Invitation to Tender for Provision of Helpdesk and Data Centre Operations Support Services from 1 April 2016 to 31 March 2019

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1 Invitation to Tender for Provision of Helpdesk and Data Centre Operations Support Services from 1 April 2016 to 31 March November 2015

2 Invitation to Tender Provision of Helpdesk and Data Centre Operations Support Services from 1 April 2016 to 31 March 2019 We are pleased to invite your company to submit a tender in respect of the captioned services. A copy of the Invitation to Tender is available for download from the Invitations to tender under Others section of the SFC website ( If your company is interested in providing the services described in the Invitation to Tender, please send your tender to the Commission at the address as shown in the Invitation to Tender by 2:00pm on 18 December Late proposals will not be considered. A briefing session on the requirement details will be held in the SFC, 35/F Cheung Kong Center, 2 Queen s Road Central, Hong Kong on 1 December 2015 from 2:30PM to 3:30PM. All tenderers are earnestly invited to attend. The purpose of the briefing is to give an overview of the project and the services this Invitation to Tender seeks to obtain. Please register with Ms Angel Ha at or by aha@sfc.hk for the briefing session at least one day in advance. For and on behalf of the Securities and Futures Commission Yuk Wai WONG Senior Manager Information Technology, Corporate Affairs

3 TABLE OF CONTENTS 1. Introduction 1 2. Requirement Specifications 1 3. Guidelines for Tenderers 8 4. Payment and Other Terms Grievance Procedures Confidentiality Conflict of Interest Prevention of Bribery 13 ANNEX A The Technical Part 14 ANNEX B The Price Schedule 16 ANNEX C Confidentiality Acknowledgement 17 ANNEX D Required Qualifications of the Support Team 21

4 1. Introduction 1.1 Background The Securities and Futures Commission ( SFC ) is outsourcing the Information Technology ( IT ) Helpdesk and Data Centre Operations Support Services, and the outsourcing contract will be ended by 31 March, The purpose of this Invitation to Tender (the Tender ) is to invite prospective vendors to submit a proposal on the provision of Helpdesk and Data Centre Operations Support Services in the SFC. 1.2 Invitation to Tender and Interpretation The SFC invites tenders to submit proposal and price quotation to provide qualified onsite manpower for IT Helpdesk, technical support and Data Centre Operations services to support the daily business of the Commission The contract period is intended to be three years. The initial one-year contract will be renewable subject to review on a year-to-year basic up to a maximum of three years. Proven experience and capacity in the management of sizable IT Helpdesk and Data Centre Operations support services are required In this document, the following terms shall have the following meanings: (b) (c) Contract means a formal agreement to be entered into between the SFC and the successful tenderer in relation to the project containing such terms and conditions as the parties shall agree including (but not limited to) those terms set out in this invitation to tender (unless the same shall have been modified by the SFC); project means the project described in paragraph 2 hereof; and tenderer means the person or persons or corporation tendering for the project and includes the executors and administrators and permitted assigns of such person or persons or corporation. 2. Requirement Specifications 2.1 Purpose The objective of the tender is to have vendor to provide qualified on-site manpower for IT Helpdesk, technical support and Data Centre Operations services to support the daily business of the Commission. 2.2 Management System The tenderer s on-site team members are to adopt the International Standard Organisation ( ISO ) Quality Management ( QM ) system accredited by the Hong Kong Quality Assurance Agency ( HKQAA ) in use and maintain by the Information Technology Department ( ITD ) of the Commission. 1

5 2.3 Service Level Agreement The ITD has established service level agreement with the various Commission departments on the IT services provided. The on-site contractors are to perform at their full capacity to meet this agreement accordingly. 2.4 Workload Volume Estimates Tasks for IT Helpdesk and Data Centre Operation as below: Number of Helpdesk support services calls is around 700 per month in past 12 months. (b) (c) Number of planned support tasks is around 500 per month in past 12 months. Number of data centre routine operation job is breakdown as below: Number of daily task : 97 Number of weekly task : 45 Number of monthly task : 93 (d) Technical knowledge required for system rollout tasks: Powerbuilder, Oracle database system, Operating system (AIX, Windows and Linux) and Network infrastructure (Firewall, Switch, etc). 2.5 Staffing In order to achieve the Commission published services level, we expect the tenderer to provide a team ( Support Team ) to work on-site and have at least the following staffing level: Option A : 6x24 support model Minimum 10 Support Team staff consisting Helpdesk Operators for Hotline Services, Field Engineers for Field Services, Technicians for Data Centre Operations and Trainer for conducting user training. Helpdesk Operators for Hotline Services, Field Engineers for Field Services, Technicians for Data Centre Operations and Trainer for conducting user training are required from Monday to Saturday. One of the Support Team staff to work as the Team Leader. All Support Team staff shall have the minimum qualification as listed in Appendix D. All Support Team staff shall have been employed directly by the tenderer when the new contract commences. No sub-contracting is allowed. (b) Option B : 7x24 support model 2

6 Minimum 11 Support Team staff consisting Helpdesk Operators for Hotline Services, Field Engineers for Field Services, Technicians for Data Centre Operations and Trainer for conducting user training. Helpdesk Operators for Hotline Services, Field Engineers for Field Services, Technicians for Data Centre Operations and Trainer for conducting user training are required from Monday to Saturday. Technicians for Data Centre Operations is required on Sunday. One of the Support Team staff to work as the Team Leader. All Support Team staff shall have the minimum qualification as listed in Appendix D. All Support Team staff shall have been employed directly by the tenderer when the new contract commences. No sub-contracting is allowed Manpower Resources The tenderer must have a strategy of maintaining backfill manpower resources during stipulated working hours as mentioned in this contract to secure the minimum resource allocation to the Commission and to secure the service level demanded by this contract as stated in Section 2.3. In case the service level cannot be met, the tenderer will need to provide additional manpower at no cost to the Commission to achieve the service level agreement. 2.6 Required Services Scope The scope of the services provision shall cover the following three areas of services namely Helpdesk Services (including End-user Training), Field services and Data Centre Operations. The staff providing these services must adopt the ISO QM System in use by the ITD of the Commission The tenderer must provide the proposed Support Team working hours and shift structure as stated in Section 2.5: 6x24 support model and 7x24 support model Over Time ( OT ) Work (b) The Commission may require the Support Team to carry out maintenance, support and system implementation work during hours outside the normal Service and Operations Hours. Upon requisition and approval by the Commission of such work, the Team Leader of the Support Team shall assign the appropriate manpower and resources to carry out the necessary work. We expect the minimum OT hours to be 800 per year and the tenderer are expected to include the pricing of these OT hours in the proposal Helpdesk Services The Helpdesk services shall include, but not be limited to the following: Provide a single point of contact for all technical problems and enquiries; 3

7 Provide initial problem determination, assistance and tracking; Handle and follow through with all user s IT requests; Support standard desktop/network software; Assign tasks to Field Engineers and monitor progress; Maintain, achieve and improve the published service levels; Problem trends monitoring and resolution; Performance and management reporting; Maintain hardware and software inventory; Liaise, escalate and follow-up with service, maintenance and support providers; Any other tasks deemed fit by the Commission Field Services The Field services shall include, but not be limited to the following: Carry out day-to-day support of all computing equipment (including relocation), SFC application systems and Off-The-Shelf software products; Responsible for the provision of continuous desktop services to meet the specified levels of availability, reliability and serviceability; Perform changes in workstation configurations, printers and other peripherals; Provide technical support to meetings, seminars and conferences held by the Commission; Inventory maintenance and control; Any other tasks deemed fit by the Commission Data Centre Operations The Technician is required to provide daily operation support to the Commission data centres. The services include:- Day-to-day data centre operations; Systems and network performance monitoring; Preventive maintenance on the data centre physical environment and computing systems; 4

8 System administration, proactive and reactive problem troubleshooting and remediation; Production system control and rollouts; Change and configuration management; Data centres access control; Participated in annual disaster recovery drill; Inventory maintenance and control; Management reporting; Provide 24 * 7 mobile standby support for the Data Centre that may trigger by the environment monitoring system; Transfer computer tapes between the Commission Primary and Backup data centres; Any other tasks deemed fit by the Commission Training The Trainer is required to provide training to the Commission s end users in supporting the daily helpdesk operation and projects rollout of the ITD. The services and trainings to be delivered include:- Day-to-day one-on-one briefing to the Commission s new users; Regular training workshop on technology interesting topic, e.g. Spyware awareness, Advance Excel training; One-on-one training on computing related topics to senior management staff; Provide information security related training; Prepare user training guide for new systems and new technology to be implemented; Carry out helpdesk services when required; Maintain hardware and software inventory; Any other tasks and trainings deemed fit by the Commission Helpdesk and Data Centre Operation Services during adverse weather The tenderer must provide the proposed solution during adverse weather as stated in Section 2.5: 6x24 support model and 7x24 support model 5

9 2.7 Duration of Contract The contract period is intended to be three (3) years. The initial one-year contract will be renewable subject to review on a year-to-year basis up to a maximum of three years. The review may include manpower re-allocation, scope of work and the cost of the yearly contract. In the event that the review has cost implication, any change to the cost should be capped by the Composite Consumer Price Indices (CPI) issued by the Census and Statistics Department of the HKSAR Government in the month of January of the contract renewal year. 2.8 Transition In order to ensure a smooth transition of services from the Commission existing Helpdesk vendor to the successful tenderer, the tenderer must include a transition plan in their proposal Due to the complexity of the Commission s computing operation, we consider a minimum transition period of 2 months before the actual execution of the contract is necessary. The tenderer is free to suggest the manpower arrangement during the transition period, however, we consider the following being the minimum requirement The full support team has to be on-site for handover starting 1st March For the period from 1st February 2016 to 28th February 2016, at least 3 support team members are expected to be on-site The price of the transition should be included in the tender price. 2.9 Working Locations The Services will be provided at the Commission office in HKSAR or other locations in HKSAR as designated by the Commission Assignment of Personnel The tenderer shall provide its staff to deliver the services that have the technical proficiency and appropriate personal characteristics required by the Commission. The Commission may refuse to accept any personnel proposed by the tenderer, and the personnel proposed to fulfil this contract are subject to a random selective prescreening exercise by means of interviews and/or tests Since an important part of the evaluation of this tender is based on the qualification of the staff provided and the ability of the tenderer to retain the staff, the staff to be provided must be identified by name in the proposals and the named staff must be employed directly by the tenderer when the new contract commences. No subcontracting is allowed Also, the tenderer is not expected to change the provided staff once it is accepted by the Commission unless the staff s employment with the tenderer was terminated Without prejudice to the Commission s right to request subsequent removal of any accepted personnel from the services at any time, the tenderer shall immediately provide a replacement and is subject to the Commission s acceptance. 6

10 2.11 Reporting Line All Support Team members are to report directly to the Commission designated ITD Manager(s) by default unless otherwise specified by the Commission Contract Management and Staff Retention The tenderer management team of this service contract is subject to regular review meetings and responsible for the welfare of the Support Team staff contracted to the Commission. The tenderer should do the best to retain the accepted Support Team staff to avoid interruptions to the services provided to the Commission The tenderer however may remove or replace any Support Team staff from the services any time during the contracted period with acceptance by the Commission. In case that removal or replacement of any Support Team staff by the tenderer not being accepted by the Commission, the tenderer shall be subjected to the condition defined in section 2.14 Penalty Profile of Tenderer In order to ensure that the tenderer is capable of providing such services, the tenderer must have prior experience in providing outsourcing services of a similar size (in term of the size of the outsourcing team) in the last 3 years Penalty The turn over rate of the accepted Support Team Staff shall not be more than 25% of the total number of head count within each contracted year. Otherwise, if the turn over rate is more than 30%, the Commission shall impose a penalty of 10% deduction of the contracted price of the month and the months onward until the end of the contracted year Moreover, if the turnover rate is more than 40%, the Commission shall impose a penalty of 15% deduction of the contracted price of the month and the months onward until the end of the contracted year Training of Personnel The tenderer shall provide necessary technical or non-technical courses to the Support Team staff assigned to the services in order to maintain their proficiency and skills. The Commission will however provide in-house training or courses to these Support Team staff from time to time to meet requirements set forth in the QM System adopted by the Commission Safety and Security All Support Team staff shall comply with all the Commission directions, rules, policies and procedures relating to occupational health, safety and security in effect in the SFC Employee Handbook. 7

11 Support Team staff will require to read and sign a Preservation of Secrecy pursuant to S.378 and Avoidance of Conflict of Interests pursuant to S.379 of the Securities and Futures Ordinance (SFO) document and may require security vetting and reference checking Support Team staff is subject to the Hong Kong Police and the Independent Commission Against Corruption (the ICAC ) vetting for criminal offences Support Team staff will also be required to sign the General Undertakings to the Securities and Futures Commission from Secondees, Consultants and Other Individuals Sent by the Commission s Service Providers. In particular, Appendix A (Non-Employee Conduct Rules) of the General Undertakings stipulates requirements for Support Team Staff to disclose their personal securities and futures investments information from time to time Note: the provisions of the SFC Employee Handbook may be amended from time to time and Support Team staff will be kept informed of and will be bound by such changes. 3. Guidelines for Tenderers 3.1 These guidelines are intended to provide tenderers with guidance on the procedure for submitting their proposals and the approach that SFC will generally adopt in assessing such proposals. They do not bind, and are not intended to bind, the SFC in any way. The SFC reserves the right to accept or reject all or any part of a proposal. 3.2 Preparation and Submission of Proposals What must proposals cover? Tenderers may propose alternatives to the SFC s conditions and requirements if they consider that such conditions and requirements are either not feasible or do not provide the SFC with the best solution in the circumstances. 3.3 What form must proposals take? All proposals in writing must be submitted in both physical and electronic form One hardcopy of each proposal must be provided, together with a softcopy on CD-ROM. The softcopy should be in Microsoft Word format (Office 2007 or above) or Adobe Acrobat format (version 6 or above) The SFC will not consider any proposal that is submitted in writing without an accompanying softcopy. 3.4 To whom must proposals be submitted? Written proposals should be marked with the reference Provision of IT Helpdesk and Data Centre Support Services and must be submitted in a sealed envelope and deposited to a TENDER BOX at the following address: 8

12 Securities and Futures Commission 30/F, Cheung Kong Center 2 Queen s Road Central Hong Kong 3.5 What is the deadline for the submission of proposals? Proposals must be received by the SFC at the above-mentioned addresses on or before 2:00pm on 18 December The SFC will not consider any late proposals. 3.6 How must proposals be set out? Each proposal must be separated into the following parts: (b) (c) a Technical Part describing the proposals; a Price Schedule; and a Letter: (i) (ii) (iii) (iv) offering to carry out the works described in the Technical Part for the prices detailed in the Price Schedule in compliance with the "Payment and Other terms" set out in section Payment And Other Terms of this Invitation to Tender; stating the period that the offer is to remain open; undertaking to negotiate in good faith to finalize promptly the Contract and to commence work immediately thereafter; containing an acknowledgement and agreement that the SFC: a. is not bound to accept the lowest tender or any tender; b. reserves the right to make changes to the project requirement; and c. will not defray any expenses incurred in tendering and/or in negotiating the Contract, whether successful or otherwise (v) signed by the tenderer (in the case of an individual) or a duly authorized officer of the tenderer (in the case of a company). (d) a signed Confidentiality Acknowledgement form (Annex C) For the proposal hardcopy as well as its softcopy, the Technical Part the Price Schedule, the letter and the Acknowledgement form must be submitted as separate documents and be placed in separate envelopes. The envelope containing the Technical Part must be clearly marked Technical Proposal. The envelope containing the Price Schedule must be clearly marked Price Schedule The envelope containing the Letter must be clearly marked Offer Letter. The envelope containing the Acknowledgement form 9

13 must be clearly marked Acknowledgement form. Price information must not be specified in the Technical Part Details in relation to what should be specified in each part are set out in Annexes A (Technical Part) and B (Price Schedule) to this document. 3.7 How long should tenderers offers remain open? By making a proposal in response to this Invitation to Tender, a tenderer will be treated as having made an offer to the SFC. A tenderer should clearly state in its proposal how long this offer will remain open In order to allow the SFC sufficient time to consider all proposals validly submitted, tenderers should keep their offers open for at least 90 days from the closing date of this Invitation to Tender. If this cannot be done, the reason must be stated in the proposal. 3.8 Queries Regarding This Invitation to Tender Or Proposals Made In Response What if the SFC has any queries about a particular proposal? If the SFC considers that any aspect of a proposal requires clarification from the tenderer, the SFC may request that the tenderer: (b) supplement its proposal; or answer the SFC s queries orally or in writing, or in any manner that the SFC deems fit What if a tenderer has any queries? Any queries regarding this Invitation to Tender should be made to: Mr. Yuk Wai WONG Senior Manager Information Technology, Corporate Affairs Securities and Futures Commission 35/F, Cheung Kong Center 2 Queen s Road Central Hong Kong Telephone : Fax : ywwong@sfc.hk Or, alternatively: Mr. Patrick Leung Manager Information Technology, Corporate Affairs Securities and Futures Commission 35/F, Cheung Kong Center 2 Queen s Road Central Hong Kong 10

14 Telephone : Fax : pkfleung@sfc.hk 3.9 Notification of Results and Rejection of Proposals The SFC will notify each shortlisted-tenderer by within 15 days of finalising its selection as to whether or not they have been selected by the SFC The SFC retains the right to reject any or all tenders(s) submitted Acceptance No tender (or part thereof) shall be taken to have been accepted unless and until execution of the Contract. 4. Payment and Other Terms 4.1 Payment terms The SFC will make 12 equal payments to the successful tenderer on a monthly basis for the contracted period with at least 30 days payment term. 4.2 Termination of service The successful tenderer shall use its best endeavours to perform the Contract with such due care and skill as is expected of a provider of similar services and products and of a comparable standing in the industry but if for whatever reason, the SFC in its opinion, concludes that the successful tenderer is in breach of the Contract or does not provide the level of service required by the SFC, the SFC shall have the right to terminate the contract upon giving 30 days written notice to the successful tenderer. In such case the SFC shall only be liable to pay the successful tenderer for the services rendered up to the date of termination. 4.3 Sub-contracting of services If a Tenderer wishes to sub-contract any part (or all) of its obligations under its proposal, this must be clearly specified in the proposal. The tender must also clearly specify the person(s) to whom the Tenderer wishes to sub-contract, and the precise services or obligations intended by the Tenderer to be subject to such sub-contract. Subcontracting of services will not normally be permitted. SFC reserves the right to either accept or reject the subcontracting of services. 4.4 Conflicts of interest A tenderer must have no interest which conflicts, or has the potential to conflict, with its duties to the SFC under the proposal. If a tenderer has any interest which conflicts, or has the potential to conflict, with its duties to the SFC under the proposal, the tenderer should clearly state this in the proposal. This requirement extends to the tenderer s 11

15 associates, associated persons, group companies and each member of the tenderer s professional staff (and their associates and associated persons). 4.5 The incorporation of proposals into Contract signed with the SFC Any proposals and responses submitted by the successful tenderer to the SFC s inquiries may form part of the Contract made between the SFC and such tenderer Every representation by the successful tenderer (whether of fact or performance, and whether set out in the proposal or otherwise) will be incorporated as warranties in any Contract between the SFC and such tenderer. SFC preserves the right to seek for an indemnity should the awarded tenderers fails to keep these warranties. Therefore, any statement of fact or performance that the tenderer does not wish to be treated as a warranty should be clearly indicated. 4.6 Code of Conduct for Onsite Consultants All employees, sub-contractors and consultants of the successful Tenderer working at the SFC's office on a full-time basis will be bound by the SFC Staff Code of Conduct. They will also be subject to prior police vetting and be required to disclose all dealing in securities and futures to the SFC. Exemption maybe granted on a case by case basis. 5. Grievance Procedures 5.1 The Commission, as a public body, has a duty to conduct its affairs in a responsible and transparent manner. We have therefore put in place the Grievance Procedures with effect from 1 April The policy on Public Interest Grievances is intended to assist persons who are engaged by or to work in/with the Commission who believe that they have discovered improper practices or misconduct relating to the running of the Commission or work related activities of employees of the Commission to report these in a constructive manner. 5.2 This policy is for any person who has an employment contract with the Commission, is on secondment to the Commission, is engaged as an independent consultant by the Commission or is a contractor or supplier of services to the Commission. Public Interest Grievances might include: Criminal activity, such as accepting a bribe; Financial or administrative malpractice; Misconduct or improper behaviour; Failure to comply with legal obligations such as those set out in the Securities and Futures Ordinance; Endangering occupational health or safety; Attempts to suppress or conceal information relating to any of the above. 12

16 5.3 The Policy on Public Interest Grievances can be found on the SFC website under About the SFC. Please contact the Commission Secretary of the SFC if you have any questions. 6. Confidentiality 6.1 All information presented in or as a result of this tender, including information disclosed by the Commission during the selection process, is to be considered strictly confidential. Information must not be released to external parties without the express written consent of the Commission. 6.2 All responses and other materials submitted in response to this tender will become the property of the Commission. The Commission assumes no obligation and shall incur no liability regarding confidentiality of all or any portion of a response or any other material submitted in response to this tender unless expressly agreed in writing to protect specifically identified information. 7. Conflict of Interest 7.1 No Proposer may have any interest which conflicts, or has the potential to conflict, with its duties to the Commission under the proposal. If a Proposer has any interest which conflicts, or has the potential to conflict, with its duties to the Commission under the proposal, the Proposer should clearly state this in its proposal. This requirement extends to the Proposer s associates, associated persons, group companies and each member of the Proposer s professional staff (and their associates and associated persons). 8. Prevention of Bribery 8.1 A Proposer shall prohibit its directors, employees, agents, and sub-contractors who are involved in this tender from offering, soliciting or accepting any advantage as defined in the Prevention of Bribery Ordinance, Cap 201 when conducting business in connection with this mandate. 8.2 The Proposer shall take all necessary measures (including by way of a code of conduct or contractual provisions where appropriate) to ensure that its directors, employees, agents and sub-contractors are aware of the prohibitions in this clause. 13

17 ANNEX A The Technical Part The tenderer is free to include any information that it considers to be relevant to its proposal. However, as a minimum, this part should contain all of the following: Table of Contents 1. Executive Summary 1.1 This section should provide a full summary of the proposed solution. 2. The Proposed Solutions and Service Plan 2.1 This section should describe the proposals in detail and explain how the proposals meet the conditions and requirements set out in Section 2, and describe any limitations and compatibility issues associated with the proposals. 3. Exceptions to the SFC s Conditions and Requirements 3.1 If a tenderer wishes to propose alternatives to the SFC s conditions and requirements, these alternatives should be specified here. The tenderer should explain: why the SFC s conditions and requirements do not provide the SFC with the best solution in the circumstances; and the ways in which their alternatives are better. 4. Vendor Profile 4.1 The tenderer should provide full details of its company profile. This should include the following matters: the company s background and history; the company s financial strength, supported by an audited report or financial summary; its experience in similar projects; references for similar projects (please provide the Scope, Team Size, Type of Services Provided etc) ; and other relevant information. 5. Appendices 5.1 Project Team and Structure Names, detailed qualifications and work experience to be assigned to implement the project and the team structure. 14

18 5.2 Other relevant information The tenderer can include any other information that it considers to be relevant to its proposal. 15

19 ANNEX B The Price Schedule This part should contain all of the following: 1. Executive Summary 1.1 This part should provide a full summary of the project fees structure, and any payment arrangements. 2. Fees Schedule 2.1 All fees must be quoted in Hong Kong Dollars. 2.2 All fees should be properly itemized and explained and include all amounts payable by way of royalty, licence fee, software licence fee or otherwise for patent any copyright design or other intellectual property rights. The fee on hardware, software and consultancy services must be separately stated. 2.3 The following table must be provided for each staff proposed. Example: Position Name of Candidate(s) Monthly Take Home Pay to Candidate (including Employee s contribution to MPF) Agency / Admin Fee ($/%) (including Employer s contribution to MPF) SFC Monthly Rate ($) Lump sum Gratuity / Bonus / other cash incentives to candidate * Lump sum Gratuity charge to SFC Agency Fee % ** Field Mr. TM Chan $15,000 $2,000 $17,000 $20,000 $25, % Engineer Deputy Ms. BB Tong $33,000 $5,000 $38,000 N/A N/A 13.16% Team Leader Trainer Mr. Kim Woo $28,000 $3,000 $31,000 N/A N/A 9.68% Team Leader Ms KK Yung $35,000 $5,000 $40,000 $50,000 $60, % * Tenderer should provide details/nature of the incentives included (e.g. gratuity payable upon contract expiry) ** Agency Fee % = (Gratuity mark up + Monthly mark up * contract period) / (SFC Gratuity payment + SFC monthly payment * contract period) Submission without fee breakdown in this prescribed format will not be considered. 3. Payment Terms and Arrangements 3.1 Payment must correlate with major milestone/achievements or deliveries; in accordance with the SFC s performance-based payment policy (see PAYMENT AND OTHER TERMS in Paragraph 4 of this tender). 16

20 ANNEX C Confidentiality Acknowledgement NOTE TO PROSPECTIVE TENDERERS You should be aware that statutory provisions require - Preservation of secrecy pursuant to section 378 of the SFO and in particular subsection (1) of that section. Avoidance of conflict of interests pursuant to section 379 of the SFO and in particular subsections (1), (2) and (3) of that section. Section 378 of the SFO binds you and in particular subsection (1) of that section which provides as follows: (1) Except in the performance of a function under, or for the purpose of carrying into effect or doing anything required or authorized under, any of the relevant provisions, a specified person - shall preserve and aid in preserving secrecy with regard to any matter coming to his knowledge by virtue of his appointment under any of the relevant provisions, or in the performance of any function under or in carrying into effect any of the relevant provisions, or in the course of assisting any other person in the performance of any function under or in carrying into effect any of the relevant provisions; (b) (c) shall not communicate any such matter to any other person; and shall not suffer or permit any other person to have access to any record or document which is in his possession by virtue of the appointment, or the performance of any such function under or the carrying into effect of any such provisions, or the assistance to the other person in the performance of any such function under or in carrying into effect any such provisions. TAKE NOTICE THAT IF YOU CONTRAVENE SECTION 378(1) OF THE SFO YOU COMMIT AN OFFENCE UNDER SECTION 378(10) OF THE SFO. ANY PERSON WHO COMMITS AN OFFENCE UNDER SECTION 378(10) IS LIABLE: (b) on conviction on indictment to a fine of HK$1,000,000 and to imprisonment for two years; or on summary conviction to a fine of HK$100,000 and to imprisonment for six months. Section 379 of the SFO binds you and in particular subsections (1), (2) and (3) of that section which provide as follows: (1) Subject to subsection (2), any member of the Commission or any person performing any function under any of the relevant provisions shall not directly or indirectly effect or cause to be effected, on his own account or for the benefit of any other person, a transaction regarding any securities, structured product, futures contract, leveraged foreign exchange contract, or an interest in any securities, structured product, futures contract, leveraged foreign exchange contract or collective investment scheme - which transaction he knows is or is connected with a transaction or a person that is the subject of any investigation or proceedings by the Commission under any of the relevant provisions or the subject of other proceedings under any provision of the SFO; or 17

21 (b) which transaction he knows is otherwise being considered by the Commission. (2) Subsection (1) does not apply to any transaction which a holder of securities or a structured product effects or causes to be effected by reference to any of his rights as such holder - (b) (c) (d) (e) (f) to exchange the securities or structured product or to convert the securities or structured product to another form of securities or structured product; to participate in a scheme of arrangement sanctioned by the Court of First Instance under the Companies Ordinance (Cap. 622) or the relevant Ordinance; to subscribe for other securities or another structured product or dispose of a right to subscribe for other securities or another structured product; to charge or pledge the securities or structured product to secure the repayment of money; to realize the securities or structured product for the purpose of repaying money secured under paragraph (d); or to realize the securities or structured product in the course of performing a duty imposed by law. (3) Any member of the Commission or any person performing any function under any of the relevant provisions shall forthwith inform the Commission if, in the course of performing any function under any such provisions, he is required to consider any matter relating to - any securities, futures contract, leveraged foreign exchange contract, structured product, or an interest in any securities, futures contract, leveraged foreign exchange contract, collective investment scheme or structured product - (i) (ii) in which he has an interest; in which a corporation, in the shares of which he has an interest, has an interest; or (iii) which - (A) in the case of securities, is of or issued by the same issuer, and of the same class, as those in which he has an interest; (B) (C) in the case of a futures contract, is interests, rights or property based upon securities of or issued by the same issuer, and of the same class, as those in which he has an interest; or in the case of a structured product, is interests, rights or property based on a structured product of or issued by the same issuer, and of the same class, as that in which he has an interest; or (b) a person - (i) by whom he is or was employed; (ii) of whom he is or was a client; (iii) who is or was his associate; or (iv) whom he knows is or was a client of a person with whom he is or was employed or who is or was his associate. TAKE NOTICE THAT IF YOU CONTRAVENE SECTION 379(1) AND/OR SECTION 379(3) OF THE SFO YOU COMMIT AN OFFENCE UNDER SECTION 379(4) OF THE SFO. ANY PERSON WHO COMMITS AN OFFENCE UNDER SECTION 379(4) IS LIABLE: 18

22 (b) on conviction on indictment to a fine of HK$1,000,000 and to imprisonment for two years; or on summary conviction to a fine of HK$100,000 and to imprisonment for six months. The term specified person is defined in section 378(15) of the SFO and means- the Commission; (b) any person who is or was a member, an employee, or a consultant, agent or adviser, of the Commission; or (c) any person who is or was - (i) a person appointed under any of the relevant provisions; (ii) a person performing any function under or carrying into effect any of the relevant provisions; or (iii) a person assisting any other person in the performance of any function under or in carrying into effect any of the relevant provisions. The term person has the meaning attributed to it in section 3 of the Interpretation and General Clauses Ordinance (Cap. 1) which provides that person includes any public body and any body of persons, corporate or unincorporate, and this definition shall apply notwithstanding that the word person occurs in a provision creating or relating to an offence or for the recovery of any fine or compensation. 19

23 We acknowledge the provisions of section 378 of the Securities and Futures Ordinance (SFO) and in particular subsection (1) of that section and the provisions of section 379 of the SFO and in particular subsections (1), (2) and (3) of that section. Signature Name Title Company Date Witnessed by: Signature Name Title Date 20

24 ANNEX D Required Qualifications of the Support Team I. Team Leader Helpdesk and Data Centre Operations Requirements University degree graduate, preferably in Information Technology or related disciplines; Minimum 10 years of experience in Information Technology services with at least 3 years of experience in Helpdesk, technical support services and data centre operation positions; Microsoft Certified Solutions Expert (MCSE) and/or Microsoft Certified Professional (MCP); In-depth knowledge in Microsoft Windows 2008/2012, Hyper-V, Active Directory, Exchange Server and AIX/Linux Administration; Strong leadership is a must and hotline or call centre experience is a plus; Good interpersonal, communication and presentation skill; and Fluent spoken English and Cantonese. Putonghua preferable. Responsibilities Coordinate Helpdesk Operators and Field Engineer to resolve problems and administer the local area network, in co-ordination with other internal staff and external vendors. Coordinate Data Centre Operations engineers to implement and support the network infrastructure and the data centre environment. Work closely with the Infrastructure Team to design and implement new technologies, system and security policies. Provide front-line helpdesk PC/LAN system and solution product support to Commission user. Perform overall systems administration and maintenance work. Implement or upgrade office automation (OA) hardware and software to provide new services and to meet capacity growth. Review operational procedures and performance statistics for all computer systems. Liaise with third party maintenance support services vendors and solution providers. Provide internal support to ad hoc activities as specified by Senior Manager / Manager Technology Services. Inventory Management. II. Deputy Team Leader Helpdesk and Data Centre Operations Requirements University degree graduate, preferably in Information Technology or related disciplines; Minimum 8 years of experience in Information Technology services with at least 3 years of experience in Helpdesk, technical support services and data centre operation positions; Microsoft Certified Solutions Expert (MCSE) and/or Microsoft Certified Professional (MCP); In-depth knowledge in Microsoft Windows 2008/2012, Hyper-V, Active Directory, Exchange Server and AIX/Linux Administration; Domino / Lotus Notes Administration Knowledge and Experience; Good interpersonal, communication and presentation skill; and Fluent spoken English and Cantonese. Putonghua preferable. Responsibilities Coordinate Helpdesk Operators and Field Engineer to resolve problems and administer the local area network, in co-ordination with other internal staff and external vendors. Coordinate Data Centre Operations engineers to implement and support the network infrastructure and the data centre environment. Work closely with the Infrastructure Team to design and implement new technologies, system and security policies. Provide front-line helpdesk PC/LAN system and solution product support to Commission user. Perform overall systems administration and maintenance work. Review and maintain operational procedures and performance statistics for all computer systems. 21

25 Perform system operations and maintain operations procedures. Liaise with third party maintenance support services vendors and solution providers. Provide internal support to ad hoc activities as specified by Senior Manager / Manager Technology Services. Inventory Management. III. Helpdesk Operator Requirements University degree/diploma/higher certificate graduate, preferably in Information Technology or related disciplines; Minimum 3 years experience in Information Technology services with at least 1 year experience in Helpdesk / Hotline / Call Centre operation position; Microsoft Certified Solutions Expert(MSCE); Experience in Microsoft Windows 2008/2012, Hyper-V, Hyper-V, Active Directory, MS Office 2013 and Lotus Notes; Good interpersonal, communication and presentation skill; and Fluent spoken English and Cantonese. Putonghua preferable. Responsibilities Provide immediate telephone technical support on general problems relating to IT systems and resource requests. Escalate technical and operational problems or issues to involving parties as according to the procedures provided. Follow up status of Helpdesk Calls. According to criticality of calls, escalate and inform involved parties. Inform users on status of systems availability. Carry out end-user account administration tasks, e.g. reset password, delete print queues etc. Administer IT related request forms, resources management and software/technical reference library. Manage IT resources and provide inventory check of IT resources on ad hoc basis. Follow up status of IT related request forms. Inform user on completion of tasks. Schedule and coordinate with users/trainer on training requests. Inventory Management. Provide support on data entry of IT systems. (i) Document and provide statistical report on IT Hotline calls, IT related requests and Internet access activities. (ii) Other IT related administration works when necessary IV. Field Engineers Requirements University degree/diploma/higher certificate graduate, preferably in Information Technology or related discipline; Minimum 5 years of experience in Information Technology services with at least 3 years of experience in end-user computing, PC hardware peripheral support and technical support services position; Microsoft Certified Solutions Expert (MCSE); Experience in Microsoft Windows 2008/2012, Hyper-V, Active Directory, MS Office 2013 and Lotus Notes; Good interpersonal communication and presentation skill; and Fluent spoken English and Cantonese. Putonghua preferable. Responsibilities Provide technical support and troubleshooting on office automation (OA) systems and related networking problems. Provide backup support as the Helpdesk Operator. Resolve technical problems and carry out hardware equipment repair/replacement. 22

26 Implement or upgrade OA hardware and software according to the Commission s standards, policies and guidelines. Maintain and revise computer standards, related setup procedures and operation manuals. Inventory Management. Perform computer equipment relocation tasks. Provide internal support to ad hoc activities as specified by Senior Manager / Manager Technology Services. V. Data Centre Operations Technician Requirements University degree/diploma/higher certificate graduate, preferably in Information Technology or related discipline; Minimum 5 years of experience in Information Technology services with at least 3 years of experience in a sizeable Data Centre operations position; Knowledge in Microsoft Windows 2008/2012, Hyper-V, Active Directory, Exchange Server and AIX/Linux Administration; Microsoft Certified Solutions Expert (MCSE) or Microsoft Certified Professional (MCP) or CCNA; Good interpersonal communication skill; and Fluent spoken English and Cantonese. Responsibilities Perform system operations and maintain operations procedures. Control data backup and restoration. Perform relocation due to the addition and removal of equipment in the data centres. Conduct daily walkthroughs and routine checking of the computing services. Perform day-end, week-end and month-end operations, i.e. management reporting. Co-ordinate with data centre facilities vendors on activities such as preventive maintenance and equipment installation. Conduct daily system administration, troubleshooting and applying remediation to system problems. Conduct Production system rollouts. Perform the change and configuration management. Control data centres access. Develop and maintain operational procedures and performance statistics for all computer systems. Write system scripts to schedule and monitor the performance of systems. Provide internal support to ad hoc activities as specified by Senior Manager / Manager Technology Services. VI. Training Officer Requirements University degree graduate, preferably in Finance or Information Technology discipline; Minimum 8 years of experience in Information Technology/Training services; Microsoft Certified Solutions Expert (MCSE) or Microsoft Certified Professional(MCP); Good interpersonal communication and presentation skills; and Fluent spoken English and Cantonese. Putonghua preferable. Responsibilities Conduct trainings / briefings assigned by the Commission to Commission users or other parties as specified by Senior Manager / Manager Technology Services. Prepare and maintain user guides, procedure manuals and training documentation. Report the training statistics and prepare the monthly reports on training assignments. Provide helpdesk support on SFC systems to Commission users and external subscribers. Assist in Helpdesk support and problem determination. Inventory Management. 23