CSR QUESTIONNAIRE SCORING SHEET

(to be used to evaluate Appendix 1 in the Open Procedure and PQQ in the Restricted Procedure)

The Commodity Strategy will state which parts of the CSR questionnaires will be relevant to the subject matter of the procurement, form part of the published evaluation criteria, and be evaluated. The Portfolio Specialist, in conjunction with UIG members, must ensurethat the criteria applied will be sufficient to meet APUC’s obligations, as set out in relevant legislation.Note that where the questionnaire data will be used for excluding potential suppliers, anobjective scoring methodology must be used. The basic approach suggested is contained below.

Not all areas are subject to scoring for obvious reasons. The following areas have suggested scoring set out below: H, Q, D, DH, C & E. When the procedures and government guidance on the Waste Electrical and Electronic Equipment EU Directives(WEEE) and Restriction of Hazardous Substances in Electrical and Electronic Equipment (ROHS) Directives is clear then this document will be updated to also include these areas. Until then, APUC Portfolio Specialists will need to make a judgement relevant to the [Contract/Framework Agreement] in question on the acceptability of the tenderer’s feedback for each scenario.

Each supplier starts with 0 points for each section.All sections can accumulate a maximum of 10 points except section E for goods/works where the maximum is 20 points. If key areas of data are missing, zero points should be applied or the form rejected. It may be natural to assume that should therequired information not be completed, then there could be something of concern being withheld.

If a PQQ applicant/tenderer answers a question where this document scores the specific answer as “RED” then that is a very serious issue and a view should be taken by the Head of Collaborative Procurement on whether the PQQ applicant/tenderer should be disqualified.

Audit validity periods will ideally be determined by their score as follows:

GREEN ZONE / 7-10 points
(15-20 points section E-goods/works) / 3 years
AMBERZONE / 4 - 6 points
(10-14 points section E-goods/works) / 2 years although normally with an agreed action plan, scheduled reviews - re-audit after 2nd year
RED ZONE / 3 points or less
(9 points or less section E-goods/works) / Assessment to be made of issues and an audit validity to be determined based on outcome – unlikely to exceed 1 year.

Note that where less than all questions are required to be answered (depending on what is being purchased), the scoring may not make up the maximum score and the figures for the relevant section will need to be graded proportionally. Returned questionnaires should be retained in a secure location in line with normal regulations that apply to tendering and contractual documents.

CORPORATE SOCIAL RESPONSIBILITY QUESTIONNAIRE – SCORING SHEET

To be completed by PPS or nominated UIG lead on behalf of the Tender Evaluation Board

Delete the areas in the tables below which were not asked of PQQ applicants/tenderers in Appendix 1 (ITT Open Procedure)

Delete this box prior to issue

[CONTRACT/FRAMEWORK AGREEMENT] FOR:

REFERENCE:

NAME OF TENDERER:

Ref. / Question Detailed in Appendix 1 / Scoring Mechanism
G / GENERAL BACKGROUND INFORMATION
X / NO DEFINED SCORING
F / FINANCIAL INFORMATION / NO DEFINED SCORING
Ref. / Question Detailed in Appendix 1 / Scoring Mechanism / Evaluation Mark
H / HEALTH & SAFETY / Hazardous / Non- Hazardous
H1A / Are hazardous substances to be offered in the potential tender / tender for which you are completing this questionnaire? / 0 / 5
H1B / Are Product Safety Data sheets available? / 2 – if yes, 0 if no / 0
H1C / Are Product Assessment sheets available? / 2 – if yes, 0 if no / 0
H2 / Which products require special disposal procedures? / 0 / 0
H3 / Are all items of equipment to be supplied that require a CE Mark so labelled? / 1 – if yes, 0 if no / 1 – if yes, 0 if no
H4 / Is there a Health and Safety Policy in place at all relevant locations in the supply chain and is appropriate training provided? / 1 – if yes, 0 if no / 1 – if yes, 0 if no
H5 / Are written risk assessments and method statements in place for areas of significant risk? / 2 – if yes, 0 if no / 1 – if yes, 0 if no
H6 / How many accidents (notifiable to the HSE) have you had in the last 3 years? / No accidents=2
One accident =1
More than 1=0 / No accidents=2
One accident =1
More than 1=0
Q / QUALITY ASSURANCE / Yes / NO / Evaluation Mark
Q1A / Are your quality management systems for the manufacture and/or supply of goods or services in this tender certified to ISO9000? - OR / 6 / 0
Q1B / Are your quality management systems for the manufacture and/or supply of goods or services in this tender certified to ISO9001? / 10 / 0
Q1C / Please state certifying body and certificate number
(& attach a copy of the certificate) / If certificate is not provided, then deduct all above points
Q2 / If ISO9001 quality management systems are not in place in your organisation, are other quality assurance systems / processes in place in your organisation? / 0-8 depending on quality of systems demonstrated (but if already meeting ISO9000, only up to a further 2 points can be given)
D / DIVERSITY & EQUALITY - General Equality Information – all suppliers
In order that we may make an assessment of your current Diversity & Equality status, please provide answers to the following questions. Please ensure that any supporting documentation is clearly marked with the name of the respondent and the number of the question to which the response refers. / YES / NO / Evaluation Mark
D1 / Is it your policy as an employer to comply with your statutory obligations under the Equal Pay Act and also under relevant equality legislation not to discriminate on grounds of Disability, Sex, Sexual Orientation, Age, Religion or Belief, Colour, Nationality or Race under relevant UK or Scotland legislation or equivalent legislation which applies in the countries in which your company employs staff. / 0 / RED
D / DIVERSITY & EQUALITY - General Equality Information – all suppliers / YES / NO / Evaluation Mark
D2A / 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 result. / 0 (can score up to 2 dependant on corrective action taken) / 5
D3 / 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. / 0 (can score up to 2 dependant on corrective action taken) / 5
DH / DIVERSITY AND EQUALITY - Additional questions for suppliers / potential suppliers offering goods and/or services that are deemed to be highly relevant in relation to diversity & equality legislation.
Note: If you are a One Person Business (OPB) (i.e. no employees except owner) then select OPB when given that option / YES / NO / OPB / Evaluation Mark
DH1 / Is your approach to equality and diversity set out in:
DH1A / Instructions to those concerned with recruitment, selection, remuneration, training and promotion? / 1 / 0 / 1
DH1B / Documents available to employees, recognised trade unions or other representative groups of employees? (e.g. induction, training, newsletters, web etc). / 1 / 0 / 1
DH1C / Recruitment advertisements or other literature? / 1 / 0 / 1
DH2 / Are your staff with managerial responsibilities required to receive mandatory training on equal opportunities? / 1 / 0 / 1
DH / DIVERSITY AND EQUALITY / YES / NO / OPB / Evaluation Mark
DH3 / Do you observe, as far as is possible, the relevant authorities (such as the Commission for Racial Equality's) Codes of Practice for Employment, or equivalent code of statutory guidance issued under equivalent legislation in another country, which gives practical guidance to employers and others on elimination of unlawful discrimination and the promotion of equality of opportunity in employment, including monitoring of workforce matters and steps that can be taken to encourage members of all parts of society to apply for jobs or take up training opportunities?
If Yes, please supply evidence to support your answer. Evidence may be examples or copies of documents such as your equality, diversity or equal opportunities in employment policy, documents containing instructions to staff, or outlining arrangements for advertisements, recruitment, selection, access to training, opportunities for promotion, copies of recruitment advertisements, extracts from staff handbooks, or other materials that demonstrate your organisation’s commitment to race equality. / up to 2 can be scored dependant on evidence provided / 0 / 1
DH / DIVERSITY AND EQUALITY / YES / NO / OPB / Evaluation Mark
DH4 / Is it your practice not to discriminate directly or indirectly on grounds of Disability, Sex, Sexual Orientation, Age, Religion or Belief, Colour, Nationality or Race in the provision of goods, facilities or services to the public? / 0 / RED / Not option
DH5A / Do you have a process in place to allow for tailoring your offering of goods and services to meet the needs of different racial / social groups? / up to 4 can be scored dependant on evidence provided / 0 / Not option
C / CORPORATE RESPONSIBILITY
For APUC Ltd. to improve its social performance it needs to give consideration to such issues when procuring goods, services and works from external suppliers. / YES / NO / Evaluation Mark
Community
C1 / Has your company developed a community investment strategy? / 1 / 0
C2 / Does your organization undertake community investment programmes? / 2 / 0
C3 / If Yes, state the form of investment (e.g. Cash, Staff time, Gifts in kind, Management time)? / 0 / 0
C4 / Has the development of your community investment strategy included a review of sourcing/purchasing, e.g. local sourcing, sourcing from disadvantaged communities - disabled, ethnic minorities etc / 1 / 0
Labour Rights in the Supply Chain.
The following questions are applicable to companies who have supply chains extending beyond developed countries.
C5 /

Does your company have a supply chain policy (or similar policy) that requires your suppliers to uphold minimum commitments relating to labour standards which meet core ILO Conventions on Labour Rights?

/ 2 / 0
C / CORPORATE RESPONSIBILITY / YES / NO / Evaluation Mark
C6 /

Do you monitor your suppliers’ operations/facilities to assess their compliance with your supply chain policy or directly with the ILO Conventions on Labour Rights

/ 0 / 0
C7 / If Yes, state how you monitor. / Up to 3 dependant on information provided / 0
C8 / Does your company have plans in place in the event that labour rights concerns are identified in your supply chain? / 1 / 0
E / ENVIRONMENTAL / Goods/Works / Service / Evaluation Mark
E1 / Do you operate to any environmental management standard (e.g. ISO14001 or equivalent)? / 4 if yes / 6 if yes
E2 / Certifying body & Certificate Number (& attach a copy of the certificate) / If no certificate provided, deduct all points under E1
E3 / Is there an Environmental Policy in place?
[copy should be attached] / up to 2 can be scored dependant on evidence provided / up to 2 can be scored dependant on evidence provided
E4 / Have you had any enforcement notices or prosecutions by the Health & Safety Executive or Environment Agency (or similar bodies in countries in which you operate) in the past 3 years? / up to 3 can be
deducted dependant on
number. If none then 0 / up to 3 can be
deducted dependant on
number. If none then 0
E5 / What are the key environmental impacts of the products and services that you would offer and what action have you taken to minimise these? Please only provide information that you haven’t given in answer to the questions below. / No score / No score
E6 / What percentage of the goods quoted for potential supply against any resulting contract are manufactured from re-cycled materials? / Up to 30%: 1
31 – 60%: 2
Over 60%: 3 / n/a
E7 / What percentage of the material content of the goods quoted for potential supply against any resulting contract is made from materials that can be re-cycled? / Up to 60%: 1
Over 60%: 2 / n/a
E8 / What percentage of your packaging is made from re-cycled materials? / Up to 30%: 1
31 – 60%: 2
Over 60%: 3 / n/a
E / ENVIRONMENTAL / Goods/Works / Service / Evaluation Mark
E9 / Can your packaging be collected after delivery so that you can re-use or recycle? / 2 if yes / n/a
E10 / What are you doing to reduce the hazardous material content of the products supplied under this contract? / Up to 2 if positive action is being taken or 2 if no hazardous materials are being supplied / n/a
E11 / Are any of the products on this contract eco labelled? (If Yes, please state which ones) / 1 if yes / n/a
E12 / Describe any special arrangements you have for waste disposal which ensure minimisation of environmental pollution. (If none, state ‘none’) / 1 If reasonable effort is being made / 2 If reasonable effort is being made
E13 / Describe any measures taken by your company to preserve or protect natural resources. (If none, state ‘none’) / No score / No score
W / WEEE Directives (Waste Electrical and Electronic Equipment EU Directives) Directive No. 200/96/EC / Scoring to be included at a later date
R / Restriction of Hazardous Substances in Electrical and Electronic Equipment (ROHS) Directive (2002/95/EC) / Scoring to be included at a later date
V / VERIFICATION - CORPORATE CUSTOMER REFERENCES
Please provide the names and addresses of two major clients that you have supplied with the Services (goods, services, consultancies) that you propose to bid to supply to the universities and further education colleges in Scotland (that would be willing to provide you with a reference). / NO DEFINED SCORING
Declaration
All the information provided in this document is complete, true & correct and I am authorised by relevant persons in my organisation to provide this information. / NO DEFINED SCORING
*Total Score per Tenderer:

* insert the total score (or convert total score to appropriate weighting percentage) onto the relevant section of the Tender Evaluation Form

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