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Invitation to Tender

An Automated Business Planning, Performance


Management and Risk System

November 2009

Page 1
Contents

Introduction ....................................................................................................3

Background ....................................................................................................3

Purpose and Aims .........................................................................................4

Requirements .................................................................................................4

Instructions for Tendering ............................................................................5

Conditions of Contract ..................................................................................6

Evaluation of Tenders ...................................................................................8

Notice to Tenderers .......................................................................................9

Appendix 1: Requirement specification and response ............................11

Appendix 2: Pricing Schedule ....................................................................26

Appendix 3: Certificate of Bona Fide Tender ............................................28

Appendix 4: Lewes District Council - Environmental Management


Programme Policy Statement 2008 ............................................................30

Appendix 5: Organisation Information Questionnaire..............................32

Appendix 6: Anti-Collusion Certificate ......................................................41

Appendix 7: Glossary of Terms ..................................................................43

Appendix 8: Council’s Corporate Framework ...........................................44

Page 2
Introduction
1 This document is an invitation to tender for the supply of an Automated
Business Planning, Performance Management and Risk System.

2 Tenderers should seek to clarify any points of difficulty before submitting a


tender. Enquiries should be sent to Mr David Heath, Head of Audit and
Performance, 32 High Street, East Sussex, BN7 2LX. Telephone: 01273
474157. E-mail: david.heath@lewes.gov.uk . Should any query be
raised concerning a matter of principle, the matter will be clarified in
writing to all tenderers in order that openness, fairness and comparability
may prevail.

Background
3 Over the last 9 years, Lewes District Council has evolved its own, ‘home
grown’ approach to action planning, performance monitoring and reporting
and risk management. The Council’s approach has developed in line with
organisational needs, national requirements and best practice. The
Council achieved a ‘Good’ CPA judgement in 2003 and has continued to
perform well in subsequent years.

4 The Council’s Corporate Framework is shown at Appendix 8. This sets


out its high level ambitions, key aims and strategic objectives and the
working principles which underpin its work day to day. Our current
arrangements are primarily based on manual/electronic data collation and
reporting, Word format Council Plan and Service Plan documents and
some excel spreadsheets. Council Plan milestones and some service
plans are recorded in Word table format and use a ‘traffic lights’ system of
performance highlighting. Risk assessment and monitoring involves use
of spreadsheets and an internally developed Access data base. These
processes involve many of the Council’s senior managers and a number
of admin/data providers located across the Council. Data and information
is currently checked, collated and brought together by the Audit &
Performance Team which leads the production of key performance
reports and publications.

5 The Council uses a basket of national and local performance indicators


and targets. These are monitored and reported on a quarterly/annual
basis in Word format to CMT/Cabinet using simple ‘traffic light’ system.
There are currently 16 service areas which are involved in action planning
and risk assessment/management. Risks are pooled and analysed
centrally and held in an Access database. There is currently an Annual
Council Plan which is produced in Word/pdf format and published in two
parts – Part 1 consists of an activity based forward and backward look at
achievements/progress. Part 2 consists of a look at our full basket of
performance indicators and targets. Further details can be found on the
Council’s website:

http://www.lewes.gov.uk/council/1991.asp

Page 3
6 The Council has an Information Management Strategy and annual
Service Plan which sets out the future requirements and IT developments
that are required by the Council and its key services. Compliance with
current and future Government standards on data quality and data
security is an important priority for the Council.

Purpose and Aims


7 The purpose of this document is to seek competitive tenders for the
supply of an externally hosted automated Business Planning,
Performance Management and Risk System for Lewes District Council.

8 The aims of such a system will be to:


• Provide a consistent, corporate approach to corporate and
service level action planning, risk assessment and management
and performance data collection, monitoring and reporting;
• Generate information for Cabinet Members, senior managers
and key staff to make decisions which will help them to meet
performance targets, Council Plan/service plan milestones and
wider corporate objectives;
• Provide a source of evidence and information to support the
Council’s annual organisational assessment under CAA;
• Enhance the Council’s performance management culture
through straightforward functionality, accessibility and clear
presentation of performance data and related information.
• Be easy to use, simple to understand and flexible to update.
• Evolve in line with the Council’s future needs.
• Deliver the Government’s current and future expectations in
relation to robust service planning, performance management, risk
management and data quality arrangements as set out each year
in national Key Lines of Enquiry;
• Help the Council to make efficiency savings through more
streamlined and integrated business management arrangements.

Requirements
9 The Council now wishes to make improvements in the following areas:
• Graphical and more frequent reporting, to enable performance
to be visually presented and tracked on a ‘real time’ basis.
• Automatic presentation of trends, comparison against targets,
comparison with other Councils, and with national data (where
available) and historical data.
• Selected, graphical and more comprehensive reporting of
actions, risks and performance via the Council’s intranet and the
Council’s website.

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• Improvements in terms of data quality and a more robust audit
trail which is fully compliant with the Council’s IT infrastructure and
IT security requirements.
• Better integration of action planning, performance data and
risks.
• Greater and more visible accountability for data quality,
performance/risk management and milestones through automated
reporting hierarchies.
• Automated email reminders when data/updates are due.
• Efficiency – i.e. through saving of senior management time and
administrative effort in relation to business planning, monitoring
and reporting across the Council.
10 The Council wishes to implement a new system on a phased basis over a
period of 18 – 24 months but expects the chosen system to be configured,
tested, key staff trained and system operational by 1st April 2010.

11 The contract will be for an initial period of four years and subject to
extension.

Instructions for Tendering


General

12 Tenders must be made in writing and sent together with all necessary
supporting documentation to: District Solicitor, Lewes District Council,
Southover House, Southover Road, Lewes, East Sussex BN7 1AB and
must arrive no later than noon on 18 December 2009. No tender will be
considered unless it is contained in a plain sealed envelope which bears
the words “Tender-Automated Business Planning, Performance
Management and Risk System” but which bears no distinguishing mark
which identifies the sender.

13 Tenderers are required to:


• Provide a copy of their Standard terms and Conditions of
Business (if any).
• Provide a written response to each of the requirements set out
in the Requirement Specification and Response (Appendix 1)
• Complete the Pricing Schedule showing prices excluding VAT
(Appendix 2)
• Complete and return the Certificate of Bona Fide Tender
(Appendix 3)
• Sign and date the Environmental Management Programme –
Policy Statement 2008 (Appendix 4) and include any
environmental policy or accrediting certificates held by the
organisation.

Page 5
• Complete and return the Organisation Information
Questionnaire (Appendix 5). This also requires that you provide a
copy of your:
(a) Health and Safety Policy;
(b) Equal Opportunities Policy;
(c) third party ESCROW protection (where applicable);
and your
(d) insurers Certificate of Professional Indemnity Cover.
• Complete and return the Anti Collusion Certificate (Appendix
6).
14 Tenders received by fax or by other electronic means will not be
considered.

Conditions of Contract
15 Tenderers are required to submit a copy of their Standard Terms and
Conditions of Business (if any) with the Tender Response Documents.
However, there is no guarantee that these standard terms and conditions
will be used.

16 On this basis, it is expected that tenderers’ Standard Terms and


Conditions of Business will as a minimum cover the following issues:

• Grant of licence

• Delivery and Installation

• Acceptance (including details of acceptance tests)

• Permitted use

• Duration

• Price (in accordance with the Pricing Schedule at Appendix 2)

• Variation of Charges

• Extent of permitted reproduction

• Maintenance service

• Payment terms

• Proprietary rights

• Confidentiality/Freedom of Information (dealt with in the conditions


of contract in the paragraphs below)

• Training

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• Environmental Standards

• Warranties

• Limitation of liability and Indemnities

• Intellectual Property Rights

• Insurance and Guarantee (you are required to identify your


insurance cover in Appendix 5 of this document)

• Termination

• Post termination

• Force majeure

• Assignment

• Inducement of reward

• Notices

• Severability

• Waiver

• Relationship of the Parties

• Entire agreement and variations

• Governing law

• Dispute Resolution Procedure

17 The Tender shall be made in writing by the Tenderer, accompanied by all


supporting documents and information as may be considered necessary
or required as confirmed in the Instructions for Tendering.

Assignment and sub letting


18 The tenderer shall not transfer or sub-contract all or any part of the work
without the prior written approval of the Council.

Confidentiality
19 Each of the Parties undertakes to the other to keep confidential all
information (written or oral) concerning the business and affairs of the
other that it has obtained or received as a result of the discussions
leading up to, or the entering into, or performance of, this Agreement (“
the Confidential Information”)

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20 Each of the Parties undertakes to the other not to use the Confidential
Information of the other party except for the purposes of this Agreement
and shall not (without the prior written consent of the other party) disclose
the same to any person save to the extent necessary for the performance
of this Agreement and except to the extent that such information:
• is required to be disclosed by the law of any relevant jurisdiction
• is trivial or obvious
• is already in the public domain at the time of disclosure
• is in the disclosing party’s possession otherwise than as a result
of a breach of this clause
• was disclosed after the express prior written approval of the
party to whom such information belongs; or
• is required to be disclosed by the Council for the purposes of
best value or performance assessment
and in any event subject to the disclosing party having notified the other party
to this Agreement in writing prior to making such disclosure

21 The Contractor shall assist the Council at no additional charge in meeting


any reasonable requests for information in relation to the Freedom of
Information Act 2000 or any statutory modification or re-enactment thereof
or any related guidelines or codes of practice. The Contractor
acknowledges that in responding to requests for information the Council
shall be entitled to forward details of the information received to the
persons or persons making the request.

22 Notwithstanding anything contained elsewhere in this Agreement, the


provisions of this clause shall survive the termination or expiry of this
Agreement.

Children and Vulnerable Adults


23 The Council does not consider that this work should require the tenderer
to be in proximity to children or vulnerable adults. If during the course of
the services the tenderer becomes aware of the likelihood that the
position will change, the successful tenderer will be required to notify the
Council’s supervising officer prior to continuing the work.

Evaluation of Tenders
24 Tenders will evaluated in two stages as follows:
• Stage 1 – Evaluation of the tenderers financial and business
standing and insurance, escrow (or similar) and data retrieval,
equalities and health and safety arrangements. Tenderers will not
be considered at Stage 2 unless they have satisfied the Council in
these areas.
• Stage 2 - Evaluation using the criteria and weighting shown in
Table 1 below:

Page 8
Table 1: Tender evaluation criteria and weighting.

Evaluation Criteria Weighting (%)


Price. 40

Ability to meet the requirement specification set 35


out in this document at Appendix 1.

Experience of providing automated performance 10


management systems.

Environmental practices. 2

Overall quality of proposal. 8

Additional features. 5

25 Evaluations will be based on the information provided by tenderers, but


tenderers may be invited to follow-up meetings, to discuss detail.
Tenderers may also be required to provide demonstrations of all or part of
their products to show their ability to meet the specification provided.

26 The Council will contact and if necessary, visit the reference sites
provided by the tenderer.

Notice to Tenderers
27 The tenderer is required to hold his tender open for acceptance for a
period of 60 days from the closing date for the submission of tenders.

28 The Council does not bind itself to accept the lowest or any tender it
receives.

29 The Council shall not be liable to reimburse any tenderer or any other
person for costs related to the preparation or submission of a tender.

30 Each tenderer will be notified in writing whether their tender has been
accepted.

31 A tender may be rejected if a tenderer fails to provide all the required


information in the tender or upon request as part of any subsequent
discussions.

Power to Cancel because of Inducement of Reward

32 There will be written into the Contract a clause empowering the Council to
cancel the Contract and recover any resulting losses if the contractor or
his employees or agents with or without his knowledge attempt to:

a. influence the Council by any improper means to award him/her the


contract, or

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b. commit any offence under the Prevention of Corruption Acts 1889
to 1916 or section 117(20 of the Local Government Act 1972).

Incorporation of Tender and Specification in Contract

b) The Tender and Specification and any agreed written record of statements
made during any discussions shall stand as part of the Contract.

Page 10
Appendix 1: Requirement specification and response
LDC priority: 1 = Essential, 2 = Desirable

Items which require separate costing information are shaded in grey.


Please ensure your tender submission separates these cost elements as
requested in Appendix 2.

Ref Requirement Ability to Please provide a brief

PRIORITY
meet? supporting
Yes / statement/explanation
Partial /
No

1. General/National Performance Framework


Ability to hold CAA 2
self-assessment
information including
links to national KLOE
and other reports,
websites, documents
and publications.

Reporting of national 1
and local Performance
Indicators, with
sufficiently robust audit
trail for District Auditors
and Comprehensive
Area Assessment
Inspectors, including a
field for capturing how
data was measured
and, in some cases,
numerator and
denominator.

National Indicators – 2
description, definitions
and updated guidance
pre-loaded and
automatically updated
by the supplier.

Ability to respond to 1
changing DCLG / Audit
Commission / CAA
reporting requirements,

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including
additional/changed
national performance
indicators.

2. Structure and alignment


A hierarchy cascading 1
through our Ambition,
Key Aims, Strategic
Objectives, Service
Objectives, national
and key local targets,
service level targets
and team/individual
targets, thereby
demonstrating the
Golden Thread.

Flexibility to include, 1
remove or move any
actions, targets,
measures or risks at
any level of the
hierarchy.

Option in future to 2
report Balanced
Scorecards at
Corporate and Service
level to enable the
Council to illustrate its
performance against
specific categories in
the Scorecard.

A drill down facility to 1


help managers to
understand the root
cause of a
deteriorating or over
performing PI.

Ability to hyperlink to 2
other published
strategies, Cabinet
reports and related
documents,

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spreadsheets,
webpages,
presentations and
project plans.

Ability to incorporate 1
and track progress
against corporate,
service level and team
action plans.

Able to cope with 1


target types which are
numerical, percentage,
yes/no, x/n, statistical
and project targets with
multiple actions where
progress needs a text
descriptor.

Flexibility in specifying 1
a range of different
data fields including
contextual or
qualitative information
and commentary.

Ability to suppress 1
targets which are no
longer active in a
particular year.

Able to cope with at 1


least 5 years of
historical data.

Ability to present data 2


geographically to
District/parish/ward/Su
per Output Area if
required.

Ability to report 1
individual indicators as
cumulative or snapshot
as required.

3. Trends and Comparisons


Relevant NIS 1
descriptions, guidance

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and national data
entered and
automatically updated
by the supplier.

Ability to present 1
comparative data from
other relevant
comparator groups
including national top
quartiles etc.

Tracking performance 1
history and trends over
time, including relevant
views ie monthly/
quarterly/annually/
biennially.

4. Performance Data Collection


Uploading of LDC 2
historical data into the
new system (previous
3 years as a minimum
and up to 5 years) by
supplier, possibly by
bulk uploading.

Collection of 1
performance
information
configurable to
monthly/six monthly/
quarterly / annual
reports.

Heads of Service to be 1
able to predict future
performance outcomes
using trend information
and indicators such as,
eg ‘likely to exceed
target’, ‘likely to meet
target’, ‘unlikely to
meet target’, or ‘not yet
known’.

Flexibility to include 1
non-numeric

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performance results
manually, and set
‘target met’ to yes/no
manually.

Ability to automatically 2
send email alerts to
relevant officers to
prompt for the
submission of
information/data/progre
ss report and to
highlight potential
performance problems.

(PIs, actions and risks)

Data entry able to be 1


disabled or ‘closed’ for
period-end data
consolidation.

5. Reporting
A flexible and 1
configurable system of
reporting to graphically
illustrate performance
trends, targets and
comparisons over time
and if required
compared with other
Councils.

Standard report 1
templates alongside
customisable and
flexible reporting
across different service
areas/cross cutting
themes.

A senior management 1
visual ‘dashboard’ of
performance against
targets using colour
coding or graphics to
indicate whether a
measure is ‘exceeded
target’, ‘achieved

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target’, ‘on track’,
‘behind target’ or ‘not
yet known’.

Customisable 1
exception reporting
formats, to enable
quick decisions to be
taken in response to
worsening trends,
‘below target’ or ‘not
yet known’
performance.

On-screen colour- 1
coded presentation
reflecting progress
indicators.

On-screen colour- 1
coded presentation
reflecting trends from
previous period.

On graphical reports, 1
clear labelling to
indicate polarity i.e.
whether good
performance is high,
low or not relevant.

Ability to publish 1
performance data to
staff, managers and
Councillors via the
intranet, and selected
information to the
Community via the
website.

Ability to generate 2
‘what if’ queries for
management
information requests

Data exportable to 1
Word, Excel,
Powerpoint, HTML etc

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Ability to include/attach 2
other documents and
files to system reports.

6. Project Management
Ability to operate a 2
project register
showing the status and
progress of each
corporate project, and
linkages with other
action plans and
performance data held
in the system.

7. Sustainable Community Strategy/Community Safety Strategy


Ability to report Local 2
Strategic Partnership
and Community Safety
Partnership targets on
behalf of our partners.

Able to cope with SCS 2


targets which do not fit
under LDC objectives
and which change over
time.

Ability to cope with 2


reporting
frequencies/timetables
which differ from
LDCs.

Ability to separately 2
identify and extract
SCS targets only.

Ability to show which 2


individual/organisation
leads on the target.

Ability to provide 2
remote access to
partner organisations
for data uploading and

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editing.

Ability to report the 2


separate set of
Community Safety
Partnership targets on
behalf of our partners.

Ability to support 2
customer feedback
and research
requirements in future
eg online surveys,
research database

8. Administration
Access to system via 1
Council’s intranet and
website.

Ability to support 3 x 1
system administrators.

Ability to support 1
between 25 – 50 users
authorised to
add/amend/edit data

Ability to support 50+ 1


users authorised to
view.

Ability to add additional 1


user licences with view
or edit rights in future.

Audit trail of who has 1


entered / changed
what data and when.

Ability to make 2
changes to the system
in a test area before
releasing.

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Flexibility to configure 1
the system for needs
and changes which
cannot yet be foreseen
eg change of political
administration, new
Govt requirements.

Maintenance of system 1
and upgrades to be
made as necessary by
the supplier (at least
annually).

Provision of ongoing 1
support facility (either
by telephone or email)
provided by the
supplier following
implementation.

Ability to enable 2
several users to
edit/update system
concurrently.

9. User Interface and Ergonomics


Managers to be able to 1
enter, edit, manipulate
and report
performance data
without the need for IT
support.

User interface to be 1
straightforward, self
explanatory and
intuitive.

Prompts and field 1


names to be tailorable
to suit Council’s
language.

Ability to suppress 1
some database fields
or menu options from
view – tailored to meet
needs of different

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users.

Admin user to be able 1


to adapt / format user
interface look and feel
to fit with Council
corporate identity.

Remote users to be 2
able to access the
system via their web
browser.

Inbuilt help/enquiry 1
function.

Ability to meet 1
Council’s minimum
web browser operating
speeds i.e. no less
than 2Mbit.

10. Risk Management


Ability for the user to 1
see all potential risk
types and generic risks
when entering details
of a risk for their own
area of activity and to
assign these details to
the risk being entered.

Ability for any user to 1


see potential risks and
generic risks.

Ability to designate 1
various functions or
actions affected to an
individual risk.

Ability to assign 1
probability and impact
scores to each
individual detailed risk
prior to mitigation and
apply a 3 X 3 matrix to

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these scores resulting
in an inherent score
for the risk.

Ability to assign 1
probability and impact
scores to each
individual detailed risk
after mitigation and
apply a 3 X 3 matrix to
these scores resulting
in a residual score for
the risk.

Ability to expand the 2


risk matrix to higher
ratios e.g. 4X4.

Ability to assign a 1
responsible officer and
a narrative mitigation
to each risk.

Ability to assign a date 1


to risk mitigations to
enable progress to be
tracked against
specific risks including
e mail alerts to officers.

Ability to assign 2
multiple dates to risk
mitigations to enable
progress to be tracked
against specific risks
including e mail alerts
to officers.

Ability to link risks to 1


various corporate aims
and objectives and
services activities.

Ability to generate 1
reports sorted by risk
type, generic risk,
detailed risk, functions
and actions relevant to
a risk, inherent risk,

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responsible officer,
target date and
residual risk, both
within service areas,
across the organisation
and at different levels
in the organisation.

Ability to record and 1


monitor risks at each
level of the
organisation.

Ability to export risk 1


data to Microsoft word
and excel documents.

11. Leadership
Overall, reporting is 1
required to track
delivery of the Council
Plan.

Ability to assign targets 1


and actions to
individual managers
and senior councillors.

12. Systems and Security


System to be web 1
browser based,
minimising impact on
LDC IT resources.

Compliant with the 1


Council’s preferred
web software platform
ie Internet Explorer 6.

System is wholly 1 Please specify what underlying


compatible with LDC data management system is used
existing IT (eg SQL, Oracle etc) and whether
environment. system requires enabled firewall
ports.

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Compatibility with 2
Council’s web content
accessibility guidelines
and standards.

System able to 1
authenticate and
validate users.

System security 1 Please specify whether the system


complies with current requires the use of ActiveX, Active
and future GovConnect Content (eg JavaScript and
Code of Connection VBScript), HTTPS access or Java
(CoCo) standards Virtual Machine.
(currently Version 4.1)
relating to web-
enabled applications.

Supplier is able to 1 Please specify what corporate anti-


demonstrate that the virus protection the system uses
system provides day to and the security patching regime.
day and long term Please specify what arrangements
resilience. are in place to ensure the system is
security or ‘host’ hardened against
such attacks as code insertion (eg
XSS and SQL injection).

Ability to encrypt data 2


being transferred to
and from the system.

Potential to internally 2
host and link directly
with other council
systems in the future,
e.g. HR, Finance

Full hierarchical or 1 Please specify what secure login


admin user procedures are used eg two or dual
configurable security factor authentication?
access rights.

Ability for SAs to ‘lock


down’ data once
submitted/reported.

Satisfactory 1
arrangements to
ensure service
continuity for externally

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hosted service

Satisfactory 1
arrangements to
ensure data held on
hosted website is
secure, backed up and
that access is properly
controlled.

Ability to email out to 1


the Council’s Novell
Groupwise 7 system

13. Timescale and Training


System to be 2 Assuming the contract commences
complete, configured, 1 February 2010.
tested and operational
by 1st April 2010.

Provision of 1
appropriate training for
3 x system
administrators and up
to 8 ‘super users’ as
part of implementation.

Ability to phase 2
implementation across
different parts of the
Council at different
times.

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ADDITIONAL FEATURES
Please list below a maximum of four additional features not listed above, but
which your system/approach could provide benefits to LDC. If appropriate
please provide any additional costing information for these features:

No Feature £ (excluding VAT)

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Appendix 2: Pricing Schedule
Please provide the following cost breakdown as part of your tender
submission.

Core Costs (Year 1) £ per annum (excluding VAT)

Core system + implementation

(Core system to comprise performance


management, action planning and risk
management elements).

Training for x3 System Administrators and x8


super users.

Annual Licence Fee for up to 25 users

3 X System Administrators + 22 edit/amend


users

Annual Maintenance, Updates and Ongoing


Support.

Cost of hosting system (external to LDC).

Annual recurring cost comprising £ per annum (excluding VAT)

(Year 2 onwards)

Annual Maintenance and Updates (including


hosting).

Ongoing System Support.

Additional Costs/Extras £ (excluding VAT)

Annual Licence Fee for user with edit/amend


rights.

Annual Licence Fee for user with view only


rights.

Annual cost of site licence (if option available).

Cost of extra training (per day).

Risk Management Module

(if available/appropriate)

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Project Management Module

(if available/appropriate)

Consultation Module

(if available/appropriate)

CAA self-assessment tool

(if available/appropriate)

Cost of transferring hosting from external to


internal

SIGNED on behalf of the


tenderer………………………………………………………..Date…………………

Name of
Company……………………………………………………………………………….

Position in firm or
company……………………………………………………………………………….
.

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Appendix 3: Certificate of Bona Fide Tender
Automated Performance Management System

Having examined the Invitation to Tender and the Council’s specification


and other requirements for the supply of services above, I/We offer to
supply a system and services in accordance with those documents over a
period of four years for the contract sums specified in Appendix 2 Pricing
Schedule.

This tender is neither qualified nor conditional.

I/we undertake in the event of your acceptance of my/our tender to


complete with you an agreement under seal embodying all the terms and
conditions in the Invitation to Tender in this offer

Unless and until such a formal agreement is prepared and executed this
Tender together with your written acceptance, shall constitute a binding
contract between the Council and myself/us.

I/we understand that you are not bound to accept the lowest or any tender
you may receive and you will not pay any expenses incurred by me/us in
connection with the preparation and submission of this tender.

I/we agree that this tender shall remain open for consideration for 60 days
from the last date for receipt of tenders

In recognition of the principle that the essence of selective tendering is that


the client shall receive bona fide competitive Tenders from all those
tendering WE CERTIFY THAT:

The Tender submitted herewith is a bona fide Tender intended to be


competitive.

We have not fixed or adjusted the amount of the Tender under or in


accordance with any agreement with any other person.

We have not done and we undertake we will not do any of the following
acts:

• communicate to a person other than the Council the amount or


approximate amount of the proposed tender (except where the
disclosure in confidence of the approximate amount of the Tender
was essential to obtain insurance premium quotations required for
the preparation of the Tender);

• enter into any agreement with any other person that he shall refrain
from tendering or as to the amount of any tender to be submitted;
and

Page 28
• offer or pay or give or agree to give any sum of money or valuable
consideration directly or indirectly to any person for doing or having
done or causing or having caused to be done in relation to any
other Tender or proposed Tender any act or thing of the sort
described above.

In this certificate:

“person” includes any person or body or association corporate or


unincorporate;

“agreement” includes any agreement or arrangement, formal or informal


and whether legally binding or not and “agree” shall be construed
accordingly.

Tender prices as shown at Appendix 2 entitled, “Pricing Schedule”.

SIGNED on behalf of the


tenderer………………………………………………………..Date……………..

Position in firm or
company……………………………………………………………………………
…..

Name and address and Registration Number of firm or


company…………………….

………………………………………………………………………………………
……………………………………...

………………………………………………………………………………………
……………………………………….

Date………………………………………………………

Telephone/Fax/Email
details……………………………………………………………………………..

Page 29
Appendix 4: Lewes District Council - Environmental
Management Programme Policy Statement 2008
We play a role in helping people improve the quality of life in their community.
As part of this we aim to continually improve the environmental performance
of our organisation. By taking action to manage our own impacts we will play
our part with others in helping to improve the global environment and adapting
to climate change.

We have adopted the following set of principles to guide what we do as a


business operation albeit a public sector one, to manage our EMAS scheme
and our ISO14001 accreditation. We will consider and use best practice and
technology as resources allow. In carrying out our operations we will keep
within environmental laws and work to them as a minimum standard.

This policy statement forms the basis of our environmental management


programme that manages the significant environmental impacts of the Council
and its operations. As such the policy falls within the scope of our aspirations
and key aims as set out in the Council Plan and other Strategies and fortifies
our position as a community leader.

THE PRINCIPLES

POLLUTION PREVENTION & CONTROL

We will:

PPC 1 Monitor and work to minimise air, land and water pollution using
available resources and legislation.

PPC 2 Minimise the pollution resulting from all Council and Contractor
operations.

ENERGY & WATER

We will:

EW 1 Implement actions to reduce the Carbon Footprint of Council


operations.

EW 2 Reduce the Councils consumption of water, gas and electricity.

TRANSPORT

We will:

TR 1 Encourage and support a mixed transport strategy with particular


emphasis on reducing car use and promoting alternative modes of travel.

TR 2 Monitor our own fleet and work to increase fuel efficiency, reduce
associated pollutants and investigate new technology.

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BIODIVERSITY

We will:

BIO 1 Avoid, minimise and mitigate negative impacts on biodiversity and


ecological resources arising through the work of the Council or its
Contractors.

BIO 2 Protect, enhance and promote wildlife habitats, environmentally


sensitive areas and green spaces within the District.

PROCUREMENT

We will:

PRO 1 Maximise and influence the environmental performance of Council


contractors through the contract process.

PRO 2 Develop, maintain and work to the ‘Sustainable Procurement Policy’.

WASTE & RECYCLING

We will:

WR 1 Encourage & help staff to Reduce, Re-use and subsequently Re-cycle


goods and materials used within offices.

WR 2 Encourage and help Council contractors to Reduce, Re-use and


subsequently Re-cycle goods and materials.

SUSTAINABLE DEVELOPMENT

We will:

SD 1 Consider the social, environmental and economic impacts of the work


that we do.

SD 2 Determine the Ecological Footprint of the District and work to reduce it.

SD 3 Promote and encourage environmentally, economically and socially


sustainable development within the District.

Please sign and date below.


…………………………………………………………………………………………
…………………………………………………………………………………………

Return a copy of this policy with your tender pack to demonstrate that you
have read and understood Lewes District Council’s Environmental Policy.
Please also include any environmental policy or accreditation certificates held
by your organisation.

Page 31
Appendix 5: Organisation Information Questionnaire
1 BASIC DETAILS OF YOUR ORGANISATION
1.1 Name of organisation in
whose name the tender
would be submitted:

1.2 Contact name for


enquires about this bid:

1.3 Contact position (Job


Title)

1.4 Main Address for


Correspondence,
including full Post Code:

1.5 Telephone number:

1.6 Fax number:

1.7 E-mail address:

1.8 Company website


address (if any):

1.9 Company Registration


number (if this applies-
see 1.14 below):

NB: An electronic
company check will be
undertaken by the
Council.

1.10 Date of Registration

1.11 Registered address


including full post code if
different from 1.4 above

1.12 VAT Registration


number

1.13 Is your organisation i) a public limited


(Please tick one) company?

ii) a limited company?

Page 32
iii) a partnership?

iv) a sole trader

v) a registered charity?

vi) a provident society?

NB: If not a registered vii) other (please specify)


company, you will need
to send in your
accounts.

1.14 Name of (ultimate)


parent company (if
applicable)

1.15 Companies House


Registration number of
parent company

2 FINANCIAL INFORMATION
2.1 What was your turnover in the last two years (if this applies)

£:________ £:________

for year ended __________ for year ended __________

If this does not apply, what year did you commence business?
____________

2.2 Has your organisation met the terms of its Yes / No


banking facilities and loan agreements (if any)
during the past year?

2.3 If “No” what were the reasons, and what has been done to put things
right?

Page 33
2.4 Has your organisation met all its obligations to Yes / No
pay its creditors and staff during the past year?

2.5 If “No” please explain why not:

2.6 What is the name and Name:


branch of your
bankers (who could Branch:
provide a reference)?
Contact details:

If asked, would you be able to provide at least one of the following?

A copy of your most recent audited accounts Yes / No


(for the last two years if this applies)

A statement of your turnover, profit & loss Yes / No


account and cash flow for the most recent year
of trading

A statement of your cash flow forecast for the Yes / No


current year and a bank letter outlining the
current cash and credit position

3 INSURANCE
3.1. Please provide details of your current insurance cover:

a) Employers Liability Indemnity Limit

£ ________

b) Public Liability Indemnity Limit

£ ________

c) Professional Indemnity Indemnity Limit

(Please supply a copy of your insurers Professional

Page 34
Indemnity Cover)

£ ________

4 ESCROW AND DATA


4.1. Does your company provide ESCROW protection Yes/No
through a third party?

If NO, how would the software user retrieve and be able to use the
software from your company in the event your company is wound up,
goes into administration or the company ceases to carry on its
business or the part of its business that relates to the application.

If YES, please provide:

a) The annual cost of the escrow protection to the software user


£___________

b) The name, address and contact details of the third party ESCROW
provider and the protection they provide to the software user.

c) The terms and conditions of the third party ESCROW agreement.

Please also confirm whether the ESCROW agreement would enable


the software user to access both the software and the software
source code?

4.2. How would the software user retrieve data in the event your
company is wound up, goes into administration or the company
ceases to carry on its business or the part of its business that relates
to the application?

Page 35
4.3. Please confirm whether the hosted software and Yes/No
data will be held by your company?

If No, who will the hosted software and data be held by?

5 BUSINESS ACTIVITIES
5.1 What are the main business activities of your organisation?

5.2 How many staff does your organisation have?

(If you are a sole trader, please say so)

5.3 How many organisations do you currently supply with performance


management type systems?

6 REFERENCES
Please provide details of three recent contracts that are relevant to the
Council’s requirement. Where possible at least one should be from
the public sector. If you cannot provide three references, please
explain why.

Reference 1 Reference 2 Reference 3

6.1 Customer
Organisation
(name):

6.2 Customer contact


name and phone
number:

6.3 Date contract


awarded:

Page 36
6.4 Contract reference
and brief
description:

6.5 Value:

6.6 Date contract was


completed

6.7 Have you had any contracts terminated for Yes / No


poor performance in the last three years, or
any contracts where damages have been
claimed by the contracting authority?

6.8 If “Yes” please give details:

7 QUALITY ASSURANCE
7.1 Does your organisation hold a recognised quality Yes / No
management certification for example BS/EN/ISO
9000:2000 or equivalent?

If Yes please state name of certification

_______________________________________.

7.2 If No, does your organisation have a quality Yes / No


management system*?

If you do not have quality certification or a quality


management system, please explain why:

7.3 Does your organisation hold the Community Mark? Yes / No

8 HEALTH & SAFETY INFORMATION


8.1 Does your organisation have a written health and Yes / No
safety at work policy? (see notes at end of
questionnaire)

Page 37
If Yes to this question please provide a copy of
this information.

8.2 Does your organisation have a health and safety Yes / No


at work system?

8.3 If “No”, to either of the above please explain why:

9 EQUAL OPPORTUNTIES
9.1 Does your organisation have a written equal Yes / No
opportunities policy, to avoid all types of
discrimination?

If Yes to this question, please provide a copy.

10 PROFESSIONAL AND BUSINESS STANDING


Do any of the following apply to your organisation, or to (any of) the
director(s) / partners / proprietor(s)?

10.1 Is in a state of bankruptcy, insolvency, Yes / No


compulsory winding up, receivership, composition
with creditors, or subject to relevant proceedings

10.2 Has been convicted of a criminal offence related Yes / No


to business or professional conduct

10.3 Has committed an act of grave misconduct in the Yes / No


course of business

10.4 Has not fulfilled obligations related to payment of Yes / No


social security contributions

10.5 Has not fulfilled obligations related to payment of Yes / No

Page 38
taxes

10.6 Is guilty of serious misrepresentation in supplying Yes / No


information

10.7 Is not in possession of relevant licences or Yes / No


membership of an appropriate organisation where
required by law.

10.8 If the answer to any of these questions is “Yes” please give brief
details below, including what has been done to put things right.

Page 39
11. DECLARATION
I declare that to the best of my knowledge the answers submitted in this
Questionnaire 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 the Council’s requirement.

FORM COMPLETED BY

Organisation Name:

Name:

Position (Job Title):

Date:

Telephone number:

Signature:

*Notes:

Health and Safety Policies

Any business employing five or more people has, by law, to prepare and bring
to the attention of employees a written Health and Safety Policy Statement.

A Health and Safety Policy usually consists of three distinct sections namely:

General Policy Statement – a short statement outlining the organisation’s


commitment to Health and Safety, signed and dated by the senior
organisation official (for example, the Managing Director).

Organisation – how the organisation addresses health and safety; lines of


communication between managers and staff; and any specific
duties/responsibilities assigned within the organisation - this should be
relatively straightforward for smaller organisations.

Arrangements – the systems and procedures in place for ensuring employees’


health and safety at work

Page 40
Appendix 6: Anti-Collusion Certificate
1. We certify that this certificate is made in good faith, and that we have
not fixed or adjusted the amount of the tender by or under or in
accordance with any agreement or arrangement with any other person.

2. We also certify that we have not, and we undertake that we will not,
before the award of any contract for the work:

(i) (a) communicate to any person (outside this agreement),


other than The Secretary of State or a person duly
authorised on his behalf, the amount or approximate amount
of the tender or proposed tender, except where the
disclosure, in confidence, of the approximate amount of the
tender was necessary to obtain insurance premium
quotations required for the preparation of the tender;

(b) enter into any agreement or arrangement with any person


(outside this agreement) that they shall refrain from
tendering; that they shall withdraw any tender once offered;
or vary the amount of any tender to be submitted.

(ii) pay, give or offer to pay or give any sum of money or other
valuable consideration directly or indirectly to any person
(outside this agreement) for doing or having done or causing
or having caused to be done in relation to any other tender or
proposed tender for the work, any act or thing of the
described in (i)(a) or (b) above.

3. We further certify that the principles described in “(i) and (ii) above
have been, or will be, brought to the attention of all subcontractors,
suppliers and associated companies providing services or materials
connected with the tender and any contract entered into with such
subcontractors, suppliers or associated companies will be made on the
basis of compliance with the above principles by all parties.

4. In this certificate, the words:

(i) ‘person’ includes any persons and any body or association,


corporate or unincorporated;
(ii) ‘any agreement or arrangement’ includes any transaction,
formal or informal and whether legally binding or not;

Page 41
(iii) ‘the work’ means the work in relation to which this tender is
made.

Dated……………………….
Signature:…………………………………………

Duly authorised to sign tenders and acknowledges the contents of the Anti-
Collusion Certificate for and behalf of:

Address:………………………………………………………………………………
………

…………………………………………………………………………………………
………

…………………………………………………………………………………………
….......

Page 42
Appendix 7: Glossary of Terms
CAA – Comprehensive Area Assessment

KLOE – Key Lines of Enquiry

DCLG – Department of Communities and Local Government

PI – Performance Indicator

NIS – National Indicator Set

LDC – Lewes District Council

SCS – Sustainable Community Strategy

Page 43
Appendix 8: Council’s Corporate Framework
Our ambition, key aims and working principles

Our ambition is to be recognised as a centre of excellence in environmental management


and to make sustainable improvements in the quality of life of local communities.
We want people to recognise us as a good, well performing council.

Our 3 key aims, 7 working principles and 9 strategic objectives underpin this ambition.

• Promote sustainable tourism • Reduce waste and improve


and economic development recycling performance
• Support the local business • Help to keep local communities
community clean and tidy
• Encourage regeneration of • Maintain good environmental
our local communities quality and sustainable land
use

• Improve the quality, availability and


affordability of housing in the
District
• Support the provision of services
and facilities that meet local needs
• Protect and improve the health and
wellbeing of everyone in the District

Page 44

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