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Reasons for Exclusion

Conditions for Participation -Defence and Security Public Contracts 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 Authority may apply to exclude suppliers from the tendering process. These criteria are legal obligations which are given in the Defence and Security Public Contracts Regulations (DSPCR) 2011. The DSPCR 2011 implement the Defence and Security Procurement Directive 2009/81/EC into United Kingdom (UK) law.

The full text of the Authority’s policy on excluding suppliers is detailed in the Knowledge in Defence (KiD) system. Once in KiD see the Commercial Toolkit – Tendering and Contract Award – Supplier Selection – Excluding Ineligible Suppliers Commercial Policy Statement.

All these criteria will apply to all 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(1) 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 drawing up, on the basis of Article K.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.);

  • (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) 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 judgement 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.