Reasons for Exclusion

Conditions for Participation- Public Contract Regulations 2006

Set out below is the list of criteria for mandatory exclusion of suppliers from being eligible to take part in the tender and the list of discretionary criteria which the Contracting Authority may apply to exclude suppliers from the tendering process. These criteria are legal obligations which are denoted in the Public Contract Regulations 2006.

List of Offences under Regulation 23(1) for Mandatory Exclusion

• (a) conspiracy within the meaning of section 1 or 1a of the Criminal Law Act 1977 or article 9 or 9a of the Criminal Attempts and Conspiracy (Northern Ireland) Order 1983 where that conspiracy relates to participation in a criminal organisation as defined in Article 2 of Council Framework Decision 2008/841/JHA;
• (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); where the offence relates to active corruption
• (c) the offence of bribery, where the offence relates to active corruption; the offence of bribery within the meaning of section 1 or 6 of the Bribery Act 2010;
• (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, the Theft Act (Northern Ireland) 1969, the Theft Act 1978 or the Theft (Northern Ireland) Order 1978;
  • (iv) fraudulent trading within the meaning of section 458 of the Companies Act 1985, article 451 of the Companies (Northern Ireland) Order 1986 or section 993 of the Companies Act 2006;
  • (v) defrauding the Customs within the meaning of section 170 of the Customs and Excise Management Act 1979 or section 72 of 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 or section 9 of the Theft Act (Northern Ireland) 1969;
  • (viii) fraud within the meaning of section 2, 3 or 4 of the Fraud Act 2006; or
  • (ix) making, adapting, supplying, or offering to supply articles for use in frauds within the meaning of Section 7 of the Fraud Act 2006;
• (e) money laundering within the meaning of section 340(11) of the Proceeds of Crime Act 2002;
• (f) an offence in connection with the proceeds of criminal conduct within the meaning of section 93A, 93B or 93C of the Criminal Justice Act 1988 or article 45, 46, or 47 of the Proceeds of Crime (Northern Ireland) Order 1996; or
• (g) an offence in connection with the proceeds of drug trafficking within the meaning of section 49, 50 or 51 of the Drug Trafficking Act 1994; or
• (h) 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.

List of Misconducts at Article 45(2) for Discretionary Exclusion

(a) being an individual, is a person in respect of whom a debt relief order has been made, is bankrupt or has had a receiving order or administration order or bankruptcy restrictions order , or a debt relief restrictions order made against him or has 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 appears unable to pay or to have no reasonable prospect of being able to pay, a debt within the meaning of section 268 of the Insolvency Act 1986, or article 242 of the Insolvency (Northern Ireland) Order 1989, or in Scotland has granted a trust deed for creditors or become otherwise apparently insolvent, or is the subject of a petition presented for sequestration of his estate, or is the subject of any similar procedure under the law of any other state;

(b) being a partnership constituted under Scots law, has granted a trust deed or become otherwise apparently insolvent, or is the subject of a petition presented for sequestration of its estate; or

(c) being a company or any other entity within the meaning of section 255 of the Enterprise Act 2002 has passed a resolution or is the subject of an order by the court for the company's winding up otherwise than for the purpose of bona fide reconstruction or amalgamation, or had a receiver, manager or administrator on behalf of a creditor appointed in respect of the company's business or any part thereof or is the subject of similar procedures under the law of any other state?

Has your organisation

• (a) been convicted of a criminal offence relating to the conduct of your business or profession;
• (b) committed an act of grave misconduct in the course of your business or profession; ©failed to fulfil 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 you are established;
• (d) failed to fulfil obligations relating to the payment of taxes under the law of any part of the United Kingdom or of the relevant State in which you are established; or
• (e) been guilty of serious misrepresentation in providing any information required of you under Regulation 23 of the Public Contracts Regulations 2006?

This information is provided in conjunction with the criteria listed in the relevant Contract Notice. Please consult the individual Contracting Authority for any further clarification.

Conditions for Participation -Defence and Security Public Contract Regulations (DSPCR) 2011

Set out below is the list of criteria for mandatory exclusion of suppliers from being eligible to take part in the tender and the list of discretionary criteria which the Contracting Authority may apply to exclude suppliers from the tendering process. These criteria are legal obligations which are denoted in the Defence and Security Public Contract Regulations (DSPCR) 2011.

All of these criteria will apply to the all of the Authority's requirements. You do not need to give details of any relevant convictions or cases of misconduct with your expression of interest, these must be provided if you are requested to pre-qualify.

List of Convictions for Mandatory Exclusion (Article 39(1))

• (a) participation in a criminal organisation, as defined in Article 2 of Joint Action 98/733/JHA(1) of 21 December 1998 adopted by the Council on the basis of Article K.3 of the Treaty on European Union, on making it a criminal offence to participate in a criminal organisation in the Member States of the European Union ( OJ L 351, 29.12.1998,p. 1);
• (b) corruption, as defined in Article 3 of the Act of 26 May 1997(2) drawing up, on the basis of ArticleK.3 (2) (c) of the Treaty on European Union, the Convention on the fight against corruption involving officials of the European Communities or officials of Member States of the European Union (OJ C 195,25.6.1997, p. 1) and Article 2(1) of Framework Decision 2003/568/JHA;
• (c) fraud within the meaning of Article 1 of the Convention relating to the protection of the financial interests of the European Communities (OJ C 316, 27.11.1995, p. 49. (1);
• (d) terrorist offences or offences linked to terrorist activities, as defined in Articles 1 and 3 of Framework Decision 2002/475/JHA of 13 June 2002 on combating terrorism ( OJ L 164, 22.6.2002, p. 3). (2) respectively, or inciting, aiding or abetting or attempting to commit an offence, as referred to in Article 4 of that Framework Decision;
• (e) money laundering and terrorist financing, as defined in Article 1 of Directive 2005/60/EC of the European Parliament and of the Council of 26 October 2005 on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing( OJ L 309, 25.11.2005, p. 15).

List of Misconduct for Discretionary Exclusion (Article 39(2))

• (a) is bankrupt or is being wound up, where its affairs are being administered by a court, where it has entered into an arrangement with creditors, where it has suspended business activities or is in any analogous situation arising from a similar procedure under national laws and regulations;
• (b) is the subject of proceedings for a declaration of bankruptcy, for an order for compulsory winding up or administration by a court or of an arrangement with creditors or of any other similar proceedings under national laws and regulations;
• (c) has been convicted by a judgment which has the force of res judicata in accordance with the legal provisions of the country of any offence concerning its professional conduct, such as, for example, infringement of existing legislation on the export of defence and/or security equipment;
• (d) has been guilty of grave professional misconduct proven by any means which the contracting authority/entity can supply, such as a breach of obligations regarding security of information or security of supply during a previous contract;
• (e) has been found, on the basis of any means of evidence, including protected data sources, not to possess the reliability necessary to exclude risks to the security of the Member State;
• (f) has not fulfilled obligations relating to the payment of social security contributions in accordance with the legal provisions of the country in which it is established or with those of the country of the contracting authority/entity;
• (g) has not fulfilled obligations relating to the payment of taxes in accordance with the legal provisions of the country in which it is established or with those of the country of the contracting authority/entity;
• (h) is guilty of serious misrepresentation in supplying the information required under this Section, or has not supplied such information.

This information is provided in conjunction with the criteria listed in the relevant Contract Notice. Please consult the individual Contracting Authority for any further clarification.