PRE-QUALIFICATION QUESTIONNAIRE GUIDANCE FOR COMPLETION

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9 Νοε 2013 (πριν από 3 χρόνια και 11 μήνες)

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PRE
-
QUALIFICATION QUESTI
ONNAIRE


GUIDANCE FOR
COMPLETION

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1

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11



Introduction and Purpose

Sometimes when buyers advertise a requirement asking suppliers to
express an interest in tendering, the buyer will include an initial sifting
stage in the overall tendering process (occasionally referred to as “long
listing”,
more often as “Pre
-
Qualification”)
.
This serves the purpose of
fairly reducing the number of competing suppliers to a manageable
number. This is particularly appropriate where buyers anticipate that a
large number of suppliers are likely to want to bid.

In order to evaluate suppliers’ ability to meet the advertised requirement
the buyer will ask them to submit information about themselves, usually
focussing on the supplier’s capabilities and resources
.
The buyer will then
examine each supplier’s response

and decide which firms they will issue
the Invitation to Tender (ITT) to on the basis of this high
-
level evaluation.
The simple document that asks firms to provide the information needed to
carry out the process is called a Pre
-
Qualification Questionnair
e (PQQ).
The flow chart below illustrates how Pre
-
Qualification fits within a simple
competitive procurement process.


When a buyer wants to assess suppliers’ suitability to tender for a
particular contract they will need to consider a wide range of info
rmation
about the interested firms. Th
is

PQQ tries to gather all of the necessary
information whilst not making too much work for those responding to it.

The specific areas in which the PQQ seeks information are described
below.



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QUALIFICATION QUESTI
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GUIDANCE FOR
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Section 1
-

Organisation

Identity and Basic Details

A buyer will need some basic contact details for each supplier and
some background information about who they are.

Section 2
-

Financial Information

A buyer needs to know about a possible supplier’s financial
situat
ion.

They wi
ll want to be sure that the firm has the financial
resources and stability to carry out the required work, and that they
are likely to be around to complete the contract satisfactorily
.
The
PQQ therefore asks for some basic company financial information

a
nd copies of
your most recent audited accounts for the last two
years
to allow a buyer to assess a supplier in this area.

Section 3

-

Insurance

With the best will in the world there are sometimes problems with
contr
acts for one reason or another.
A buyer

needs to know that
possible suppliers have the necessary insurance policies to
adequately cover any such problems.

Section 4

-

Business Activities


A buyer will want to know what a potential supplier’s main lines of
business

and experience

are when decidi
ng if that supplier should
be invited to tender. The buyer will also want to be sure the firm is
likely to have sufficient resource to perform the contract properly or
if the supplier would in
tend to sub
-
contract. Section 4

of the PQQ
asks for informatio
n to help the buyer carry out this assessment.

Section 5


Business Practices

A buyer
may want to
know about
supplier’s

business practice
s

to
ensure that they have the appropriate policies / systems in place
with regards to the following areas
:

5.1
Health
and Safety

A buyer will want to be sure that a supplier takes care to ensure the
health and safety of its workers and others when carrying out its
work.

This will be especially important for construction work, for
example.

There are also legal requiremen
ts in this area that the
buyer will need to know that the supplier meets.

The PQQ
therefore asks suppliers to provide some information about their
policies on health and safety.

5.2
Quality Assurance

Quality management is all about making sure that work i
s done in a
planned, controlled way to ensure that the results are satisfactory
.
There are various schemes and standards that define how a firm
can make sure it meets its customers’ needs.

Buyers want to know if possible suppliers have thought about how
t
hey can make sure their work is up to the mark in terms of quality
.
This may mean the firm indicating it has been formally checked
against a recognised standard (benchmarked) or it may involve the
PRE
-
QUALIFICATION QUESTI
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GUIDANCE FOR
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firm giving a description of how it makes sure its work is

done
repeatedly to high standard.

5.3
Equal Opportunities

Public bodies have a special responsibility to make sure that all
members of the community are treated fairly and equally in the field
of their work. They will therefore want to know that a
possible
supplier accepts its legal duties in this area and takes them
seriously.

5.4
Environmental Management

Some business operations can have a big impact on the
environment, but all firms can help to ensure that they minimise any
harmful effects of the
ir work on the environment, for example by
recycling where appropriate and properly disposing of hazardous
materials.

A firm’s policies in this area will be more important for some types
of contract than others, but the PQQ provides for buyers to gather
in
formation from suppliers in this area.

Section 6



Requirement Specific Questions

Buyers will inevitably have some questions to ask of suppliers
which fall outside of the above categories and relate specifically to
the subject matter of the procurement the
y are currently
undertaking (for example, typical delivery lead times, or
interoperability with existing IT systems). Any such questions are
appropriate for inclusion in this section.

Section 7



Experience and
References

When a supplier wants to be invit
ed to tender for a contract the
buyer will want to know if it has done similar jobs of a similar size to
a good standard in the past.

The PQQ therefore asks for details of
up to three previous jobs done by the firm.

The more similar these
are to the
buyer’s current requirement the better.

The buyer will also want to know about any problems the supplier
has had on previous contracts.

It may be there are reasonable
explanations in justification so it is best to be honest and open in
answering these que
stions rather than have details scrutinised
later.

Section 8

-

Professional
and
Business Standing

Public bodies have a duty to maintain high standards of
professional behaviour and honesty.

They need to be sure that
potential suppliers can show that they
meet the same standards.
The PQQ asks suppliers to answer some important questions on
this subject.

Section 9



Declaration

This is simply the confirmation to the buyer by the supplier that the
information provided is valid and correct and is the final se
ction of
PRE
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QUALIFICATION QUESTI
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the PQQ with the exception of explanatory notes and
supplementary modules.






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QUALIFICATION QUESTI
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GUIDANCE FOR
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Pre Qualification Questionnaire
-

Scoring Guidance:



A “weighted scoring approach” will be used. PQQ’s will be scored as per the
below scoring system and the scores
for questions within each section are
then multiplied by the weighting factor assigned to each section on the basis
of its importance relative to other sections. The weighted scores for the
sections are then added together to give a total weighted score f
or the PQQ
response. A short
-
list will then be drawn up and s
elected companies will be
invited to participate further in the procurement process.



Section

Maximum
Score

Notes

1
-

Organisation Identity and Basic
Details

Provided /
Not
Provided



2
-

Financial Information

Pass / Fail

The Council shall seek a reference
from a properly recognised credit
reference agency in order to establish
whether the Applicant has satisfactory
financial status. The reference will be
sought be means of the Applicant's

Company or other corporate reference.


Applicants shall pass the financial
status test where such reference
shows that (i) the Applicant has lower
than average risk of failure, (ii) the siz
e
of the contract is less than 3
0% of the
average annual turnover
of the
company over the past 3 years.


If the Applicant fails, the Council shall
apply the same test to the Applicant's
parent company (if there is such a
parent company). Provided the parent
company passes and provides
confirmation that it will guarante
e the
bid, the application shall pass the
financial status test.


Where we are unable to obtain a credit
reference for an applicant, applicants
shall pass the financial status test
where the latest accounts show (i) the
siz
e of the contract is less than 3
0% of
the average annual turnover of the
company over the past 3 years (ii) the
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applicant has a positive net worth (iii)
current assets are greater than current
liabilities (iv) an overall surplus (v) no
qualifications to accounts (vi) accounts
not overdue

if required by companies
house.



3
-

Insurance

Pass / Fail

Sufficient level of insurance


Pass


Does not currently have sufficient
insurance but willing to increase if
successful
-

Pass


Insufficient insurance
and not willing to
increase


Fail


4
-

Business Activities and
Experience

5

(
20%
)


Supplier can demonstrate relevant
business activities are a core part of
their business and that they have
experience of managing similar Local
Authority contracts or equivalent and
have adequate existing resour
c
e
levels


high score


Concern over
relevance of business
activities and little or no experience of
relevant Local Authority contracts or
equivalent and/or concerns
over
resource level


low score


No responses provided



no score

5


Business Practices

HEALTH & SAFETY

5.1.1

5

(
5%
)

Documented

Health and Safety Policy
with recognised weed control
accreditation scheme


high score


Documented Health and Safety Policy


medium score


No Health and Safety Policy


no
score

5.1.2
and

5.1.3

5

(
5%
)

Robust management system and full
compliance with the H&S policy


high
score


Documented system, some gaps


low
score


No system


no score

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5.1.4

and
5.1.5

5

(
2%
)

No formal enforcement notices


high
score


1 notice


low score


2 or more notices


no
score

5.1.6


5

(
3%
)

No accidents or dangerous
occurrences


high score


1 minor occurrence


low score


2 or more minor occurrences or a
major occurrence


no score


QUALITY ASSURANCE

5.2.1
and
5.2.2

5

(
5%
)

Documented
quality management
certification



high score


No quality management certification


no score

5.2.3
and
5.2.4

5

(
5%
)

Documented p
roprietary
quality
management system


high score


No quality management system


no
score

EQUAL

OPPORTUNITIE
S

5.3.1

5

(
3%
)

Satisfied that Equal
Opportunities are
embedded within the organisation


high score


Not satisfied that Equal Opportunities
are embedded within the organisation


low score


No Equality Opportunities policy or
document


no score

5.3.2

5

(
0.5%
)

No findings


high score


1
finding


low score


2 or more findings


no score


5.3.3

5.3.4

5

(
0.5%
)

No investigations
-

high score


1 justified investigation


low score


2 or more justified investigations


no
score

5.3.5

5

Detailed evidence that equalities
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QUALIFICATION QUESTI
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(
0.5%
)

requirements are embedded and
promoted within all areas of the
organisation and its supply chain as
well as awareness of latest
developments (e.g. Social Values Act)


high score


Limited evidence only of understanding
of equalities requirements


low
score


No response



no score


5.3.6

5

(
0.5%
)

Have answered ‘Yes’ and would be
willing to provide evidence upon
request


high score


Have answered ‘No’ to some OR not
willing to provide evidence upon
request



low score


No response provided



no score

E
NVIRONMENTAL MANAGEMENT

5.4.1



5

(
4%
)

Certificated to globally
-
recognised
environmental management system,
for example ISO14000, Eco
-
Management and Audit Scheme
(EMAS)
-

high score


Documented proprietary environmental
management system such as Waste
and Resource Action Plan (WRAP)


medium score


No environmental management system


no score

5.4.2
and

5.4.3


5

(
3%
)

No enforcements


high score


1 enforcement


low score


2 or more

enforcements


no score


5.4.4
and

5.4.5

5

(
3%
)

No failures


high score


1 failure with clear evidence of
measures to avoid recurrence


low
score


2 or more failures, no measures to
avoid recurrence
-

no score


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6


Requirement Specific
Questions

6.1

Pass / Fail

Employees already CRB checked
-

high marks / willing to undertake CRB
checks
-

lower marks / no CRB checks
and not willing to undertake
-

no marks


(Companies not willing to undertake
CRB checks will not be considered for
short
-
listing as
this is an essential
requirement for this contract)

6.2


5

(
1
5
%
)

Member of one or more recognised
professional bodies
-

high marks /
working towards membership
-

lower
marks / no membership and not
working towards
-

no marks


6.3


Pass / Fail

Employees

hold RSPH / BPCA (Level
2) Certificates in Pest Control and
other relevant qualifications
-

high
marks / employees hold RSPH / BPCA
(Level 2) Certificates in Pest Control
-

lower marks / employees do not hold
RSPH / BPCA (Level 2) Certificates in
Pest Con
trol
-

no marks.


(Companies with employees that do
not hold RSPH / BPCA (Level 2)
Certificates in Pest Control, will not be
considered for short
-
listing as this is an
essential requirement for this contract)

7



Experience and
References

5

(
25%
)


Details

of good relevant references

of
similar schemes

including two or more
Local Authority or similar organisations


high score



Submissions that have good relevant
references

of similar schemes
,
including at least one Local Authority
or similar organisation



medium score



S
ubmission that has deficiencies


low

score


Irrelevant references or no references
provided

-

no score

8

-

Professional & Business
Standing

Pass

/ F
ail

Evaluation based on perceived risk


If answered
“No”

to one question or
more and satisfactory resolution is not
provided the PQQ will fail and the
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submission will not be considered
further

9

-

Declaration

Provided /
Not
Provided




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Weightings

The PQQ sections will be weighted as below:


Section

Weighting

1.

Organisation Details

N/A

2.

Financial Information

Pass / Fail

3.

Insurance

Pass / Fail

4.

Business Activities

2
0%

5.

Business Practices

5.1

Health and
Safety

15
%

5.2

Quality
Assurance

10%

5.3

E
qual
Opportunities

5
%

5.4

E
nvironmental
Management

10
%

6.
Requirement
Specific Questions

6.1

Pass / Fail

6.2

1
5
%

6.3

Pass / Fail

7.

Experience and References

25
%

8.

Professional and Business Standing

Pass / Fail

9.

Declaration

N/A