3 Pass/Fail Please provide a cover letter confirming that you hold employer's liability insurance for ten million pounds (£10,000,000) for all customary risks commensurate with the nature of the business undertaken and the number of persons employed by you from your insurance providers.

Enclosed? Yes/No


When you have completed the PQQ, please ensure that:

I. You have answered all the questions;

II. You have provided all supporting documentation requested; and,

III. You have read and signed the undertaking below.

I certify that the information supplied is accurate to the best of my knowledge and that I accept the conditions and undertakings requested in the PQQ. I understand and accept that false information could result in rejection of the application to be selected to take part in the tender process.

I/We understand that Catalyst shall be entitled to cancel the contract and to recover from our organisation the amount of any loss or damage resulting from such cancellation if:

By signing and returning the enclosed copy of this letter, I/we confirm that I/we have not in relation to this opportunity or the PQQ:

a. entered into any agreement with any other person with the aim of preventing bids being made or as to the fixing or adjusting of the amount of any bid or the conditions on which any bid is made or the elements or contents of any bid;

b. informed any other person, other than Catalyst, of any confidential information in relation to the Project, except where the disclosure, in confidence, was authorised by Catalyst and necessary for the obtaining of competitive tenders from bidding contractors;

c. caused or induced any person to enter into such an agreement as is mentioned in paragraphs (a) and (b) above;


d. committed any offence under the Prevention of Corruption Acts 1889 to 1916;

e. offered or agreed to pay, give or accept any sum of money, inducement or valuable consideration directly or indirectly to any person for doing or having done or causing or having caused to be done in relation to any proposed bid any act or omission;

f. offered or agreed to pay, give or accept any sum of money, inducement or valuable consideration directly or indirectly to any person bidding for this Project for services from any person in relation to this Project; or

g. agreed to undertake work or services for any other person in connection with the Project.

I/we also undertake that I/we shall not procure the doing of any of the acts mentioned in paragraphs (a) to (g) above before the hour and date specified for the return of the PQQ and (if invited to tender) any resultant tenders.

I also understand that it is a criminal offence, punishable by imprisonment, to give or offer any gift or consideration whatsoever as an inducement or reward to any servant of a public body. I also understand that any such action will result in rejection of our application to take part in the tender procedure.

In this letter the word "person" includes any person, body or association, corporate or incorporate and "agreement" includes any arrangement whether formal or informal and whether legally binding or not.

This undertaking is to be signed by a Partner, Director or authorised representative

Signed for and on behalf of the Organisation:

Signed:

Position/Status in the Organisation:

Organisation’s name:


Organisation’s address:

Organisation’s email address

Organisation’s Tel Nr

Date:

Thank you for completing this questionnaire. The information it contains will be held in confidence by Catalyst and used for the purpose of determining your organisation's suitability for meeting the general requirements of Catalyst for the provision of the works pursuant to the proposed contract.


Appendix 1

Ethnic Origin & Gender of Employees

Grade Asian Black British

Black Other

South East

AsianWhite British

White Irish

White Other Mixed Not

Entered TOTALS

M F M F M F M F M F M F M F M F M FDirectors/Board Members

Senior Management

Professional Trainees Administrative/ Support Services

TOTALS

Number of women %age

Number of men %age

Total

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