Guidance

Appendix E – direct allocation and mini competition rules

Published 23 March 2026

Applies to England

Save to the extent set out in the relevant invitation to tender, mini-tenders must be submitted in accordance with these rules (the rules). Mini-tenders that do not comply with the rules may be rejected by the framework user, whose decision in the matter shall be final. The authority shall notify framework members of any changes to the mini competition rules, by changes to the framework handbook or otherwise, in writing.

In the case of any inconsistency between these rules and those contained in any relevant preliminary invitation to tender (PITT) or invitation to tender (ITT), as the case may be, the provisions of the PITT or ITT relevant to the mini-competition in question shall prevail.

1. Introduction

1.1. Where the contractor is invited to submit a mini-tender it must provide all information required by the relevant PITT or ITT in the format required. The contractor is responsible for obtaining all information necessary for the preparation of mini-tenders.

1.2. Whilst the framework user will endeavour to see that all information provided in connection with mini competitions is both truthful and accurate, the framework user does not warrant this information in any way and the contractor must satisfy itself of the accuracy of any information provided. The framework user does not accept any responsibility or liability whatsoever for any loss or damage of whatever kind and howsoever caused arising from or in consequence of the use by the contractor of such information.

1.3. Issue of a PITT or ITT does not necessarily mean that the contractor has satisfied the framework user as to its capability to perform the relevant scheme contract. Furthermore, the framework user makes no representation regarding the contractor’s financial stability, technical competence or ability in any way to carry out any scheme.

1.4. The contractor must be and shall be deemed to be entirely familiar with this framework agreement, the relevant scheme contract and the details set out in the PITT or ITT.

1.5. The procurement programme and evaluation criteria that will apply will be set out in the relevant PITT or ITT.

1.6. If the contractor requires any further information or wishes to raise any query, such requests or queries should be addressed to the individual or via the portal identified in the mini competition.

2. Confidentiality

2.1. All information supplied by the framework user in connection with any PITT or ITT itself shall be treated as confidential and the contractor shall not, without the prior written consent of the framework user, at any time make use of such information for its own purposes or disclose such information to any person (except as may be required by law or where such information is disclosed with the prior written agreement of the framework user for the purposes of obtaining sureties, guarantees or commitments from proposed sub-consultants or suppliers and other information required to be submitted with the mini-tender).

2.2. The contractor should not disclose that they have been invited to submit a mini-tender or release details of any PITT or ITT other than on a strictly confidential basis to those parties with whom consultation is required for the purposes of preparing their mini-tender.

2.3. The contractor shall not at any time release any information concerning ITTs or mini-tenders or any related documents or any negotiation or discussion with the framework user and the authority (if the authority is not the framework user) in this connection for publication in the press or on radio, television, screen or any other medium.

2.4. The contractor warrants to the framework user and the authority (if the authority is not the framework user) that no document that it prepares or submits as part of any mini-tender shall infringe any intellectual property rights.

2.5. The framework user reserves the right to retain all mini-tenders submitted throughout the period that such mini-tenders remain valid and open for acceptance.

2.6. The contractor undertakes to indemnify the framework user and the authority and to keep the framework user and the authority indemnified against all:

• actions
• claims
• demands
• liability
• proceedings
• damages
• costs
• charges
• expenses
• whatsoever

These would be arising out of or in connection with any breach of the provisions of paragraph 2 of this appendix.

3. Submission of mini-tenders

3.1. Mini-tenders must not be qualified in any way and must be submitted strictly in accordance with the mini competition and with these rules (save where these rules are expressly amended or dis-applied in the relevant mini competition). Mini-tenders must not be accompanied by any covering letter or any statement that could be construed as rendering the mini-tender equivocal or placing it on a different footing from other mini-tenders received in respect of the relevant scheme.

At the discretion of the authority project team, and for school schemes also with the authority framework team’s approval, the bidding framework member may be given the opportunity to correct genuine errors (examples could include, but not be limited to, formulaic errors or attachments not included) after they have submitted their bid. In correcting any genuine errors, a strict time limit will be applied within which to respond.

3.2. The contractor shall complete and submit mini-tenders in the manner described in the relevant mini competition.

3.3. The contractor shall, unless the authority otherwise directs, ensure that its mini-tenders are consistent with the commitments made within the Framework tender response in accordance with this framework agreement.

3.4. Any mini-tenders or other supporting documents received after the deadline specified in the mini competition may not be considered for acceptance unless due entirely to failure of the portal.

3.5. Mini-tenders and supporting documents shall be completed in the format required by the relevant mini competition, in the English language, and all monetary amounts shall be stated in Pounds Sterling.

3.6. Mini-tenders must be signed by persons being duly authorised for that purpose.

3.7. The contractor shall produce forthwith, upon request by the framework user, documentary evidence of any authorisation referred to in paragraph 3.6.

3.8. The contractor should include in its mini-tenders all information required by the relevant mini competitions and all costs necessary to undertake the relevant scheme safely and in compliance with the framework agreement, the relevant scheme contract, all statutory provisions and any other rules or regulations.

4. Rejection of mini-tenders

4.1. In the event that the contractor:

• 4.1.1. fixes or adjusts the amount, prices, charges and rates shown:
  • (a) by or in connection with any agreement or arrangement with any other person
  • (b) by reference to any other mini-tenders
• 4.1.2. enters into any agreement or arrangement with any other person that such other person shall refrain from submitting a mini-tender or shall limit or restrict the amounts, prices, charges and rates to be shown in its mini-tenders and other documents
• 4.1.3. offers or agrees to pay or give, or does pay or give, any sum of money, inducement 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 framework member or any other proposed mini-tender or other documents any act or omission
• 4.1.4. has directly or indirectly canvassed any member or official of the authority or a framework user concerning the acceptance of any mini-tenders or has directly or indirectly obtained or attempted to obtain information from any such member or official concerning any other mini-tenders submitted by any other framework member
• 4.1.5. otherwise fails to comply with these mini competition rules or the mini competition invitation in any material respect the framework user may reject that mini-tender provided always that such rejection shall be without prejudice to any other civil remedies available to the framework user in respect thereof or to any criminal liability that such conduct may attract

5.Non-consideration of mini-tenders

5.1. The framework user may in its absolute discretion refrain from considering a mini-tender if either:

• 5.1.1. in any respect, it does not comply with the requirements of the PITT or ITT or these rules
• 5.1.2. it contains any significant omissions

Conditions of participation, debarment and excluded or excludable suppliers

5.2. Section 46 of the act provides that an award process may include conditions of participation, and the act also, under Section 48 (inter alia) provides for exclusion of framework members where they, or an associated person (this is a person that the framework member is relying on in order to satisfy the conditions of participation at framework level or scheme level), is listed on the debarment list or is an excluded or excludable supplier under the act.

5.3. Framework users may (and the authority anticipates that it will for all its DfE funded schemes save where DfE considers it is not proportionate to do so) include conditions of participation in award processes. These are likely to be a combination of:

• re-assessment against some or all of the conditions of participation questionnaire completed by the framework member when bidding to be appointed to this framework agreement
• additional conditions of participation for the scheme or batch
• re-assessment of the financial health of the framework member and any associated person
• an assessment of the capacity of the framework member to be awarded an additional scheme or schemes

5.4. Framework members will also be asked to confirm via a standard template, both at scheme ITT and prior to scheme award, (and the authority will make checks against the confirmations or independently as it sees fit), that neither the framework member, nor any associated person, nor any identified key subcontractor, is on the debarment list, and whether any exclusion grounds in schedules 6 or 7 of the act apply in respect of such parties. The authority may as a result exclude that framework member from the award process applying the process mutatis mutandis as set out in the act sections 26 to 28 inclusive. Framework members must also comply with clauses 2.7 and 2.8 of the framework agreement with regard to supply chain engagement.

5.5. A framework user shall not appoint a framework member that is on the debarment list or is an excluded or excludable supplier under the act. A framework user may also decide not to award a scheme contract or set conditions in relation to awarding a scheme contract where either an associated person or a key subcontractor is on the debarment list or is an excluded or excludable supplier under the act. In such circumstances their bid will be deemed non-compliant, and in the case of a mini competition, the scheme may be awarded to the next highest bidder which satisfies the conditions of participation and conditions set out in this section.

5.6. If the framework member is suspended at the start of an award process or becomes suspended during the award process, or the authority considers that a framework member suspension event exists and it is necessary to investigate the circumstances before allocation of further opportunities to that framework member, then the framework member will not be permitted to participate in the award process or proceed to be awarded that scheme.

 6. Acceptance of mini-tenders, criteria for evaluation and contract award

6.1. The framework user shall not be bound to accept any mini-tender and the framework user reserves the right at their absolute discretion to accept or not accept any mini-tender.

6.2. The framework user may without limitation undertake site visits, seek references, require presentations to be given and undertake interviews as part of the evaluation process to the extent specified in the PITT or ITT. All information and documents submitted by the contractor by the deadline will be considered, as well as any other information that the framework user requires to be submitted.

6.3. The framework user may also appoint the next placed framework member as a ‘reserve bidder’. In the event that framework user decides (acting reasonably) that there are grounds for not proceeding with award to the successful framework member, or such award is cancelled or terminated, the framework user may appoint the reserve bidder in place of the successful framework member. Reserve bidders shall confirm that their mini-tender shall remain open for acceptance by the authority for a period of 120 days from tender.

6.4. The framework user may set out in its PITT or ITT how it intends to determine the mini competition where scores are equal. In the absence of any provision or determination by the framework user, the winner shall be determined by the highest scoring bidder. Where this is still tied this will be determined by the highest scoring bidder on the design and quality question. If still tied the bidder who scores highest on the KPI rankings live at the time of ITT evaluation will be deemed successful.

7.Contractor’s warranties

7.1. In submitting any mini-tender the contractor warrants, represents and undertakes to the relevant framework user that:

• 7.1.1. it has not done any of the acts or matters referred to in paragraph 4.1.1 to 4.1.4 of this appendix and has complied in all respects with the relevant ITT and with these rules
• 7.1.2. all information, representations and other matters of fact communicated (whether in writing or otherwise) to the framework user by the contractor, its employees or agents in connection with or arising out of the mini-tender are true, complete and accurate in all respects
• 7.1.3. it has made its own investigations and research and has satisfied itself in respect of all matters (whether actual or contingent) relating to the mini-tender
• 7.1.4. it has satisfied itself as to the correctness and sufficiency of the information it has inserted in the mini-tender
• 7.1.5. it has full power and authority to enter into the relevant scheme contracts and to undertake the relevant scheme
• 7.1.6. it is of sound financial standing and has and will have sufficient premises, working capital, skilled personnel, vehicles, plant, goods and materials and other resources available to it to carry out the relevant scheme
• 7.1.7. it has obtained all necessary consents, licences and permissions to enable it to carry out the relevant scheme and will from time to time obtain and maintain all further and other necessary consents, licences and permissions to enable it to continue to do so
• 7.1.8. it will not at any time claim or seek to enforce any lien, charge, or other encumbrances over property of whatever nature owned by the authority or any framework user

  8.General

8.1. Invitations to tender and all other documents provided to the contractor will remain the property of the relevant framework user.