pre-qualification questionnairenlb.g2b.info/docs/mis_replacement_-_pqq.doc · web...

Northern Lighthouse Board

PRE-QUALIFICATION QUESTIONNAIRE

TENDER FOR THE SUPPLY, INSTALLATION, COMMISSIONING, TRAINING AND SUPPORT OF: MIS REPLACEMENT SOFTWARE

REF: HQTR/MIS/0568

OJEU REF: 2010/S 48-070780

of 34Issue No: 1Version No: 8Active Date: 5 March 2010

This PQQ has been created in MS Word 2007 and is designed to be completed electronically.

If you have downloaded this PQQ from our Buyer Profile can you please register your interest with Fiona Lynch, Commercial Manager by emailing [email protected]

You may wish to read NLB’s Procurement Guide and a copy can be found on our buyer profile http://nlb.g2b.info under the Buyer Profile/Other Information headings.

http://nlb.g2b.info/

mailto:[email protected]


1. IntroductionThis Pre-Qualification Questionnaire (“PQQ”) has been issued by the Commissioners of Northern Lighthouses operating as the Northern Lighthouse Board (NLB) in connection with a competitive procurement conducted in accordance with the Restricted Procedure under the Public Contract Regulations 2006.

This PQQ sets out the information required by NLB in order to assess the suitability of Potential Providers in terms of their technical knowledge and experience, capability/capacity, organisational and financial standing to meet the requirement. During the PQQ stage, the intention is to arrive at a short list of between 5 and 8 qualified Potential Providers for formal Invitation to Tender against the requirement as advertised in OJEU Notice 2009/S 48-070780 dated 10 March 2010, unless there are insufficient qualified providers.

Please be aware that if you are invited to tender, NLB may request to visit your premises, or undertake any appropriate action required as part of the tender evaluation and you may also be asked to attend an interview and make a formal presentation to our project team.

No information contained in this PQQ, or in any communication made between NLB and any Potential Provider in connection with this PQQ, shall be relied upon as constituting a contract, agreement or representation that any contract shall be offered in accordance with this PQQ. NLB reserves the right, subject to the appropriate procurement regulations, to change without notice the basis of, or the procedures for, the competitive tendering process or to terminate the process at any time. Under no circumstances shall NLB incur any liability in respect of this PQQ or any supporting documentation.

Direct or indirect canvassing of any NLB Commissioners, NLB staff, public sector employee or agent by any potential bidder concerning this requirement, or any attempt to procure information from any NLB Commissioner, NLB Staff, public sector employee or agent concerning this PQQ may result in the disqualification of the Potential Provider from consideration for this requirement.

The object of the qualification process is to assess the responses to the PQQ and select Potential Providers to proceed to the next stage of the procurement.

In assessing the answers to the following questions, NLB will be seeking evidence of the Potential Provider’s suitability to perform the services in terms of economic and financial standing, technical and professional ability. Qualification criteria will be a combination of both financial and non-financial factors and will be in accordance with Regulations 23 to 26 of the Public Contract Regulations 2006.

NLB will not reimburse any costs incurred by Potential Providers in connection with preparation and submission of their responses to this PQQ.

All information contained within this PQQ will be used to inform NLB’s project team relating to this project alone.

Potential Providers are advised to answer all questions. While a lack of response may not preclude you from consideration, NLB will request no further information before the evaluation of responses and the issuing of the invitations to tender. Therefore it is in your interest to ensure that your submission is complete at the time of sending. You may provide additional information, if relevant, with your PQQ submission.



2. Background Information

The Commissioners of Northern Lighthouses – operating as the Northern Lighthouse Board (NLB) and the Commissioners of Irish Lights (the whole of Ireland) together with the Corporation of Trinity House (England, Wales, Channel Islands and Gibraltar) - are the General Lighthouse Authorities (GLAs) with responsibility, subject to certain provisions, for the superintendence and management of “all lighthouses, buoys and beacons” throughout their respective geographical areas including “the adjacent seas and islands....” within and beyond territorial waters. In all, the GLAs provide some 1,200 traditional aids complemented by a mix of radio navigation aids for the safety of all mariners engaged in general navigation irrespective of who pays for the service, the size or type of the vessel, her equipment fit, the competence of her crew, or her flag.

Through an agreement with the Government of the Irish Republic the three GLAs provide an integrated network of Aids to Navigation around the British Isles. This discharges both the United Kingdom and Irish Governments’ obligation under the International Maritime Organization’s Safety of Life at Sea Convention.

The costs of the GLA’s services are met from the General Lighthouse Fund (GLF). The income to the GLF comes mostly from light dues which are charged on commercial shipping at United Kingdom and Republic of Ireland ports. There is no provision for Exchequer funding except in the Republic of Ireland and in relation to guarantees under the GLAs’ borrowing powers. The Secretary of State for Transport has a duty to ensure the effective management of the GLF and enable the adequate provision of aids to navigation at the minimum cost.

The Northern Lighthouse Board carries out the functions of the Commissioners of Northern Lighthouses who are constituted in terms of, and are given certain powers and duties by, Part VIII of and Schedules 8 and 9 tothe Merchant Shipping Act 1995. The subject matter of that Act is a reserved matter under Section 30 of and Schedule 5 to the Scotland Act 1998 and in terms of Section 29 of the Scotland Act 1998. NLB's affairs will continue to be subject to legislation passed by the United Kingdom Parliament. Ministerial responsibility will remain with the Department for Transport.

Under Section 193 of the Merchant Shipping Act 1995 NLB is the GLA for Scotland and adjacent seas and islands and the Isle of Man, and under Section 195 is vested with the responsibility for the superintendence and management of all lighthouses, buoys and beacons. Our Head Office is at 84 George Street, Edinburgh, EH2 3DA. We have a waterfront operating base in Oban on Scotland’s West Coast and it supports our ships and buoy maintenance work; and provides facilities for helicopters. We have smaller business premises in the Northern Isles.

The efficiency of our Aids to Navigation are measured against international standards set by the International Association of Marine Aids to Navigation and Lighthouse Authorities (IALA). IALA is a non profit, non governmental international technical association. IALA’s aim is to harmonize aids to navigation worldwide and to ensure that the movements of vessels are safe, expeditious, cost effective and harmless to the environment.

Within its area of jurisdiction as a General Lighthouse Authority, NLB has various powers and responsibilities in connection with the provision, maintenance, alteration, inspection and control of lighthouses, buoys and beacons, under Section 197 of the 1995 Act as amended. NLB also has Wreck Removal powers under Section 253 of the Act. For further information please see our website: www.nlb.org.uk


http://www.nlb.org.uk/


3. The Requirement

The planning of the replacement of MIS software is one of the top Business Objectives for 2009/10 and as such is a major project and has a significant impact on NLB’s business. NLB has a multi-disciplinary project team and board including externally appointed Systems Consultants.

A considerable amount of time has been spent planning the scope of the project and this has included looking at future changes and developments in the work processes. This work has informed a complete re-appraisal of the requirements given that NLB developments in financial, HR, payroll and document management systems have moved forward at different speeds over the last few years.

NLB is a small but complex and widely dispersed organisation employing approx 260 full and part time staff staff, with activities ranging from ship management to engineering development alongside the normal corporate services. This project will impact on all of these areas.

As with many organisations, NLB has been significantly affected by the recession and in particular the global downturn in shipping - that has reduced light dues income - and the fall in financial markets – affecting investment income. However, this project remains a key element of our current Corporate Plan. The new system will be used as an enabler to help implement better business practices throughout the organisation.

NLB want to implement a commercially available off-the-shelf (COTS) management information solution comprising finance and HR/payroll at its core which will be a fully integrated modular system with Workflow provision and Document Management capability. NLB have an existing Document Management system (Autonomy Worksite) and suppliers will either integrate with this or propose an alternative. NLB is currently a Microsoft based organisation and the system must work on current and future operating systems, using industry standard protocols for interfaces and supporting integration with standard office applications.



NLB will consider variances that do not materially change our specified software product output requirement or nature of contract but do not wish to purchase individual stand alone software products. Full details will be provided within the tender documentation. Please be aware this will be one contract with one point of contact which must cover all our requirements. It does not necessarily need to be one system however it must be seamless and appear to the user/viewer as one system.

Business processes that are required to be supported by the solution are:

a) Financial and Management Information: Corporate planning, budgeting and forecasting General accounting and reporting (for multiple entities, with consolidation and intercompany

settlement) Procure-to-pay (including CIS and commitment accounting) Employee Travel and Subsistence (supporting Government Procurement Card) Order-to-Cash and Credit Control (including Commercial work and Holiday Letting) Project work (to support project management, costing and accounting) Inventory accounting and management (stock and stores requisitions and management) Fixed asset accounting and management Treasury and cash management

b) Human Resources Management and Payroll: Recruit, Source and Select Employees Employee Training and Development Reward and Retain (including full payroll functionality for UK and Isle of Man tax regimes and support

for flexible working) Redeploy and Retire Employee Information (with the ability to monitor absence and attendance)

Key attributes and characteristics include:a) Comprehensive Reporting Capabilities – User friendly, flexible and intuitive reporting capability to support

the delivery of appropriate financial, human resources, payroll and management information.b) Self Service capability – to empower the users with local, self service access for travel and subsistence

claims, HR information and reporting.c) Integrated Workflow technology – To enable NLB to introduce best-practice processes in respect of data

submission/authorisation that can easily accommodate multiple, complex authorisation routines.d) Robust /secure system platform – The system must provide comprehensive security, data integrity

controls and minimal system downtime. e) Scalability – NLB requires a system that will support its existing user base and be capable of being scaled

in line with its growth over the life of the system with access to the system from various locations (for example on-site and remote, including ships).

A number of initial process review meetings have been held with both Finance and Commercial staff and stakeholders in the wider business, in order to review existing business processes and identify areas where improvements could potentially be made. A number of areas of opportunity have been established and advanced for consideration in terms of process re-engineering and we would expect a supplier to provide the system, installation, training and implementation services to support NLB in achieving these objectives.

These include removing the need for manual “workarounds” devised over a period of time within the constraints of the system, principally:

“Double-keying” of records into the Finance system and off-line spreadsheets Paper-based processes where physical documents are circulated to stakeholders for information

and/or approval Business processes which do not conform to best-practice guidelines for streamlined financial

administration



4. Contract Information This contract shall be an agreement for the supply, installation, commissioning and support of replacement Management Information System software.

The contract may be awarded in whole or in part, however NLB reserve the right not to make an award. Any quantities referred to within this PQQ will be indicative and official order(s) will be issued for requirements.

It is anticipated that this contract will commence in December 2010, with the optimum time of year for going live subject to NLB’s businees requirements being either last quarter of 2011 or the first quarter of 2012.

The support contract will run for a period of 7 years with options to extend for up to and including a further 3 year period.

5. Time table to be discussed at next project meetingSet out below is the proposed procurement timetable. This is intended as a guide and, whilst the NLB does not intend to depart from the timetable, it reserves the right to do so at any time.

Target Date Activity

Monday 8 March 2010

OJEU notice published with PQQ made available to Potential Providers.

Wednesday 21 April 2010 at 14:00 hours

PQQ Return Date

By Friday 7 May 2010

Evaluation of PQQs completed

Monday 10 May 2010

Invitation to tender issued to qualified Potential Providers

Friday 21 May 2010 Tenderers ConferenceWednesday 23 June at 14:00 hours

Tender Return Date

Friday 29 October 2010

Evaluation of tenders completed (approximate date)

November 2010 10 working day standstill period (known as the Alcatel judgement) with issue of letter of intent

November 2010 Anticipated Contract Award dateNovember/December 2010

Contract commences

6. NLB’s Named Contact PointNLB’s named contact point for the project is:

Fiona LynchCommercial ManagerNorthern Lighthouse Board84 George StreetEdinburghEH2 3DA United Kingdom

Direct Line: 00 44(0)131 473 3131Fax: 00 44 (0) 131 473 2436Email: [email protected]




7. Instructions for CompletionYou are invited to complete the attached PQQ and to submit it, together with any requested supporting information, to NLB by the deadline for return in accordance with the procedures set out in the paragraph below entitled “Submission of Completed Pre-Qualification Questionnaires”.

Potential Providers should follow the instructions outlined below when completing this PQQ and should answer all questions as accurately and concisely as possible in the same order as the questions are presented. Where a question is not relevant to the Potential Provider’s organisation, this should be indicated, with an explanation. Questions should be answered in English. The information supplied will be checked for completeness and compliance with the instructions before responses are evaluated.

Failure to provide the required information, make a satisfactory response to any question, or supply documentation referred to in responses, within the specified timescale, may mean that a Potential Provider is not invited to participate further. In the event that none of the responses are deemed satisfactory, NLB reserves the right to terminate the procurement and where appropriate re-advertise the procurement.

Potential Providers must be explicit and comprehensive in their responses to this PQQ as this will be the single source of information on which responses will be scored and ranked. Potential Providers are advised neither to make any assumptions about their past or current supplier relationships with NLB nor to assume that such prior business relationships will be taken into account in the evaluation procedure.

8. Queries about the procurementAll requests for clarification or further information in respect of this PQQ should be addressed to NLB’s named contact point. No approach of any kind in connection with this PQQ should be made to any other person within, or associated with, NLB. This PQQ is being provided on the same basis to all Potential Providers and NLB will not enter into detailed discussion of the requirements at this stage.

Any questions about the procurement should be submitted in writing by email, letter or fax for the attention of Fiona Lynch, Commercial Manager at the address given in paragraph 6 above. If NLB considers any question or request for clarification to be of material significance, both the question and the response will be communicated, in a suitably anonymous form, to all Potential Providers who have responded; have expressed an interest; or those that show an interest before the closing date for the submission of the PQQ. All responses received and any communication from Potential Providers will be treated in confidence but will be subject to this paragraph.

9. Additional InformationNLB expressly reserves the right to require a Potential Provider to provide additional information supplementing or clarifying any of the information provided in response to the requests set out in this PQQ. NLB may seek independent financial and market advice to validate information declared, or to assist in the evaluation.



10. Consortia and sub-contracting Where a consortium or sub-contracting approach is proposed, all information requested should be given in respect of the proposed prime contractor or consortium leader. Relevant information should also be provided in respect of consortium members or sub-contractors who will play a significant role in the delivery of services or products under any ensuing contract. Responses must enable NLB to assess the overall service proposed.

Where the proposed prime contractor is a special purpose vehicle or holding company, information should be provided about the extent to which the SPV/holding company will call upon the resources and expertise of its members to fulfil the Requirement.

NLB recognises that arrangements in relation to consortia and sub-contracting may be subject to future change. Service providers/suppliers should therefore respond in the light of such arrangements as are currently envisaged. Potential Providers are reminded that any future change in relation to consortia and sub-contracting must be notified to NLB so that it can make a further assessment by applying the selection criteria to the new information provided.

Details should also be provided in relation to the proportion of any contract awarded that the Potential Provider proposes to subcontract.

11. Potential Provider contact pointPotential Providers are asked to include a single point of contact in their organisation for their response to the PQQ. NLB will not be responsible for contacting the Potential Provider through any route other than the nominated contact. The Potential Provider must therefore undertake to notify any changes relating to the contact promptly.

12. Freedom of Information Act 2000*The Northern Lighthouse Board is a public authority in terms of the Freedom of Information Act 2000 and is under a duty to disclose information relating to all contracts it enters into with third parties with the exception of information of which the disclosure (a) would constitute an actionable breach of confidence owed to the party providing the information; or (b) would be likely to prejudice the commercial interests of the party providing the information. This also applies to information supplied to us during the pre-qualification process. Our scheme for disclosing information is available from our website at www.nlb.org.uk

In respect of any information submitted by a Potential Provider that it considers being commercially sensitive the Potential Provider should:

1. clearly identify such information as commercially sensitive;2. explain the potential implications of disclosure of such information; and3. provide an estimate of the period of time during which the Potential Provider believes that such

information will remain commercially sensitive.

Please submit responses to 1, 2 or 3 as an Annex with the completed PQQ.

Where a Potential Provider identifies information as commercially sensitive, NLB will endeavour to maintain confidentiality. Potential Providers should note, however, that, even where information is identified as commercially sensitive, NLB might be required to disclose such information in accordance with the FoIA. Accordingly, NLB cannot guarantee that any information marked ‘commercially sensitive’ will not be disclosed.


http://www.nlb.org.uk/


13. Submission of Completed Pre-Qualification QuestionnairesThe closing date for receipt of completed expressions of interest is Wednesday 21 April 2010 at 14:00 GMT hours. Email and Facsimile copies will only be accepted if the original is received within two working days of this deadline. It is in your interest to ensure that all the information requested is provided in your PQQ submission and that your submission reaches us by the closing date.

Whilst PQQs must be returned in hardcopy using the label provided in Appendix II, you can also email your PQQ submission to [email protected] if you wish to ensure delivery before the deadline. Please put “PQQ Ref: “HQTR/MIS/0568” as the subject of the email and please ensure the appropriate documents have been signed by an authorised signatory. We have no limit on the size of email received however to ensure that there are no receipt problems please limit email size to no more than 10 Mb and there is no limit on the number of emails sent. We can receive emails in most formats and Word, Excel and PDF are preferable. Other types of file especially Zip files or encrypted files may cause problems and could hamper the delivery of your PQQ. This email box is only opened following the deadline and the above procedure still applies. PQQs received after the closing date will not be considered.

Completed Pre Qualification Questionnaires should be forwarded using the label provided in Appendix II to:

Commercial ManagerNorthern Lighthouse Board84 George StreetEdinburghEH2 3DAUnited Kingdom

14. Provider SelectionNLB may disqualify any Potential Provider who fails to:

1. Comply with the requirements of Regulation 23 and/or fails to certify on the Statement of Good Standing that it has fulfilled these requirements

2. Provide a satisfactory response to any questions in the PQQ or inadequately or incorrectly completes any question

3. Submit its completed PQQ before the deadline

The Potential Providers who are not disqualified in accordance with the above grounds shall be evaluated on the qualification criteria which take into account the economic and financial standing and the technical and professional ability of the Potential Provider and are in accordance with Regulations 23-26 of the Public Contracts Regulations 2006 (as amended from time to time). A shortlist of Potential Providers will be drawn up and they will be eligible to participate further in the procurement process.

NLB may seek independent financial and market advice to validate information declared or to assist in the evaluation. Reference site visits or demonstrations and/or presentations are unlikely to be requested at this stage but NLB reserves the right to request the same as a part of the PQQ process.

Where a Potential Provider has a valid reason for being unable to provide the information requested in relation to economic, financial and insurance matters, the other information considered appropriate by NLB will be accepted.


http://www.opsi.gov.uk/si/si2006/uksi_20060005_en.pdf

http://www.opsi.gov.uk/si/si2006/uksi_20060005_en.pdf



15. Invitation to Tender Selection Criteria

The following criteria and weightings shall be used to assess the Pre-Qualification Questionnaires received with a view to forming a short list of suppliers to be invited to tender, the full evaluation matrix being used can be found in Appendix I.

Technical (60%)

Economic and Financial Standing (25%) – Z-Score - uses multiple corporate income and balance sheet values to measure the financial health of a company - plus Dun & Bradstreet Risk Assessment – Risk of Business Failure Good Standing (15%)

16. Contract Award CriteriaThe full and final criteria will be published in the Invitation to Tender Documentation. NLB reserves the right to award the contract in whole or in part and to make no award of contract if necessary.



Pre-Qualification Questionnaire for MIS Replacement

1. Organisation Details 1.1. Full legal name, address and website of the Potential Provider in whose name the tender will

be submitted (the Prime or Single contractor):

Company Name

Address

Town/City

Postcode

Country

Website (if any)

1.2. Name, position, telephone number and e-mail address of main contact for this project.

Name

Position

Telephone Number

Fax Number (if available)

E-mail (if available)

1.3. Current legal status of the Potential Provider (e.g. partnership, private limited company, etc.)


Please(tick one

box)

Sole Trader

Partnership

Public Limited Company

Private Limited Company

Other (please state)


1.4. Date and place of formation of the Potential Provider and, if applicable, registration under the Companies Act 2006.1 Please provide copies of Certificates of Incorporation (where appropriate) and any changes of name, registered office and principal place of business.

Date of formation

Place of formation

Date of registration

Company registration number

Certificates enclosed YES / NO (please delete)

Registered Office

Principal place of business

1.5. Ownership structure

a) Full legal name and address of Parent Company if applicable:

Company Name

Address

Town/City

Postcode

Country

Company registration number 2

1 Potential Providers established outside the United Kingdom may provide equivalent information. For a list of acceptable equivalent information please refer to in Regulation 23(7) of the Public Contracts Regulations 2006.2 Or, for parent companies established outside the United Kingdom, equivalent information as set out in Regulation 23(7) of the Public Contracts Regulations 2006.



b) Full legal name and address of (ultimate) Parent Company if applicable:

Company Name

Address

Town/City

Postcode

Country

Company registration number3

c) If the Potential Provider is a division or subsidiary, what is its relationship with the Parent Company (ownership, directorship, authority, etc)

Relationship

d) Please provide a one-page chart illustrating the ownership structure of the Potential Provider including relations to any parent or other group or holding companies.

Ownership structure enclosed (please tick √)

1.6. Please provide a brief history of the Potential Provider’s organisation.

Brief history of the Potential Provider’s organisation, no more than 400 words, including details of any parent and associated companies and any corporate re-organisations or 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.

3 Or, for parent companies established outside the United Kingdom, equivalent information as set out in Regulation 23(7) of the Public Contracts Regulations 2006.



1.7. Is the Potential Provider a consortium joint venture or other arrangement? If so, and if it is available, please provide details of the constitution and percentage shareholdings. (Please refer to the paragraph Consortia and subcontracting in the Introduction to this PQQ)

Consortium YES / NO (please delete)

If yes please complete the table below

OrganisationPercentage shareholding

1.8. Registration with professional body

Where applicable, is the Potential Provider registered with the appropriate trade or professional register(s) in the EU member state where it is established (as set out in Annex IX B of Directive 2004/18/EC) under the conditions laid down by that member state4).

Evidence of registration with appropriate professional/trade bodyEither insert required details or state ‘None’

1.9. Charities or Housing Association or other Registration number (if this applies). Please specify registering body.

Registering body

Registration number

1.10. VAT registration number

VAT Registration number

1.11. Please provide a Company organisational structure diagram.

Company Organisation Structure attached Yes /No

4 In the UK this condition is satisfied by registration with Companies House or a declaration on oath that the candidate is carrying on business in the trade in question in the UK at a specific place of business and under a specific trading name.



2. Subcontracting All Potential Providers should answer question 2.1. Where a Potential Provider at this stage of the process intends to sub-contract they should also answer questions 2.2 and 2.3 below. Where a Potential Provider becomes aware of the intention to subcontract at later stages in the procurement they are required to notify NLB of this and provide the information requested below at that time. Where a Potential Provider is a consortium they should indicate which members are proposing to deliver the services.

2.1. Please indicate which of the following applies

a) Your organisation is bidding to provide the services required itself (if ‘Yes’, go to question 3)

Yes / No

b) Your organisation is bidding in the role of Prime Contractor and intends to use third parties to provide some services

Yes / No

2.2. If your answer to 2.1 is (b) or (c) please indicate in the table below (by inserting the relevant company/organisation name) the composition of the supply chain, indicating which member of the supply chain (which may include the Potential Provider itself or solely be the Potential Provider) will be responsible for the elements of the requirement.

Requirement Company / OrganisationHow much of the requirement and what will they directly deliver (%)

2.3. If your answer to 2.1 is (b) and you are unable to confirm all sub-contractors (complete supply chain) at this stage, you will need to demonstrate a satisfactory methodology and track record of delivering a supply chain. Please give a brief outline on policy regarding the use of sub-contractors and, if applicable, the extent to which it is envisaged they may be used in any contract.

Methodology for procuring supply chain ([300] words or fewer)



3. Capability3.1. Please provide details of the Potential Provider’s principal areas of business activity, main products

and services

Brief Description of the Potential Provider’s primary business and main products and services.

3.2. Please provide details of the Potential Provider’s staff numbers. Please provide details of the average annual numbers of staff and managerial staff over the previous 3 years.

Year

Staff numbers

Managerial Staff

Technical staff involved with the delivery and support of this type of contract

3.3. If there are any areas where there may be or has the potential to be a conflict of interest (whether now or during the contract period) please declare these, giving full details.

Conflict of Interest Details

Does this have any potential to cause a conflict of Interest?

Yes/No



3.4 Please provide information relating to the Potential Provider’s experience of contracts for similar services, demonstrating the similarities in provided products and services to this requirement:-

Potential Providers should provide details of three significant private or public sector contracts for the supply of services which it has performed. These should have been performed during the past three years.

Information should not be given about contracts performed by any envisaged supply chain member or sub-contractor.

The contracts should have been for products and services similar to those outlined in the Requirement for similar sized companies.

Potential Providers should ensure that the companies listed would be willing to provide a reference for them and be willing to discuss the Potential Provider’s performance with NLB. NLB reserves the right to contact any or all of these companies for a reference and may wish to visit their premises.

(Where the Potential Provider is a special purpose vehicle and not intending to be the main provider of the goods or services, the information requested should be provided in respect of the principal intended provider of the services.)

Customer name and address

Contact name, telephone number and email address

Date contract awarded plus, start and finish dates

Contract reference and brief description of requirements undertaken (and value of contract)

Certificate of Acceptance5

/ Completion attached? (Y/N)

Names of supply chain members (sub contractors) and/ or consortium members and their role

1.

2.

3.

Potential Providers should provide full details of any contracts that have been terminated, cancelled or ended early by either the Customer or the Provider including the reason the termination/cancellation etc.

Have any contracts been terminated during the last 5 years? If Yes please provide full details below.

Yes / No

5 The certificate of acceptance is a document which contains evidence of confirmation that the particular contract was completed.



3.5 Please provide details of the technicians or technical services available to the Potential Provider to carry out the services in the requirement.

Statement of technical services and technicians available to the Potential Provider

3.6 In relation to the requirement please provide details of the Potential Provider’s available technical facilities, bases, study and research facilities, tools, plant, technicians, technical equipment and services.

Statement of available technical facilities, equipment, services and staff

3.7 In relation to the requirement please provide details of the Potential Provider’s approach to investment, research and development (including the ‘roadmap’) for the products available.

Statement of approach to investment, research and development.

3.8 Please provide details of the Potential Provider’s technical ability to perform the contract, including details of skills, efficiency, experience, reliability, methodologies and approaches relevant to the contract.

Details of the Potential Provider’s technical ability



3.9 Please provide details of the Potential Provider’s measures for ensuring quality in relation to the services provided under the contract in particular for ensuring quality of software and your support services including details of your approach to contract and project management, service delivery and complaints. (Details of your quality attestation registrations (if any) for example under ISO9001 or equivalent are required in section 7 of this document)

Details of the Potential Provider’s measures to ensure quality such as Quality Management systems

4. Financial4.1 Please provide the following financial information or an explanation as to why the Potential Provider cannot provide this information

Information attachedYes or No

If NoPlease explain why

a) A copy of the most recent audited accounts for your organisation that cover the last two years of trading or for the period that is available if trading for less than two years.b) A statement of the organisation’s turnover, Profit & Loss and cash flow position for the most recent full year of trading (or part year if full year not applicable) and an end period balance sheet, where this information is not available in an audited form at (a).c) Where (b) cannot be provided, a statement of the organisation’s cash flow forecast for the current year and a bank letter outlining the current cash and credit facility position.d) If the organisation is a subsidiary of a group, (a) to (c) are required for both the subsidiary and the ultimate parent company. Where a consortium or association is proposed, the information is requested for each member company. e) A separate statement of the organisation’s turnover that relates directly to the supply of this service for the past two years, or for the period the organisation has been trading (if less than two years).



4.2 Parent company and/or other guarantees of performance and financial standing may be required as well as confirmation of the organisation’s willingness to arrange for a guarantee or a performance bond.

Where the potential provider is dependant financially on a parent company to support its application for this procurement, it must indicate in the box below whether a Parent Guarantee is available if requested.

Where required, Parent Guarantee Available?

YES / NO (please delete)

Where required, Performance Bond Available?

YES / NO (please delete)If No please state why

4.3 Name and address of principal banker.

Bank Name

Address

Town/City

Postcode

If requested, would you be willing to provide a Banker’s reference? YES/NO



5 Insurance

Please provide evidence of the Employers' liability insurance; public liability insurance; professional liability and/or indemnity insurance; and any other appropriate Insurance held by the Potential Provider. The evidence should include the name of the insurers, policy numbers, expiry dates and limits for any one incident and annual aggregate caps and the excesses under the policies. Please be aware that our Tender documents will require specific minimum levels of the insurance required for the successful contractor.

5.1 Insurance details

Type of insuranceEmployers’

LiabilityPublic Liability Professional

IndemnityOther

Name of insurerAddress

Policy numbers

Expiry dateLimits of indemnity (per occurrence and aggregate)Excess (if any)

6. Disputes 6.1 Is there any material pending or threatened litigation or other legal proceedings connected with similar projects against the Potential Provider and/or any of its named supply chain members (sub-contractors) that may affect delivery of this project?

a)Legal proceedings pending YES / NO (please

delete)

b) If you have answered ‘Yes’ to 6.1(a) please give an explanatory statement:

Brief statement (300 words or fewer)Either insert required details or state ‘None’

6.2 Has there been any material litigation or other legal proceedings connected with similar projects against the Potential Provider and/or any of its named supply chain members (sub-contractors) that may affect delivery of this project in the last three years?

a)Legal proceedings YES / NO (please

delete)

b) If you have answered ‘Yes’ to 7.3(a) please give an explanatory statement:



Brief statement (300 words or fewer)Either insert required details or state ‘None’



7. Additional Information

7.1 Quality Assurance

Does your organisation hold a recognised Quality Management System certification from an independent body attesting conformity to quality assurance standards based on the relevant European standard or equivalent standard? For example BS/EN/ISO 9000 or equivalent?

Yes/No

If so, please provide a copy of the certificate

If not, does your organisation have a quality management system? Yes/No

If so, please attach an outline of the system.

If not, please explain why.

7.2 Health and Safety

If invited to tender you will be asked to provide more detailed H&S information and copies of documentation etc

Is your organisation legally obliged to have a Health and Safety Policy? Yes/No

Does your organisation make sure it complies with the Health and Safety at Work Act 1974?

Yes/No

Does your organisation have a written Health and Safety Policy? Yes/No

Does your organisation train its staff in Health and Safety? Yes/No

If you answer No to any of these questions please explain why.

Please provide details of:- Your accident and incident record including RIDDOR records

(Reporting of Injuries, Disease and Dangerous Occurrences Regulations 1995)

Any HSE, Local Authority Improvement, Prohibition Notice or other warning letter or notice issued to you within the past three years.

If you have had any such Notices or warnings how have things been put right to prevent this happening again.



7.3 Environmental Issues

7.4 Equality

If you do not have such a policy or training please explain why.

Is it your policy as an employer to comply with all Equality related legislation, and is it your policy not to treat any one group of people less favourably than others because of their age, disability, gender, race, religion/belief or sexual orientation?

Yes/No

In the last three years has any finding of unlawful discrimination been made against your organisation by any court or industrial or employment tribunal?

Yes/No

Does your organisation have a written Equality Policy? Yes/No

Does your organisation train its staff in Equality and Diversity issues? Yes/No


Do you operate a documented environmental management system? Yes/No

If you do not have such a system please explain why

Is this system certified by an independent body attesting conformity to environmental management standards based on the Community Eco-Management and Audit Scheme or the relevant European or International standards or equivalent, and which NLB may apply to the contract?Please include a copy of applicable certificates

Yes/No

If you do which of the following statements best describes it? (Please tick box)

A) It has effective management processes and procedures to manage the significant environmental impacts of our business.

B) It defines the significant environmental impacts of our business but only has plans for the introduction of effective management processes and procedures.

C) It only identifies the environmental impacts of our business.

D) None of the above.


7.5 Corporate Social Responsibility (CSR)

Does your organisation have a written CSR Policy? Yes/No

If you do not have such a policy please explain why.



STATEMENT RELATING TO GOOD STANDINGSTATEMENT RELATING TO GOOD STANDING — GROUNDS FOR OBLIGATORY EXCLUSION (IN ELIGIBILITY) AND CRITERIA FOR REJECTION OF CANDIDATES in accordance with Regulation 23 of the Public Contracts Regulations 2006 (as amended)

PROJECT TITLE: MIS Replacement

We confirm that, to the best of our knowledge, the Potential Provider is not in breach of the provisions of Regulation 23 of the Public Contracts Regulations 2006 (as amended) and in particular that:

Grounds for mandatory rejection (ineligibility)The Potential Provider or its directors or any other person who has powers of representation, decision or control of the named organisation has not been convicted of any of the following offences:

(a) conspiracy within the meaning of section 1 of the Criminal Law Act 1977 where that conspiracy relates to participation in a criminal organisation as defined in Article 2(1) of Council Joint Action 98/733/JHA (as amended);

(b) corruption within the meaning of section 1 of the Public Bodies Corrupt Practices Act 1889 or section 1 of the Prevention of Corruption Act 1906 (as amended);

(c) the offence of bribery;

(d) 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 Union, within the meaning of:(i) the offence of cheating the Revenue;(ii) the offence of conspiracy to defraud;(iii) fraud or theft within the meaning of the Theft Act 1968 and the Theft Act 1978;(iv) fraudulent trading within the meaning of section 458 of the Companies Act 1985 or section

993 of the Companies Act 2006;(v) defrauding the Customs within the meaning of the Customs and Excise Management Act

1979 and the Value Added Tax Act 1994;(vi) an offence in connection with taxation in the European Community within the meaning of

section 71 of the Criminal Justice Act 1993; or(vii) destroying, defacing or concealing of documents or procuring the extension of a valuable

security within the meaning of section 20 of the Theft Act 1968;

(e) money laundering within the meaning of the Money Laundering Regulations 2003 or Money Laundering Regulations 2007; or

(f) any other offence within the meaning of Article 45(1) of Directive 2004/18/EC as defined by the national law of any relevant State.

Organisation’s name

Signed

Position

Date



Discretionary grounds for rejectionThe Potential Provider confirms that it:

(a) being an individual is not bankrupt or has not had a receiving order or administration order or bankruptcy restrictions order made against him or has not made any composition or arrangement with or for the benefit of his creditors or has not made any conveyance or assignment for the benefit of his creditors or does not appear 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, or article 242 of the Insolvency (Northern Ireland) Order 1989, or in Scotland has not granted a trust deed for creditors or become otherwise apparently insolvent, or is not the subject of a petition presented for sequestration of his estate, or is not the subject of any similar procedure under the law of any other state;

(b) being a partnership constituted under Scots law has not granted a trust deed or become otherwise apparently insolvent, or is not the subject of a petition presented for sequestration of its estate;

(c) being a company or any other entity within the meaning of section 255 of the Enterprise Act 2002 has not passed a resolution or is not 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, nor 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 not the subject of similar procedures under the law of any other state;

(d) has not been convicted of a criminal offence relating to the conduct of his business or profession;

(e) has not committed an act of grave misconduct in the course of his business or profession;

(f) has fulfilled obligations relating to the payment of social security contributions under the law of any part of the United Kingdom or of the relevant State in which the organisation is established;

(g) has fulfilled obligations relating to the payment of taxes under the law of any part of the United Kingdom or of the relevant State in which the economic operator is established;

(h) is not guilty of serious misrepresentation in providing any information required of him under this regulation;

(i) in relation to procedures for the award of a public services contract, is licensed in the relevant State in which he is established or is a member of an organisation in that relevant State when the law of that relevant State prohibits the provision of the services to be provided under the contract by a person who is not so licensed or who is not such a member.


Signed

Position

Date



Other Grounds for Disqualification Incomplete PQQ – this includes not providing all the information requested, not returning the correct

documents, insufficient information provided and failure to sign the documents within the PQQ. Late submission of PQQ Incorrect, or changes to, information supplied in PQQ Lack of confidentiality Undeclared collusion with other companies – the form on Page 26 must be fully completed. If you wish to

make any declaration of intent please ensure this information is provided with your submitted PQQ. Failure to follow instructions given in PQQ Conflict of Interest Anti competitive practice



DECLARATION OF NON-COLLUSION1. The Supplier certifies to the Northern Lighthouse Board that this is a bona fide offer of services,

intended to be competitive, and that this offer of services has not been affected by any arrangement or agreement with any other person(s), firm(s) or company/(ies). The Supplier certifies that it has not (nor has any employee, agent, officer or representative of the Supplier), at any time prior to the time and date set for return of this tender:

1.1. communicated to any third party/(ies) (nor will it or any employee, agent, officer or representative of the Supplier) communicate to any third party between the time of the Supplier’s submission of its tender and the date of the award of any contract pursuant to the Invitation to Tender the nature or detail of the Supplier’s offer of services in respect of the Invitation to Tender (including without limitation proposed tender responses, service and service delivery elements, personnel, data, know how, trade secrets, prices and/or pricing structure, except where such disclosure was necessary to obtain insurance cover or sureties to support the offer;

1.2. entered into any agreement, formal or informal, with any third party, whereby the Supplier has agreed or arranged to refrain from offering services pursuant to the Invitation to Tender, or to collude as to the nature of the offer to be submitted;

1.3. offered or made any inducement to any third party with a view to affecting the propriety of the tendering process in any way; nor will it make or offer any such inducements.

2. The Supplier declares that the services offered are/are not* affected by any prospect of a subsidy or other assistance from government or other public authority.

2.1. Details of subsidy or other assistance from government or other public authority are as follows+;

* delete as appropriate+ provide details of scheme, source of funds and amount

2.2. The Supplier certifies that any such subsidy or any other assistance from government or other public authority is fully compliant with all relevant national and European competition law.

3. The Supplier confirms that it has not acted in any way, which is, or could reasonably be regarded as, in restraint of free competitive bidding in respect of the Supplier’s response to the Invitation to Tender.

4. The Supplier shall ensure that its employees, agents, officers and representatives are made aware of the nature of this declaration and the Supplier shall ensure that such persons adhere to this declaration as if they had individually granted it.

5. The officer signing this declaration on behalf of the Supplier confirms that it has done so after making due, careful and diligent enquiry in respect of the responses contained herein.

6. This declaration shall be governed in all respects and construed in accordance with Scots Law.


Signed

Position

Date



Pre-Qualification Questionnaire Completed byI declare that to the best of my knowledge the answers/information submitted in this PQQ (and supporting documents) are correct. I understand that the information will be used in the evaluation process to assess my organisation’s suitability to be invited to tender for NLB’s requirements and understand the reasons why my PQQ may be disqualified.

Name:

Position:

For and on behalf of:

Telephone

Mobile

Fax

Email

Website

Signature: Date:

Further informationIf you have any queries regarding this project please do not hesitate to contact Fiona Lynch, Commercial Manager, Northern Lighthouse Board, 84 George Street, Edinburgh, EH2 3DA, United Kingdom, Direct Line: 0131 473 3131 Fax: 0131 473 2436 Email: [email protected]



Appendix INorthern Lighthouse Board

PQQ FOR THE SUPPLY OF: MIS REPLACEMENTRef: HQTR/HELI/0568

PQQ Evaluation MatrixCandidate: Assessor:Date:

REFNO.

CATEGORY INFOSUPPLIED

MARK WEIGHT SCORE COMMENTS

1.0 Economic & Financial Standing

1.1 Financial Viability based on Z-score and Dun & Bradstreet Risk of Business Failure

0.8 The Director of Finance or his representative will conduct this assessment.

1.2 Insurance 0.2Parent Company Guarantees *** ***All docs completed *** ***

Total Score for Section 1 1

2.0 Technical2.1 Technical capability and ability

to perform0.3

2.2 Technical services and technicians available to the Potential provider

0.3

2.3 Facilities, equipment, services and staff plus approach to investment, research and development

0.2

2.4 Conflict of Interest Pass or Fail

NLB will evaluate any conflict of interest to determine if there is a material conflict

2.5 Referees x 3 and previous contracts including termination of previous contracts

0.2


3.0 Good Standing3.1 Statement of Good Standing Pass or

Fail3.2 Health & Safety including

Policy Legal compliance Training Accidents/Injuries Notices inc. CAA Rectification of

notices

0.3

3.3 Quality Assurance 0.2i) 9001

ii) 9002iii) 13000iv) 14 000v) Other

OR

OR 3.3

Quality plan details if not accredited

0.2

3.4 Environmental Issues 0.1



3.5 Disputes 0.23.5 Equality 0.13.6 CSR policy 0.1


4.0 SUB-CONTRACTORS NOT TO BE SCORED COMMENTS ONLY

Sub-contractors details

Grounds for Rejection Mark as appropriate and provide detailLate PQQ – received after the deadlineIncomplete PQQ - this includes not providing all the information requested, not returning the correct documents, insufficient information provided and failure to sign the documents within the PQQ.Incorrect information providedNo declaration of non-collusion or not completedDiscretionary grounds for rejection listed or form not completedStatement relating to good standing – issues listed or form not completedUnable to provide performance bond/bank guarantee/parent company guaranteeConflict of InterestNo Health & Safety PolicyNo Equality PolicyNo CSR Policy

Scoring Notes:

1. MARK 0 to 10 Choose the representative score:-

Unacceptable 0Fair 3Compliant or Acceptable 5Good 7Excellent 10

2. WEIGHTING 1 to 100% shown as a decimal fraction The overall category weighting must add up to 1 with Least Critical (0.01) up to Most Critical (1)

3. *** means no score required

4. Total Score achievable on this matrix per category is 10.



Northern Lighthouse BoardPQQ FOR THE SUPPLY OF: MIS REPLACEMENT

Ref: HQTR/MIS/0568

PQQ Evaluation Score Assessment

Candidate: Assessor:Date:

Ref No. Category TotalCategory Score

(Note 1)

WeightingFactor

(Note 2)

Reduced Score(Note 3)

1.0 Economic and Financial Standing

0.252.0 Technical 0.603.0 Good Standing

0.15Total Reduced Score

Notes:

1. Total Category score from Evaluation Matrix Sheet.2. Weighting Factors are as advertised within the tender and cannot be changed. These

are the percentages shown as decimal fractions3. The Reduced Score is the Total Category Score multiplied by the Weighting Factor.4. Total Reduced Score Available is 10.

Appendix II



PQQ return label


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