Guidance Notes for completion of Pre-Qualification Questionnaire(PQQ)
Questionnaire Purpose

This PQQ will be used to determine a shortlist of bidders out of those who expressed an interest. Those bidders who are successful at the pre-qualification stage will then be invited to tender.

Please note that SQA contract opportunities are only open to suppliers established in an EU/EEA/GPA state as specified in the Public Contracts (Scotland) Regulations 2012.

Questionnaire Responses

Only information provided as a direct response to the questionnaire will be evaluated. Potential bidders should respond to the questionnaire on the basis that the contracting authority has no prior knowledge of their organisation. Information and detail which forms part of general company literature or promotional brochures etc. will not form part of the evaluation process. Marketing material should not be included.

Supplementary documentation may be attached to the questionnaire where bidders have been directed to do so. Such material must be clearly marked with the name of the organisation and the question to which it relates. Please note that the authority may require clarification of the answers provided or ask for additional information.

Electronic copies of the PQQ responsemust be uploaded via the Public Contracts Scotland advertising portal in Microsoft Word format.

The response should be submitted by an individual who has authority to answer on behalf of the organisation, company or partnership.

Please note that if you do not provide the electronic submission, by the required date and time, your response may not be considered.

Bidders should be aware that erroneous or incorrect responses may result in their removal from the tender list(s). In the event that this is only discovered once invitations to tender have been issued, the bidder may be required to return the tender documents which will be deemed void. In the case where the error or misrepresentation is not discovered until after the contract is awarded, the authority reserves the right to terminate the contract and all costs incurred by us as a result of the termination shall be recoverable from the provider under the contract.

IMPORTANT INFORMATION FOR SUPPLIERS

Freedom of Information

The Freedom of Information (Scotland) Act 2002, which came into force on 1 January 2005, designates SQA as a Scottish public authority and therefore subject to the provisions and obligations in that Act. This means that, any person who makes a valid request for recorded information held by SQA will be entitled to receive it, unless all or part of that information can be withheld as a result of the exemptions in that Act.

As part of our responsibility, SQA may be required to disclose any information contained within or relating to your responseto anyone who makes a request under that Act. Such information may only be withheld if it meets one or more of the exemptions or conditions in that Act (e.g. if commercial interests may be harmed). Information provided cannot simply be classified as ‘confidential’ or ‘commercial in confidence’ to enable it to be protected from disclosure.

By submitting a PQQ response to SQA the organisationacknowledges our obligations as detailed above.

Further information and guidance may be obtained from the Scottish Information Commissioner’s website:

Information may also be requested under the Data Protection Act 1998 and the Environmental (Scotland) Information Regulations 2004.

Questionnaire
  1. Contract Title
Application to be included on the tender list for:

[Contract title, reference number]

  1. Timetable

Return of questionnaire[insert date]

(Questionnaires received by SQA after this date may not be considered)

Issue of Tender Documents[insert date]

Return of Tender Documents [insert date]

3.Explanation of the Requirement

The Scottish Qualifications Authority (SQA) is an executive non-departmental public body (NDPB) sponsored by the Scottish Government's Learning Directorate. It is the national accreditation and awarding body in Scotland and works in partnership with schools, colleges, universities and industry to provide high quality, flexible and relevant qualifications and assessments.

The current SQA sites are:

The Optima BuildingLowden, 24 Wester Shawfair

58 Robertson StreetDalkeith

GlasgowMidlothian

G2 8DQEH22 1FD

Any changes to SQA sites will be communicated to suppliersat the earliest opportunity.

Insert brief description of requirements.

The contract shall commence on (insert date)for a period of …. (max. of 4 years unless circumstances allow for longer term)unless earlier terminated in accordance with the further provisions of the contract. SQA reserves the right to extend the contract for a further period of up to …year/s subject to satisfactory supplier performance and business requirements.

4.Contact Details
Authority name / SQA
Address / Lowden, 24 Wester Shawfair, Dalkeith, Midlothian
Post code / EH22 1FD
Telephone number / 0345 213 6720
E-mail address /

Any questions relating to this document should be addressed to the above contact via the portal.

5.Evaluation of the PQQ

The information requested for Parts A - M must be provided and this will be evaluated on a pass/fail basis.

The remaining Parts will be evaluated based on a “weighted scoring” approach in which responses to the following PQQ questions are scored on a scale of 1 – 10. The scores are then multiplied by a weighting factor assigned to each question based on its importance relative to the other sections. The weighted scores for each section are then added together to give a total score for the PQQ response.

The following table illustrates how this PQQ will be evaluated:
Part / Evaluation Criteria Description / Weighting % / Score
(1 –10) / Total = (Weighting x Score)
N / Technical and/or Professional Capability to include relevant experience and capacity to deliver the requirements / 65 – 75%
O / Suitability of Business Continuity and Disaster Recovery arrangementsin relation to the requirement / 5 – 15%
P / Suitability of QualityManagement and Standards in relation to the requirement / 10 – 20%
Q / Suitability of Environmentalmanagement in relation to the requirement / 5%
R / Suitability of Health & Safety management in relation to the requirement / 5%
S / Suitability of Information Security arrangements in relation to the requirement / 10 – 30%
INTERNAL NOTES:
Part S is Optional and should be removed if not applicable to the requirement.
Weighting can be amended for all Parts as appropriate but must total 100% - weighting % must then be inserted into Parts N – S.
All PQQ optional questions are in Red and must be deleted and marked N/A if not relevant to the requirement.

PQQ Layout

Section 1 – Background Information Questions (for information purposes only)

Part A – Bidders Details - seeks background information about the bidder; this section is not normally evaluated, however the Authority may choose not to take forward bidders that cannot provide basic company information

Part B – Consortia and Subcontracting

Section 2 – Pass/Fail Questions

Part C – Questions relating to Criminal Convictions and Business Probity (mandatory exclusions)

Part D – Questions relating to Criminal Convictions and Business Probity (discretionary exclusions)

Part E – Non UK Businesses

Part F – Information Regarding Economic/Financial Standing

Part G – Insurance

Part H – Contract Termination

Part I – Conflict of Interest

Part J – Equal Opportunities

Part K– Environmental Management Legislation

Part L– Health and Safety Legislation

Part M – Information Security

Section 3 – Scored and Weighted Questions

PartN– Technical or Professional Capability

Part O – Business Continuity and Disaster Recovery

Part P – Quality Management

Part Q – Environmental Management Procedures

Part R – Health and Safety Procedures

Part S – Information Security

Section 1 – Background Information Questions

Part A – Bidders Details

All personal information supplied will be treated as confidential and will be subject to Data Protection legislation.
1. / Name of Organisation
2. / Address line 1
3. / Address line 2
4. / Town/City
5. / Region
6. / Postcode
7. / Contact name for enquiries
8. / Telephone number (including dialling code)
9. / Email address
10. / Website address (if applicable)
11. / Registered Office Address Line 1
12. / Registered Office Address Line 2
13. / Registered Office Town/City
14. / Registered Office Region
15. / Registered Office Postcode
16. / Organisation Legal Status / Sole Trader
Private Limited Company
Public Limited Company
Partnership
Other
17. / If you have answered ‘other’ to the Legal Status question please provide details here
18. / VAT registration number (or alternative EU registration number)
19. / Dun and Bradstreet (D.U.N.S) number, if known, of registered office
20. / Company registration number
21. / Name of parent company (if applicable)
22. / Name of ultimate parent company (if applicable)

Part B – Consortia and Subcontracting

23. / Please select how you intend to bid for this requirement from the following options / a) Your organisation is bidding to provide the entire requirement itself
b) Your organisation is bidding in the role of prime contractor and intends to use subcontractors to provide some of the requirement
c) The organisation is bidding as the lead member of a consortium
24. / If your answer to question 23 was either (b) or (c) please detail the structure of the arrangement together with details of who in the supply chain will be responsible for each element of the requirement

Section 2 – Pass/Fail Minimum Standard Questions

Part C – Criminal Convictions and Business Probity – Mandatory Exclusions

Failure to disclose information relevant to this section or serious misrepresentation in relation to the information disclosed will result in your exclusion from this procurement process or the termination of any subsequent contract that may be awarded to you.
Please indicate if the organisation or its directors or any other person(s) having powers of representation, decision or control of the organisation been convicted of any of the following offences.
25. / The common law offence of conspiracy where that conspiracy relates to participation in a criminal organisation as defined in Article 2 of Council Framework Decision 2008//841/JHA) or an offence under sections 28 or 30 of the Criminal Justice and Licensing (Scotland) Act 2010? / Yes
No
26. / Corruption within the meaning of section 1(2) of the Public Bodies Corrupt Practices Act 1889 or section 1 of the Prevention of Corruption Act 1906, where the offence relates to active corruption as defined in Article 3 of the Council Act of 26th May 1997 and Article 3 (1) of the Council Joint Action 98/742/JHA; / Yes
No
27. / Bribery or corruption within the meaning of sections 68 and 69 of the Criminal Justice (Scotland) Act 2003 where the offence relates to active corruption, or bribery within the meaning of sections 1 or 6 of the Bribery Act 2010; / Yes
No
28. / The common law offence of incitement to commit a crime; / Yes
No
29. / Fraud, where the offence relates to fraud affecting the financial interests of the European Communities as defined by Article 1 of the Convention relating to the protection of the financial interests of the European Communities, within the meaning of –
- the offence of cheating the Revenue;
- the common law offence of fraud;
- the common law offence of theft or fraud;
- fraudulent trading within the meaning of section 458 of the Companies Act 1985 or section 993 of the Companies Act 2006;
- fraudulent evasion within the meaning of section 170 of the Customs and Excise Management Act 1979 or section 72 of the Value Added Tax Act 1994;
- an offence in connection with taxation in the European Union within the meaning of section 71 of the Criminal Justice Act 1993;
- the common law offence of uttering;
or
- the common law of attempting to pervert the course of justice / Yes
No
30. / Money laundering within the meaning of section 340(11) of the Proceeds of Crime Act 2002 or the Money Laundering Regulations 2007, or an offence in connection with proceeds of drug trafficking within the meaning of sections 49,50 or 51 of the Drug Trafficking Act 1994; or / Yes
No
31. / Any other offence within the meaning of Article 45(1) of the Public Sector Directive as defined by the national law of any relevant state / Yes
No

Part D – Criminal Convictions and Business Probity – Discretionary Exclusions

Failure to disclose information relevant to this section may result in your exclusion from this competition or the termination of any contract that may be awarded to you. If you answer "Yes" to any of the following questions you must demonstrate that you have taken the appropriate remedial action.
Please indicate if your organisation or its directors or any other person(s) having powers or representation, decision or control of your organisation has been convicted of any of the following offences.
32. / Are you an individual in respect of whom a debt relief order has been made or is bankrupt or has had a receiving order or administration order or bankruptcy restriction order or a debt relief restriction order made against them or has made any composition or arrangement with or for the benefit of creditors or has made any conveyance or assignment for the benefit of creditors or appears unable to pay, or to have no reasonable prospect of being able to pay, a debt within the meaning of section 268 of the Insolvency Act 1986(d), or article 242 of the Insolvency (Northern Ireland) Order 1989(e), or in Scotland has granted a trust deed for creditors or become otherwise apparently insolvent, or is the subject of a petition presented for sequestration of your estate, or is the subject of any similar procedure under the law of any other state? / Yes
No
33. / Are you a partnership constituted under Scots law that has been granted a trust deed or become otherwise apparently insolvent, or the subject of a petition presented for sequestration of your estate? / Yes
No
34. / Are you a company or any other entity within the meaning of section 255 of the Enterprise Act 2002(f) which has passed a resolution or is the subject of an order by the court for the company’s winding up otherwise than for the purpose of bona fide reconstruction or amalgamation, or has had a receiver, manager or administrator on behalf of a creditor appointed in respect of the company’s business or any part thereof or is the subject of the above procedures or is the subject of similar procedures under the law of any other state? / Yes
No
35. / Has the organisation been convicted of a criminal offence relating to the conduct of its business or profession? / Yes
No
36. / Has the organisation committed an act of grave misconduct in the course of its business or profession? / Yes
No
37. / Has the organisation failed to fulfil obligations relating to the payment of social security contributions in accordance with the legal provisions of the United Kingdom or the country in which it is established? / Yes
No
38. / Has the organisation failed to fulfil obligations relating to the payment of taxes in accordance with the legal provisions of the United Kingdom or the country in which it is established? / Yes
No
39. / Is the bidding organisation guilty of serious misrepresentation in providing any information referred to in this PQQ or has not provided such information in response to a request by the contracting authority? / Yes
No
40. / Has your organisation ever complied, used, sold or supplied a prohibited list which:
(a) Contains details of persons who are or have been members of trade unions or persons who are taking part in the activities of trade unions, and
(b) Is complied with a view to being used by employers or employment agencies for the purposes of discrimination in relation to the treatment of workers
Within the meaning of the Employment Relations Act of 1999 (Blacklists) Regulations 2010? / Yes
No
41. / Has your organisation ever refused a person employment:
(a) Because he/she is, or is not a member of a trade union, or
(b) Because he/she is unwilling to accept a requirement
(i) to take steps to become or cease to be, or to remain or not to become, a member of a trade union, or
(ii) to make payments or suffer deductions in the event of his/her not being a member of a trade union
Within the meaning of Section 137 of the Trade Union and Labour Relations (Consolidation) Act 1992? / Yes
No
42. / Has your organisation breached the Data Protection Act 1998 or been served with an enforcement notice in relation to unlawfully processing personal data in connection with any blacklisting activities. / Yes
No
43. / If you have answered "Yes" to any of the above discretionary exclusion questions then please provide a statement of any remedial action you have taken.

PartE – For Completion by Non-UK Businesses Only

44. / Is your business registered with the appropriate trade or professional register in the EU member state where it is established (as set out in Schedule 6 of the Public Contracts (Scotland) Regulations 2012 under the conditions laid down by that member state. / Yes
No
45. / For Service Contracts only:
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 deliver the requirement in this procurement? / Yes
No

PartF–Information Regarding Economic/Financial Standing

Your financial accounts and supporting information should be in English and in UK Sterling. If the original documents are not in English, please provide copies of the originals and a certified translation into English. If the sums in the accounts are not expressed in UK Sterling then copies of the original accounts, shall be provided together with a UK Sterling rate equivalent copy utilising the pound buys exchange rate applicable on the date of issue of the PQQ.
46. / Please provideone of the following:
a. A copy of your audited accounts or equivalent for the most recent two years, along with details of any significant changes since the last year end.
or
b. A statement of your organisation’s turnover; profit and cash flow for the most recent full year of trading or where a full year of trading has not been completed the same information for the period applicable.
NOTE if this information is not available in an audited format please provide an end of period balance sheet or make the response specifiedbelow
or
c. If you are unable to provide the information requested above, please provide additional information and documentation that will give the Authority the assurance that you are capable of carrying out any subsequent awarded contract. For example, a statement of your organisation’s cash flow forecast for the current year and a letter from your bank outlining the current cash and credit position or other alternative means of demonstrating financial standing.
Please provide this information as an annex marked Part F.
47. / Pleaseattach any additional information you would like to provide, regarding the economic/financial standing of your organisation. For example provide a statement explaining why the organisation was not in net profit after tax in either of the reported financial years.
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 or may not be required to provide either a parent company guarantee or a bank guarantee.
48. / Where a consortium is proposed, one of the responses described in question46 is also required for each member of the consortium.
Please provide the relevant information for each consortium member as part of your annex response to Part F.

Part G – Insurance