NWDA Panel Partner PQQ round 1

By Diane Gray,2014-04-16 10:51
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N. Terms and Conditions of Contract. O. Form completed by Equipment Design and Test, Physics, Oil & gas, Transport Technologies, Instrumentation and control, design, Defence, ii) a limited company? Y/N. iv) a partnership?

    Pre-Qualification Questionnaire


    Grant for R&D Technical Adviser


    Not later than 10.00 am on 29 August 2008

    Issued 23 July 2008

    RES002 V3/SC 1 Issued: September 2007



    1.1 Purpose of the document

    1.2 Scope of the requirement

    1.3 Confidentiality and Conflict of Interest

    1.4 Outline timetable for the procurement

    1.5 Consortia and subcontracting

    1.6 Queries about the procurement process

    1.7 Supplier/organisation contact point


    2.1 Procurement Process

    2.2 Evaluation Criteria


    3.1 Instructions for Completion

    3.2 Important Notices

    3.3 Freedom of Information legislation


    A. Organisation identity

    B. Organisation information

    C. Compliance with EU legislation/UK procurement legislation

    D. Quality assurance

    E. Project Management

    F. Management Information and Reporting

    G. Financial and economic capacity

    H. Insurance

    I. References

    J. Disputes

    K. Business capability

    L. Technical capacity

    M. Conflict of Interest

    N. Terms and Conditions of Contract

    O. Form completed by RES002 V3/SC 2 Issued: September 2007


1.1 Purpose of this document

1) This PQQ is the first stage of the tender process and responses to this PQQ will enable the

    Agency to assess the ability, competence and financial standing of any Suppliers.

2) Selected organisations will be invited to participate further in the second stage of this

    process (Invitation to Tender).

3) This is a competitive procurement conducted in accordance with the Restricted Procedure

    under the EU Procurement Directives and as implemented in English Law in the Public

    Contracts Regulations 2006 (SI 2006 No.5) and such other UK regulations implementing its

    provisions as may be made from time to time.

4) Please read this PQQ carefully before attempting to answer any questions. All parts of the

    Questionnaire must be completed and supporting information and evidence must be

    supplied where appropriate or requested. Failure to furnish the required information, make

    a satisfactory response to any question, or supply documentation referred to in responses,

    within the specified timescale, may mean that Suppliers will not be invited to participate


1.2 Scope of the requirement


    The Grant for R&D was introduced by the Department of Trade and Industry (DTI) on 1 June 2003

    as a replacement for the former Smart scheme. Since its introduction the scheme has helped over

    1,300 SMEs to research and develop technologically innovative new products and processes

    through ?110M of grant funding.

    The Northwest Development Agency (the Agency) is looking to appoint a Panel of providers of high

    quality independent technical advice to the Regional Development Agencies (RDAs) of England,

    UK, in a wide range of technologies. The technical advisers are required to assess the extent to

    which the Grant for R&D applications meet the appraisal criteria of the Grant and from 2008, any

    new products, specifically on Innovation Finance, which are launched by the Department for

    Innovation, Universities and Skills (DIUS), Business, Enterprise and Regulatory Reform (BERR) or

    other government departments and delivered by the RDAs.

    Work is currently underway across the Government, within the context of the Business Support

    Simplification Programme (BSSP), to review the optimal mix of business support required to

    stimulate increased R&D in England. It is anticipated that the new portfolio of products will be

    released in 2009 and this will have a direct knock-on effect on the Grant for R&D. It is likely that

    the scope of new products from the BSSP, specifically on Innovation Finance, may be different

    from the existing Grant for R&D.

    The DIUS is responsible for ensuring that the policy framework underpinning the Grant for R&D,

    and any successor products from the BSSP, is fit for purpose and is delivered by RDAs in a timely

    manner. The RDAs are responsible for delivering the existing Grant for R&D and they are likely to

    be responsible for delivering the new products from the BSSP, specifically on Innovation Finance.

    Against this background is the drive from the UK Government to decentralise the delivery of

    business solution products and this means management and governance including procurement


RES002 V3/SC 3 Issued: September 2007

Grant for R&D

    Grant for R&D helps small and medium-sized businesses to research and develop technologically

    innovative products and processes. The following help is currently available:

    ? Micro Projects are simple low cost development projects lasting no longer than 12 months.

    The output should be a simple prototype of a novel or innovative product or process. A

    grant of up to ?20,000 is available to businesses with fewer than 10 employees.

    ? Research Projects typically involve planned research or critical investigation lasting

    between 6 and 18 months. The result of the project could be new scientific or technical

    knowledge that may be useful in developing a new product or process. A grant of up to

    ?100,000 is available to businesses with fewer than 50 employees.

    ? Development Projects involve the shaping of industrial research into a pre-production

    prototype of a technologically innovative product or industrial process. A grant of up to

    ?250,000 is available for businesses with fewer than 250 employees.

    ? Exceptional Projects involve technology developments which have higher costs. These

    projects are likely to generate much wider economic benefits and must have strategic

    importance for a technology or industrial sector. A grant of up to ?500,000 is available to

    businesses with fewer than 250 employees.

Other Innovation Finance schemes - these may include:

    ? Proof of Concept schemes which support market research/assessment work, interim

    management and Intellectual Property costs for businesses and academics to assess the

    commercial viability of their innovative business concept.

    ? Capital grant schemes e.g. SFIE

    ? The appraisal process may involve both the appraisal of documentation and attendance at

    panel sessions to question applicants about the proposed project work.

Scope of work

Grant applications contain detailed project proposals which are highly technical in their nature.

    Proposals cover a diverse range of technologies and may cut across a number of sectors. The role

    of the technical adviser is to advise RDAs on the extent to which the technological aspects of

    project proposals meet the scheme appraisal criteria.

    The current appraisal criteria on Grant for R&D are:

    ? the level of technological innovation;

    ? the level of technological risk;

    ? the extent to which the project aims are achievable;

    ? the market potential;

    ? the capability of the project team to overcome the technical challenge.

    There may be small changes when new products resulting from the current BSSP are introduced in

    2009. There may be a requirement to assist RDAs at their premises in technical appraisal panels.

RES002 V3/SC 4 Issued: September 2007

    Each proposal for the Grant for R&D should take no more than four hours to assess but some may require more (or less time) time. In these cases the total cost should be adjusted accordingly in line with the hourly rate quoted following discussion and agreement with the RDA. Completed assessments should be returned within 10 working days. For other Innovation Finance grant schemes support may be required on an ad-hoc basis on either an hourly or daily rate depending on the way the scheme is delivered by RDAs.

    Technical advisers will be expected to fill out a Proforma provided by the RDAs giving adequately detailed feedback and robust advice to assist in the decision making process. In the case of unsuccessful applications the report may assist the applicants in preparing an improved application. The RDA may withhold payment in cases where the report is vague, very brief or incomplete. RDAs are responsible for deciding whether to offer a grant. RDAs make these decisions based on a range of information including advice received from technical advisers, accountants and the results of patent searches.

Operation of the panel

    The Agency is looking to implement a framework agreement for a panel of technical advisers which will be in place for three years. Being selected as a Panel Member does not guarantee the award of any individual contracts under the Panel.

    Organisations that are successful in this tendering exercise will be put on a Panel of Technical Advisers by the RDAs. They will be called upon to provide technical expertise by the RDAs on Grant for R&D and potentially other Innovation Finance schemes on an ad hoc basis. Each organisation will be asked to enter into a confidentiality agreement with the RDAs that prevents it from divulging details of the grant application proposals on which they comment. It also prevents them from seeking to benefit from the ideas discussed. The agreements establish the fixed pricing structure and fees for the duration of the project that each organisation will charge to assess a project. In order to achieve economies of scale, the Agency will negotiate these agreements on behalf of all the RDAs.

    RDAs may choose to use any technical adviser from the Panel depending on the technologies covered by a grant applicant. This is a call off contract and any work carried out under this contract will only commence on receipt of a written instruction from an RDA. Whilst it is our intention from time to time to appoint a Technical Adviser there is no guarantee that the successful organisation listed on the Panel of Technical Advisers will receive any work under the agreement. Technical Advisers may decline for specific reasons to provide an assessment e.g. because of a lack of expertise, resource or a conflict of interest etc.

    The RDAs will publish the details of the suppliers on the Framework on their websites. This is not intended to be an endorsement of the successful organisations; it is in case there is a conflict of interest between the grant applicant and one or more of the Technical Advisers. Occasionally under the Freedom of Information Act, grant applicants ask to see a copy of the assessment of their application. In such cases, the RDAs may release the information, but they will not divulge the identity of the Technical Adviser without their prior consent.

1.3 Confidentiality and Conflict of Interest

    Successful bidders will be required to treat as confidential all information which it may derive from or obtain during the course of the contract. They will be required to sign contracts containing Confidentiality Agreements. Contractors will also be required to ensure that there is no conflict of interest as to be likely to prejudice the Contractor’s independence and objectivity in performing the contract or declare any they believe may be present, for the avoidance of doubt. 1.4 Outline Timetable for the procurement:

    RES002 V3/SC 5 Issued: September 2007

    Return of Pre-Qualification Questionnaire 29 August 2008 Anticipated Invitation to Tender issue date 15 September 2008 Anticipated Invitation to Tender return date 27 October 2008 Presentations if required w/c 10 November 2008 Post Bid Clarifications w/c 10 November 2008 Alcatel 10 day standstill period w/c 17 November 2008 Anticipated contract start date 1 December 2008

1.5 Consortia and sub-contracting

The Agency does not wish to receive responses from any Supplier wishing to subcontract all or

    any parts of the service.

1.6 Queries about the procurement process

The Agency will not enter into detailed discussion of the requirements at this stage.

    All questions must be addressed to and be received at least 5 working days before the submission date, otherwise a response cannot be guaranteed.

    Replies will be given no later than 26 August 2008.

    If the Agency considers any question or request for clarification to be of material significance, both

    the query and the response will be communicated on the Agency`s website, in an anonymous form.

    It is the responsibility of Suppliers to check this website for information on a regular basis.

1.7 Supplier / Organisation contact point

Section 4.A requires Suppliers to provide a single point of contact in their organisation for their

    response to the PQQ. The Agency shall not be responsible for contacting the Supplier through any

    route other than the nominated contact supplied. The Supplier must therefore undertake to notify

    any changes relating to the single point of contact promptly to

RES002 V3/SC 6 Issued: September 2007


2.1 Procurement Process

The procurement process will follow a structured selection and tender process.

The Pre-Qualification Questionnaire will be given an overall score as shown in the Evaluation

    Criteria below.

This Stage 1 evaluation will lead to a provisional selection. Only those Suppliers who are

    shortlisted following the PQQ evaluation exercise will then be invited to tender (ITT).

2.2 Evaluation Criteria

The Agency’s approach to evaluation of tenders is shown below. Each individual tender may

    require relevant criteria to be based on the technical nature of the goods or services being

    procured: these will then be detailed in the PQQ or ITT.

The objective of the selection process is to assess the responses to the PQQ and select Suppliers

    to proceed to the next stage of the procurement on an evidenced based approach.

Selection criteria will be a combination of both financial and non-financial factors and will consider:

a) Supplier Acceptability status of supplier (in relation to Regulation 23(4) of the Public

    Contracts Regulations 2006 (SI 2006 No 5)). A summary of Regulation 23(4) is included in

    Section 4.

    b) Economic and Financial Standing the supplier must be in a sound financial position to

    participate in this procurement as set out in Regulation 24 of the Public Contracts Regulations

    2006 (SI 2006 No 5). This may entail independent financial checks.

    c) Supplier Track Record - The supplier must be able to demonstrate a successful track record of

    providing similar services to those listed in the Official Journal of the European Union (OJEU)

    notice as set out in Regulation 25 of the Public Contracts Regulations 2006 (SI 2006 No. 5).

    d) Supplier capacity and capability Assessment of the totality of resources and core

    competences available to the supplier(s) in the delivery of this service.

The high level Evaluation Criteria for the assessment of tenders are as follows:

    Organisation Information FI Organisational Structure 1 Lead Contractor Status 5 Legal Obligations In/Out Quality 5 Project Management 5 Management Information 2 Financial In/Out References 5 Experience 5 Knowledge & Expertise of Personnel 5 Cost & Value for Money 5


The following weighting definitions apply:

5 Is perceived as an essential requirement

    RES002 V3/SC 7 Issued: September 2007

2 Is perceived as a preferred/minimum requirement

    1 Is perceived as a desirable requirement

    FI Is perceived as for information only (ie no impact)

    In/Out Questions are perceived as mission-critical requirements and thus will not attract a score or

    weighting, but will determine whether a Supplier remains in the process.

However for this PQQ the detailed Evaluation Criteria for the assessment are as follows:

    A Organisation Identity FI B (1) Is your organisation a SME? FI B (2) Organisational Type? FI B (3) Enclosed organisation structure 1 B (4) Are you a subsidiary/holding/parent FI company?

    B (5) Executive Directors / Partners 1 B (6) Brief History 1 C Public Contracts Regulations In/Out D (1) Quality Assurance certification 2 E (1) Project Management Methodologies 2 E (2) Approach to Cost & Time certainty 5 delivery

    E (3) Approach to change management 2 F (1) Management Information & Reporting 2 G Financial In/Out H Insurance In/Out I (1) References - Private Sector 5 I (2) References - Public Sector 5 J Disputes In/Out K (1) Professional or Trade bodies 1 K (2) Staff turnover 2 K (3) Acts - disability, equal opportunities In/Out K (4) Number of locations of premises 2 K (5) Number of employees for this work 2 L (1) Details of technologies and experience 5 L (2) Details of assessing and evaluating 5 proposals and giving technical advice and


    L (3) Approach to the requirements of this 5 work

    L (4) Experience of working with innovative 5 SMEs and the understanding of their issues L (5) Knowledge of the commercial market in 5 your chosen field

    L (6) Knowledge and understanding of Public 5 Sector

    M Conflict of Interest In/Out N Terms and Conditions In/Out O Comments 5

*Note: References will be evaluated based on the calibre (organisations and relevance) not the

    actual reference as these will be sought at Stage 2.

RES002 V3/SC 8 Issued: September 2007


The following weightings definition applies:

5 Is perceived as an essential requirement

    2 Is perceived as a preferred/minimum requirement 1 Is perceived as a desirable requirement

    FI Is perceived as for information only (ie no impact) In/Out Questions are perceived as mission-critical requirements and thus will not attract a score or weighting, but will determine whether a Supplier remains in the process.


The following scoring definition applies:

    2 - Response exceeds requirement, appearing to offer improved value for money 1 - Response appears to meet requirements

    0 - Response does not appear to meet requirements.

Invitation to Tender Stage

    It is anticipated that between 5-20 Suppliers per Lot will be invited to tender. Suppliers will be informed in writing of the Agency’s decision concerning their submission.

RES002 V3/SC 9 Issued: September 2007



3.1 Instructions for Completion

1) Responses should be returned by no later than the date and time stated on the front of this


2) PQQ’s must be submitted in paper format in one original and one copy. The complete PQQ

    must also be supplied in electronic format (CD-Rom or DVD). Please note the Agency does

    not accept Memory Pens. The electronic format must contain exactly the same proposal as

    the paper version enclosed. PQQ’s must not be submitted via e-mail or fax unless

    specifically requested.

3) If the Agency considers any question or request for clarification to be of material

    significance, both the query and the response will be posted on the Agency's website at in an anonymous form. It is the responsibility of Suppliers to

    check this website periodically before the submission date to check for any updates and to

    incorporate these updates into its submission. All questions must be addressed to and be received at least 5 working days before the submission

    date, otherwise a response cannot be guaranteed.

4) Documentation must be returned to: Tender Board, Northwest Development Agency, Brew

    House, Wilderspool Park, Greenalls Avenue, Warrington, Cheshire, WA4 6HL. A direction

    map can be downloaded from the Agency’s website: About NWDA, Office

    Locations, Cheshire Office.

5) The PQQ address label must be used for the return of documentation. Envelopes/packages

    should be plain and must not show any reference to the Supplier's identity. The PQQ

    address label must be placed on the front of the return envelope. Documentation without

    the label or in envelopes, which in any way identify the Supplier, may be rejected.

6) The date and time for return of the documents is shown on the label and in the PQQ.

    Documents must be returned no later than the date and time stated. Completed documents

    will be received up to the time and date stated. It is the Supplier's responsibility to ensure

    that their documents are received on time. The Agency does not undertake to consider

    documents received after that time unless there is sufficient evidence to pre-suppose its

    due delivery.

7) Documents must be returned either by post, or by hand to the reception desk ensuring that

    a member of staff notes the time and date of receipt. Documents delivered otherwise may

    not arrive on time.

8) The Agency does not acknowledge receipt of documents and accepts no responsibility for

    loss or non-receipt of applications.

9) Submissions may be rejected if any of the requested information is not completed and/or

    supplied. If any of the requested information is missing or is incorrect, the proposal may be

    rejected on that sole basis and the submission will not be evaluated further.

10) Suppliers must not try to obtain any information about any other party's submission or

    proposed submissions before the contract is awarded.

11) Suppliers must not arrange with any other party the submission of any documentation,

    except in the cases where sub-contracting and/or joint ventures are applicable.

RES002 V3/SC 10 Issued: September 2007

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