E 4 ISSUE/REVISION LAST MODIFIED 26 November 2012 DATE PRINTED

Transcription

1 THE UNIVERSITY of EDINBURGH Estates & Buildings ESTATE DEVELOPMENT E 4 ISSUE/REVISION LAST MODIFIED 26 November 2012 DATE PRINTED RIBA stage E E4 PREPARE PQQ FOR CONTRACT WORKS (OJEU & NON OJEU) 1. DEFINITION The Pre-qualification Questionnaire (PQQ) is the first stage in tendering for a Main Contractor. 2. PURPOSE The purpose of the PQQ is to enable the University of Edinburgh to create a short list of potential Contractors. Through the PQQ, sufficient information will be obtained to enable the University to evaluate the suitability of the Contractors to proceed to the second stage of tendering, which is the Invitation to Tender (ITT). 3. PROCEDURE This procedure is concerned with projects where the estimated works contract value is: Above the OJEU threshold: OJEU stands for the Official Journal of the European Union and all public sector contracts valued above a certain financial threshold according to EU legislation must be published in the OJEU. Below the OJEU threshold and above 1,000,000 Projects where the estimated works contract value is below 1,000,000 do not require a PQQ. Refer to procedure FGH3 Prepare tender list and issue tender documentation (non OJEU) The OJEU threshold changes every two years and should be checked prior to procurement at: esholds.asp All procurements, regardless of value, must comply with the EC Treaty principles of: Transparency: contract procedures must be transparent and contract opportunities should generally be publicised Equal treatment and non-discrimination: potential suppliers must be treated equally Proportionality: procurement procedures and decisions must be proportionate Mutual recognition: giving equal validity to qualifications and standards from other Member States, where appropriate. Main Contractors will need to have the necessary size and experience for the type of project for which they are tendering, as well as knowledge of health and safety and sustainability issues and of the Equality Act The method of tendering will depend on the anticipated construction costs. Page 1 of 9

2 They will be expected to be members of Constructionline and CHAS or equivalent organisations. For definitions of these, refer to paragraph 4 below. Note: all procurement documents are available to the public under Freedom of Information Act, and may therefore be obtained by tenderers. 3.1 PIN (PRIOR INFORMATION NOTICE) FOR OJEU PROJECTS ONLY The PIN for a project is advertised in the OJEU to give advance warning of the scope of the works of a project that is expected to commence during the next twelve months. It does not, however, guarantee that a contract will be placed. A PIN does not have to be advertised but the advantage of doing so is that it reduces the overall tendering time period. 3.2 PROCUREMENT STRATEGY The Procurement Strategy document formalises the strategy for tendering and notes key dates, procedures, contacts, business needs and functional requirements, spend analysis, risks etc. It is required only when the estimated contract value is above 1,000,000. The general procedure for completing the Strategy document is as follows: The Project Management Team (normally the Estates Development Manager) prepares a Procurement Strategy Document Both the EDM and Director of Procurement will then sign the Procurement Strategy Document prior to any procurement process commencing. Refer to Procedure C10 Establish Procurement Strategy and template T PREQUALIFICATION QUESTIONNAIRE (PQQ) The following procedures will be adopted depending on the estimated value of the Contract works: The Project Management Team write the PQQ: Before advertising it they should ensure that the following are in place: Stage D cost estimate Project Board approval to issue the PQQ Agreement on the method of tendering Procurement Strategy completed as noted in 3.2 above. Refer to templates T28 MC PQQ and T28a PQQ non OJEU The University s Procurement office advertises the PQQ: The PQQ is advertised to invite a response from Contractors who are interested in tendering. The method of advertising depends on the estimated contract value: Above the OJEU Threshold: the PQQ is advertised through the Official Journal of the European Union (OJEU) and also included on the Scottish Procurement Portal and the University s electronic tendering system Intend. It will refer to the PIN if this was advertised. Below the OJEU threshold and above 1,000,000: the PQQ is advertised through the Scottish Procurement Portal and the University s electronic tendering system Intend Page 2 of 9

3 The PQQ notice will outline the following: Brief description of the project The anticipated contract cost Location of the project Timescale Award criteria Project brief The procedures relating to submissions for tender The advertisement will indicate the number of contractors that will be shortlisted for the ITT stage. Every contractor responding to the OJEU or Scottish Procurement Portal advertisement will be sent a PQQ to fill in and submit via Intend. Typically, the PQQ will provide the following information: The Contractor s economic and financial standing The Contractor s relevant project experience The Contractor s partnering capability, expertise and nature of his supply chains The Contractor s commitment to and experience of working in accordance with the Equalities act and evidence of inclusive work practice (this might include examples of projects that illustrate equality considerations)* Statements of compliance References from previous contracts Particular questions relating to the specific product/service required Particular questions on sustainability strategy and recording processes on waste reduction An outline project programme *Refer to procedure AB17 Equality and Diversity In addition, the PQQ notice may ask for various documents and supporting material to be submitted with the PQQ response e.g. quality certification, annual accounts, health and safety and environmental policies etc. 3.4 MARKING THE PQQ The PQQ responses will be evaluated by two members of the Project Management Team and the resulting shortlist recommended to the Project Board for approval. The Project Management Team should also ask the University s procurement office to obtain a Dun & Bradstreet report or equivalent on all contractors under consideration in order to check on their financial status and these should be submitted to the Estates and Buildings accountant for checking. Refer to T28 for PQQ marking and section 4 of this Procedure Note 3.5 REFERENCES The Project Management Team should take up the references provided by each contractor under consideration, as well as consulting colleagues within Estates and Buildings, the Design Team and the QS. Page 3 of 9

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5 3.6 ITT (INVITATION TO TENDER) ITT is the final stage in procurement and is the means by which tenders are invited from the Contractors who have been shortlisted from the PQQ process. Refer to procedures FGH 3 Prepare ITT and issue tender documentation (OJEU) and FGH4 Prepare tender list and issue tender documentation 3.7 REMEDIES DIRECTIVE (PQQ) In addition, under the Remedies Directive of the 20 th December 2009, the Project Management Team will send letters to the successful short-listed tenderers advising them when the ITT information will be issued. In the case of the unsuccessful tenderers, rejection letters must be sent out at the same time, including feedback. This should include a version of the PQQ scoring matrix in which the names of all bidders have been removed. The letter templates to be sent out are: T23f: unsuccessful PQQ 23p: unsuccessful sub-threshold PQQ T23e: successful PQQ (for both OJEU and sub-threshold) 4. OUTPUT A short list of contractors (normally 5 or more) to be taken forward to ITT stage. PQQ Evaluation Report, summarising the process, outcomes and conclusions and copied to the Procurement Manager for their records Letters notifying successful and unsuccessful contractors. Copies filed in both the central file and appropriate project file (L.9) for audit and record purposes NOTES: All correspondence should be copied to the Procurement Office, the Estates Programme Administrator and the Administrator and Committee Officer All documents pertaining to the Design Team, QS and other consultants must be retained for Audit purposes for a period of 10 years. 5. DEFINITIONS The definitions of Constructionline, CHAS and Dun & Bradstreet are provided below. In the event of tenderers from other countries, membership of equivalent bodies will be expected. 5.1 CONSTRUCTIONLINE It is the University of Edinburgh Estates and Building s policy to use Constructionline or equivalent as a pre-qualification tool for vetting and selecting Contractors. This is the UK s largest register of pre-qualified local and national construction and constructionrelated contractors (and consultants), and is owned and endorsed by the Department of Trade and Industry (DTI). Page 5 of 9

6 Constructionline can provide an accurate source of information for procurement at PQQ stage on a company s credentials, experience and location: All contractors registered with Constructionline will have undergone a full technical and financial appraisal before being registered Constructionline recommends the maximum value of contract that should be awarded in each case, and this will facilitate the pre-qualification process for contractor selection and appointment There may be exceptional circumstances where specialist contractors are required, but are not registered with Constructionline. In such circumstances, consideration may be given to contracting with a non-constructionline registered contractor. Furthermore, contractors based outside the UK are not able to register with Constructionline. In such cases technical and financial checks will have to be made by other means. Further information on Constructionline may be obtained from Estates and Buildings, Estates Programme Administrator. 5.2 CHAS Local authority health and safety and procurement professionals, with the support of the Health and Safety Executive, have developed the Contractor Health and Safety assessment scheme (CHAS). This scheme is available for use by any public and private sector organisations when short listing contractors, suppliers and consultants who apply to work for them: It provides information about the health and safety part of the applicant All companies who have been accepted by the scheme meet acceptable standards of health and safety compliance. 5.3 DUN & BRADSTREET D&B can provide an instant picture of contractor s financial status and long term business viability, and is recognised as a leading predictive indicator for assessing company risk and business failure. These reports may be obtained from the Procurement Office and provide independent information on the financial standing of contractors. However, it must be borne in mind that the accounts on which these are based may be over a year old. 5.4 OVERVIEW DIAGRAMS OF NON-OJEU PROCUREMENT PROCESS The diagrams overleaf show the procurement process followed by the University for OJEU and non-ojeu procurements. Page 6 of 9

7 OVERVIEW DIAGRAM OF NON OJEU PROCUREMENT PROCESS UP TO 1,000,000 CONTRACT VALUE 1,000,000 and below Procedure as follows: Below CONTRACT VALUE Is estimated contract value ABOVE or BELOW OJEU threshold? Above ABOVE OJEU Refer to Procedure FGH2 AGREE AWARD CRITERIA Agree shortlist of tenderers INVITATION TO TENDER (ITT) EVALUATE TENDERS & IDENTIFY PREFERRED BIDDER Interview if appropriate Obtain Project Board approval ISSUE ACCEPTANCE LETTER & REJECTION LETTERS Provide feedback to unsuccessful Contractors in accordance with Remedies Directive s T23t, T39 Page 7 of 9

8 OVERVIEW DIAGRAM OF NON OJEU PROCUREMENT PROCESS ABOVE 1,000,000 TO OJEU ABOVE A 1,000,000 AND BELOW OJEU Procedure as follows Below CONTRACT VALUE Is estimated contract value ABOVE or BELOW OJEU threshold? Above ABOVE OJEU Refer to Procedure FGH2 AGREE AWARD CRITERIA with the Project Board WRITE THE PQQ Advertise the PQQ on the Scottish Procurement Portal T28a Guide: 14 days EVALUATE THE PQQ Short-list by applying award criteria T days ISSUE ITT Guide: to shortlisted Consultants ISSUE REJECTION LETTERS Provide feedback as per the Remedies Directive s T23e, T23p 3-4 weeks depending on complexity EVALUATE TENDERS Interview if appropriate T30 Guide: 7-14 days IDENTIFY PREFERRED BIDDER Obtain Project Board approval (If appropriate) ISSUE ACCEPTANCE & REJECTION LETTERS AWARD CONTRACT PLACE ADVERT T23t, T39 (If portal used) Page 8 of 9

9 OVERVIEW DIAGRAM OF OJEU PROCUREMENT PROCESS ABOVE OJEU 0 TO 1 MILLION AND 1 MILLION TO OJEU Refer to Procedure FGH3 Below CONTRACT VALUE Is estimated contract value ABOVE or BELOW OJEU threshold? Above ABOVE OJEU Procedure as follows ISSUE PIN NOTICE AGREE AWARD CRITERIA with the Project Board Allow 30 days for electronic pin; 37 days if not 7-14 days T28 T30 WRITE THE PQQ ADVERTISE THE PQQ on OJEU EVALUATE THE PQQ Short-list by applying award criteria Min 40 days s T23e, T29 T23f ISSUE ITT to shortlisted Consultants ISSUE REJECTION LETTERS Provide feedback as per the Remedies Directive Guide: 7-14 days T30 EVALUATE TENDERS Interview if appropriate IDENTIFY PREFERRED BIDDER Obtain Project Board approval Min 10 working days for electronic acceptance, 15 days for letter s T38, T23g ISSUE CONDITIONAL ACCEPTANCE LETTER & REJECTION LETTERS Provide feedback to unsuccessful Contractors in accordance with Remedies Directive STANDSTILL PERIOD Page 9 of 9