CONTENTS SECTION B: BACKGROUND INFORMATION 5 SECTION C: INSTRUCTIONS TO TENDERERS 14 SECTION D: SPECIFICATIONS 23 LOT 1 SPECIFICATION: THE PARKING

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1 Invitation to Tender for the Provision of Managed Services for ICT, Back-Office and Facilities Management for Parking and Other Appeals Service and Managed ICT Services for London Councils Version 8 03/07/14

2 CONTENTS SECTION B: BACKGROUND INFORMATION 5 SECTION C: INSTRUCTIONS TO TENDERERS 14 SECTION D: SPECIFICATIONS 23 LOT 1 SPECIFICATION: THE PARKING AND TRAFFIC APPEALS SERVICE (PATAS) 24 Lot 1 Appendix A. PATAS indicative transaction volumes estimated values for information only based on historic data (where available) for Lot 1 50 Lot 1 Appendix B - Extract from the current Statutory Register 51 Lot 1 Appendix C PATAS Opening Hours 52 Lot 1 Appendix D Service Levels 53 Lot 1 Appendix F Reports 54 Lot 1 Appendix G User Access Devices - PATAS/POPLA/RUCTA Users (Lots 1 and 5) 55 LOT 2 SPECIFICATION: Managed ICT Services for PATAS and the other appeal services (Lots 1 and 5) 56 Lot 2 - Appendix A Hardware and Software Asset Register 65 Lot 2 - Appendix B Service levels 66 Lot 2 Appendix C Current Hearing Centre opening hours 67 Appendix D User Access Devices 68 LOT 3 SPECIFICATION: ICT Managed Service Requirements (London Councils Southwark Street) 69 Appendix A Current LC ICT System Assets 81 Appendix B Service Levels 82 Appendix C - Third Party Contracts 83 Appendix D User Access Device Requirements 84 Lot 4: TRANSACTION SERVICES 85 Lot 4 Appendix A TEC Code of Practice 93 Lot 4 Appendix B - TEC Data User File V5 94 Lot 4 Appendix C- TEC User Guide 4 95 Lot 4 Appendix D Indicative Volumes estimated values for information only based on historic data (where available) for Lot 4 96 LOT 5: Other Appeals Services 97 Lot 5 Appendix A Indicative Appeals and Other Transaction volumes estimated values for information only based on historic data (where available) for Lot SECTION E: CONTRACT 102 SECTION F. SERVICE LEVELS AND SERVICE CREDITS 103 SECTION F APPENDIX 1: SERVICE LEVELS AND SERVICE POINTS 104 SECTION F APPENDIX 2: SERVICE CREDITS 109 SECTION F APPENDIX 2: SERVICE CREDITS - Annex SECTION F APPENDIX 2: SERVICE CREDITS Annex SECTION G: REPORTS FROM SERVICE PROVIDER 119 SECTION H: TENDER RESPONSE 120 SECTION H APPENDIX 1: Form of Tender 120 SECTION H APPENDIX 2: Freedom of Information Questionnaire 123 SECTION H APPENDIX 3: Tender Submission Checklist 124 SECTION H APPENDIX 4: TUPE Information 126 SECTION H APPENDIX 5: Qualitative (non-price) Schedule 127 Lots 1 and 5 Qualitative (non-price) Tender Response Schedule 135 Lot 2 Qualitative (non-price) Tender Response Schedule 140 Lot 3 Qualitative (non-price) Tender Response Schedule 143 Lot 4 Qualitative (non-price) Tender Response Schedule 146 SECTION H APPENDIX 6: Pricing Schedule 149 SECTION H APPENDIX 7: MUTUAL NON-DISCLOSURE AGREEMENT 156 2

3 SECTION A: INTRODUCTION AND OVERVIEW Background 1. London Councils represents all 32 London boroughs, the City of London, the Metropolitan Police Authority and the London Fire and Emergency Planning Authority. London Councils is committed to fighting for more resources for London and getting the best possible deal for London s 33 councils. It also acts as a thinktank in new policy initiatives, spreads good practice amongst its members and provides a range of valuable services. London Councils is in an ideal position to advise on a wide range of issues relating to local government and other matters of concern to Londoners. It also works closely with the national Local Government Association and with many private, voluntary and public sector bodies. 2. London Councils Transport and Environment Committee (TEC) is responsible for transport policy, traffic and parking enforcement (including managing the Londonwide night time and weekend lorry control scheme), the Parking and Traffic Appeals Service, concessionary fares and regulatory and environmental issues. The concessionary fares schemes include the Freedom Pass that provides more than 1.3million older and disabled people with free public transport, and Taxicard which offers subsidised travel in taxis and private hire vehicles (PHVs) to over 100,000 Londoners with mobility problems. 3. London Councils invites Tenders for the provision of a Contract or Contracts for an initial period of either five or seven years from 03 July 2015 with an option, subject to agreement by London Councils Transport and Environment Committee, to extend the initial period by further yearly periods not exceeding three years in aggregate. 4. The Specifications for each lot in Section D of this ITT outline the requirements for the respective lots which the Tenderer must meet (if the relevant lot is bid for) in order to deliver a quality service to London Councils. 5. The format of Tenderer s response to this ITT is set out at SECTION H APPENDIX 5: Qualitative (non-price) Schedule, which details a set of key questions for each lot that the Tenderer must answer for each lot that the Tenderer is bidding for, using the response pro forma in Appendix The Pricing Schedule is included at SECTION H APPENDIX 6: Pricing Schedule, which the Tenderer must complete for each lot that the Tenderer is bidding for, using the response pro forma in Appendix 6. General Information 7. London Councils is seeking tenders from companies who are able to provide the Managed Services on our behalf. The services required fall into the broad category of administrative and ICT support, they do not extend to participation in the formal adjudication process. 8. The successful Tenderer will be able to demonstrate how new technologies will be employed to drive effectiveness, efficiency, cost and productivity gains for the Authority. The services are divided into five lots; however bidders should note that lots 1 and 5 will be let together. 3

4 9. Lot 1 is for the PATAS Appeals Services including the design, development, delivery, hosting and maintenance of the appeals Case Management System (CMS) and related User Access Devices (UAD) and peripherals. 10. Lot 2 is for ICT support, comprising: software, hardware and support (for the London Councils staff based in the London Councils offices at 2 Angel Square London EC1V 1NY) Lot 3 is for the ICT support, comprising: software, hardware and support (for London Councils staff based in the London Councils offices at 59½ Southwark Street, London SE1 0AL) 12. Lot 4 is for transactional services (Tow-away, Recovering and Clamping Enquiry (TRACE) and Traffic Enforcement Centre (TEC) 13. Lot 5 is for other appeals services (RUCAT & POPLA) (see also Lot 1, as Lot 1 and 5 will be let together) 14. At the PQQ stage, tenderers were able to bid for one or more lots however, because lots one (1) and five (5) are both for appeals services and the requirements are broadly the same, bids were only considered for Lots 1 and 5 combined. Lots 1 or 5 will not be awarded separately nor will we let Lot 1 or 5 to different Service Providers. With the exception of lots 1 and 5, Tenderers were able to bid for a single lot or any combination of multiple lots including bidding for all 5 lots. 15. Tenderers bidding for multiple or all Lots should clearly indicate in their bid if they would be willing to enter into a contract for a fewer number of lots in the event that London Councils decides to award individual or a combination of lots to different Service Providers or does not award contracts for all of the lots. Tenderers should only now submit bids for the lots for which they submitted a PQQ response and where these responses have been evaluated and the Tenderer has been approved and informed in writing that they are a qualified bidder for the relevant lot(s). 16. Unless otherwise stated the successful Service Provider(s) must be capable of having all services described in SECTION D: SPECIFICATIONSD fully operational on the service commencement date of 3 July Bidders are asked to note that London Councils current lease of Angel Square expires on 24 th March 2015, after which date London Councils currently has no right to occupy the premises. Terms had been agreed for a new 10 year lease of the premises, subject to contract, and it was London Councils intention to agree and complete the new lease before 25 th March However, London Councils has now been informed that no new lease will be granted for Angel Square. London Councils is seeking an extension of the current lease until the end of the existing PATAS contract in July, but cannot confirm that this will be granted. Consequently, bidders should note that the PATAS, RUCAT and POPLA services will have to move to another central London location (to be confirmed), which London Councils intends to have ready for the commencement of the new service. 4

5 SECTION B: BACKGROUND INFORMATION 1. The Appeals Services (Lots 1 and 5) The Parking and Traffic Appeals Service (PATAS) 2. The Parking and Traffic Appeals Service administers the independent tribunals established to hear appeals against Penalty Charge Notices issued by the London Local Authorities and Transport for London. 3. The Parking and Traffic Adjudicators Tribunal is a statutory tribunal independent of the enforcement authorities. 4. The Parking and Traffic Adjudicators decide appeals relating to Penalty Charge Notices issued by Transport for London and the London local authorities known as the 'enforcement authority' (EA) for parking, bus lane, moving traffic, lorry ban, littering and waste receptacle contraventions. 5. The Service Provider services in Lot 1 in support of the PATAS include: a) Administrative support for PATAS b) Provision of the Appeals Service call-centre (the Enquiry Service) c) The design, development, delivery, hosting and maintenance of the appeals case management system (CMS or the System ), including the related UADs and peripherals. d) Hosting, backup and disaster recovery of servers for the CMS e) IT Helpdesk The Road User Charging Adjudicators Tribunal (RUCAT) 6. The Road User Charging Adjudicators Tribunal is an independent tribunal which decides appeals against Congestion Charging penalties and Low Emission Zone penalties in London. The tribunal is independent from Transport for London. 7. Cases in both the PATAS and RUCAT are decided by independent adjudicators, each of whom are qualified either as a barrister or solicitor and directly appointed by the Lord Chancellor. They decide each case impartially, applying the law to the facts of the case. 8. The Appellant must first have made their case ( representations ) to the EA who issued the Penalty Charge Notices and have had their representations rejected. 9. Details of all registered appeals and decisions are recorded in the statutory register. The register can be viewed in person by members of the public at the Hearing Centre at 2 Angel Square London EC1V 1NY during normal opening hours. 10. The Service Provider services in Lot 5 in support of the RUCAT include: a) Administrative support for RUCAT b) Access to the Appeals CMS c) Parking on Private Land Appeals (POPLA) 5

6 11. POPLA is dedicated to providing easy and efficient dispute resolution for parking charge notices issued in respect of parking on private land. 12. The Protection of Freedoms Act 2012 was passed by Parliament in order to return to the British public, freedoms they feel other legislation has eroded or removed over time. 13. The Act deals with a wide range of issues and one of those is the ban on immobilising ( clamping ) or removing ( towing-away ), without lawful authority, vehicles that are parked on private land. 14. The Act also introduced the concept of 'keeper liability' for vehicles parked on private land. However, for this, there had to be an independent appeals service, provided by funding from the parking industry through the British Parking Association (BPA). 15. That independent service is known as Parking on Private Land Appeals or POPLA. Assessors at POPLA determine appeals from those who have been issued with parking charge notices, in respect of vehicles parked on private land. The motorist must first have made their case ( representations ) to the operator who issued the parking charge notice and have had their representations rejected. 16. POPLA is independent of all parties to appeals, including the operator and the British Parking Association. This service is run by London Councils under contract with the BPA. 17. The Service Provider services in Lot 5 in support of the POPLA include: a) Administrative support for POPLA b) Access to the Appeals CMS ICT Support (Lots 2 and 3) Lot The Service Provider services for Lot 2 comprises ICT support for the PATAS and other Appeals Services located in the LC offices at 2 Angel Square London EC1V 1NY, including: a) provision of hardware, software, network and telephony components used by the London Councils staff and Service Provider staff located at those premises b) network wiring located in those premises and communications equipment that enables communications with the Appeals Case Management System and other London Councils offices/locations and the Internet c) all UAD hardware used by London Councils staff at those premises, together with related systems/operating software, d) provision of ICT communications services, including: telephony and recording equipment to the adjudicators/assessors, the hearing centre and London Councils appeals tribunal administration team e) asset refresh, hosting of servers(other than those provided under lots 1, 3 and 5) f) helpdesk g) on-site ICT support to the Parking and Traffic and other Appeals Services at Angel Square, London EC1V 1NY. 6

7 Lot The Service Provider services for Lot 3 comprise ICT support for London Councils at their offices at 59½ Southwark Street, London SE1 0AL, including: a) the installation and maintenance of hardware, software, network and telephony components used by the London Councils staff located in the London Councils offices at 59½ Southwark Street, London SE1 0AL b) the network wiring and communications equipment located in those premises that enables communications with other London Councils offices/ London Councils staff locations and the Internet c) hosting of servers (other than those provided under lots 1,2 and 5) d) IT helpdesk support. e) Provision of UAD (i.e. desktops/laptops) used by LC staff at those premises Transactional Services (Lot 4) 20. Transactional Services encompass 2 services: the Traffic Enforcement Centre ( TEC ) data transfer service and the Tow-away, Removal and Clamping Enquiry ( TRACE ) service TEC 21. Traffic enforcement centre is the bulk processing section of Northampton County Court where penalty charges are registered as debts. London Councils Transport and Environment Committee collates information from and distributes information to their local authorities. The local authorities may use London Councils TEC link to transmit data files to TEC via a data communication link. TRACE 22. London Councils provides a helpline service for anyone whose vehicle may have been towed away. TRACE can help if a vehicle is removed for illegal parking by any council in London. The helpline is open 24 hours a day, 365 days a year. TRACE will advise which pound the vehicle has been moved to and provide information on the procedure for release. 23. The Service Provider services in lot 4 in support of Transactional Services include: a) monitoring, storing and managing statistics and data relating to the use of Transactional services by all parties b) establishing and maintaining the link between London Councils and the external parties insofar as they are used for the transmission, validation and reconciliation of the Transactional services information. Current service provision 24. The current services included in this ITT for lots 1, 2, 4 and the RUCAT (lot 5) are provided under a contract with Capita (For the Provision of Managed Services, IT Telecommunications, General Business Support and Facility Processing Services). 25. The current services for lot 3 are provided by the City of London and its ICT Service Provider (Agilisys). This contract ends on 3 July London Councils administers POPLA (lot 5) under a contract with the British Parking Association (BPA). All current POPLA contracts and agreements are due to end on 30 September

8 27. POPLA does not currently receive services under the contract with Capita however in the event that the BPA extends its contract with London Councils for administering POPLA, POPLA may require services under lot 5 of the new contract which is the subject of this ITT. This is likely to be known in the spring of Similar to POPLA, London Councils is contracted by the Greater London Authority (GLA) to provide the RUCAT therefore provision of managed services for RUCAT under this ITT will be subject to the continuation of the contract with the GLA. The GLA has recently agreed to extend this contract to December Definitions and interpretation Appellants People who appeal against a Penalty Charge Notice or, as the case may be, a Parking Charge Notice Adjudicator(s) Those appointed to consider appeals registered with PATAS or RUCAT Authorised Users Staff with various levels of authority and approval to access the CMS Assessors Those appointed to consider appeals registered with POPLA Case File A single file containing all of the information, documentation and evidence relating to a specific appeal Case Management System (CMS) The on-line web-enabled Case Management System (CMS) to be designed, developed, maintained and supported by the Service Provider for Lots 1 and 5, and related UADs/peripherals Chief Adjudicator Desktop Adjudicator responsible for co-ordinating the Adjudicators The Windows environment that takes you to your files, applications etc. EA/Enforcement Authority The 32 London Boroughs, the Corporation of London, Transport for London and London Councils 8

9 Enquiry Service The Service for receiving and handling all enquiries including telephone, postal, and on-line Facilities Technical Specifications Specifications for the facilities related equipment managed by the Service Provider at the Authorities premises including CCTV, access card production and panic alarm hardware and software Hearing Centre The facility at the PATAS Premises where appellants cases are heard in public by the Adjudicators and Assessors ICT Information, Communications and Technology ITIL The Information Technology Infrastructure Library (ITIL) is a set of practices for IT service management (ITSM) that focuses on aligning IT services with the needs of the business KPI Key Performance Indicator Lead Adjudicator Adjudicator responsible for co-ordinating the Assessors London Councils Premises The London Councils headquarters offices located at 59½ Southwark Street, London SE1 0AL Office Automation The range of business computing facilities for use by London Councils staff Operators Private companies using the POPLA Service Order for Recovery County Court order for recovery of an unpaid penalty charge which has been registered as a debt at the Traffic Enforcement Centre Notice of Appeal The form which begins the appeal process and which explains to the independent Adjudicator or, as the case, may be Assessor, and to the enforcement authority or, as the case may be the operator why the motorist challenges the rejection of their initial 9

10 representations. PATAS The Parking and Traffic Appeals Service based at 2 Angel Square London EC1V 1NY PATAS Core Hours The standard opening hours of the Appeals Hearing Centre, which are Monday to Thursday 7.30am to 6.30pm, Friday 7.30am to 6.00pm and Saturday, 8.00am to 2.00pm) PATAS Premises The London Councils offices at 2 Angel Square London EC1V 1NY PC A physical computer that has a screen, keyboard and mouse that would normally sit on a desk PCN In the case of PATAS or RUCAT, means 'Penalty Charge Notice', being a legal notice issued by one of the enforcement authorities following a parking or traffic contravention. Or In the case of POPLA, means a 'Parking Charge Notice' issued by an operator. Personal Hearings A face to face meeting between the Appellant and the Adjudicator who will decide their appeal rather than receiving the decision by post POPLA Parking on Private Land Appeals RUCAT The Road User Charging Appeals Tribunal Service Credit A unit of value equal to 1% of the monthly payment due to the Service Provider. Service Credits shall be set as a percentage of the relevant Charge and credited to the AUTHORITY. The amount of Service Credits in any Year for each Lot shall be limited to a maximum of 10% of the total annual Charge for all elements within the Lo as set out in Schedule SECTION H APPENDIX 6: Pricing Schedule for all elements within each Service. 10

11 Service Credit Payment A payment to the Authority of Service Credits. At the discretion of the Authority, the Service Credit Payment shall either be paid directly to the Authority or deducted from payments due by the Authority. Service Credit Threshold The threshold number of Service Points in any given month that triggers Service Credit Payments to the Authority. If the number of Service Points accrued by the Service Provider in a month is equal to or greater than the number specified then the particular threshold for the specified Service Type, the threshold has been reached and each service credit will be converted and result in a 1% reduction in fee for that month. Service Point A unit of measurement related to the achievement of pre-specified Service Levels. Service Points (SPs) shall accrue to The Authority when, through no fault of the Authority, the Service Provider fails to meet the Service Levels. Service Type Groupings of services measured against Service Levels for each of the Lots, categorised as follows: 1. System Availability (all Lots); 2.System Performance (all Lots); 3. Performance of the Services (including Case preparation (Lots 1 and 5) Mail and correspondence (Lots 1 and 5) TRACE service performance (Lot 4) Call centre (Lots 1, 4 and 5) Service Improvements (all Lots) 4. IT Service Help desk (all Lots) 5. Restoration of Fail-over and Disaster Recovery (all Lots) Statutory Declarations A Statutory Declaration is a formal legal declaration sworn under oath Statutory Register or Register The Statutory Register is a public record of all of the Adjudicators' decisions in each case, as required by the relevant legislation. Service Level The Service Levels are a set of required levels of performance of the Services defined for each lot and set out in the Specification of the relevant lot TEC 11

12 Traffic Enforcement Centre, which is a registration point for local authorities that have de-criminalised on-street parking charges, and for local and other enforcing authorities registering charges including vehicle emission penalties, road user (congestion) charging penalties and bus lane contravention penalties Termination Threshold The threshold for a particular service or services that when breached, the Service Provider shall be in material Default of the Agreement. Termination Thresholds will be measured across months, quarters and annually. Should the Termination Threshold be breached, the Authority reserves the right to invoke Termination clause in the Generic Conditions of Contract. The Service Provider The successful bidder(s) that have been awarded the contract(s) for lots 1 5 The System Lot 1 and 5 - The CMS to be developed by the Service Provider together with any other ICT software/facilities required meet the requirements set out in the Lot 1 Specification, including facilities to retrieve, validate, collate and make available to the Adjudicators and the London Councils staff all the information and functionality required to enable them to carry out their functions and duties. The PATAS ICT Infrastructure Lot 2 - The hardware, software, network and telephony components used by the LC staff located in the LC offices at 2 Angel Square London EC1V 1NY, including network wiring located in those premises and communications equipment that enables communications with the System and other LC offices/locations and the Internet The LC ICT System Lot 3 - The hardware, software, network and telephony components used by the LC staff located in the LC offices at 59½ Southwark Street, London SE1 0AL, including network wiring located in the London Councils Premises and communications equipment that enables communications with other LC offices/locations and the Internet TRACE A service provided by London Councils to allow members of the public and other organisations to 12

13 locate a vehicle that has been towed away Users or End Users The personnel using The System, ie the Chief Adjudicators, Lead Adjudicator, Adjudicators and Assessors, together with the LC staff using the PATAS ICT Infrastructure and the LC ICT System User Access Devices User Access Devices (UAD) are computer peripherals, such as a PC, laptop, PDA, Tablet, printer or mobile phone, that an End User uses to access the System or the LC ICT System Valid Appeal An appeal registered with PATAS, RUCAT or POPLA, as the case may be Verification Code A case specific code supplied by an operator or EA with the rejection of an appellant s representations Witness Statement A statement in response to an Order for Recovery made on one of the specified grounds Working day Monday to Saturday inclusive during the hours when the Hearing Centre is operating excluding Bank Holidays 13

14 SECTION C: INSTRUCTIONS TO TENDERERS Methodology 1. Tenderers are asked to complete the schedules in SECTION H: TENDER RESPONSE stating how they will deliver the services required as specified for each Lot in Section D. Tenderers should submit a separate Form of Tender for each Lot they are bidding for. 2. The tender response should indicate how they will meet the requirements of the relevant specification and how overall functionality will be integrated, delivering an efficient, cost effective service. However, Tenderers need to consider all sections of the Tender documentation carefully to fully complete the Tender. 3. Tenderers must give due regard to the following: a) How the CMS will be designed and developed, including interactions during this process with the main users of the system and the provision of design documentation to the Authority during the development process b) How the fully specified service will be delivered. c) Communication and data transfer and system interrogation methodology. d) System support, hosting, maintenance and availability for the duration of the contract. e) For planning purposes, the submission from Tenderers should be based upon the volumes indicated in the specification. However, Tenderers should note that future volumes may vary and are not guaranteed. f) Provision of project plans including key milestones and dates for delivery, testing, training and system go live. g) Provision of diagrams and flow charts of the system architecture and data flows. h) Tenderer s response documents should be in Word and Excel (ideally 2010) formats Management 4. The client-side project manager during the implementation will be the Chief Contracts Officer. There will be monthly project management meetings during the implementation stages and thereafter monthly board meetings of the Core Group throughout the life of the contract between the Service Provider and London Councils, which will be recorded. These meetings will monitor the progress of the implementation, contract and performance of the Service Provider. London Councils also reserve the right to call for urgent meetings should issues arise relating to changes to the contract or poor performance. Performance Review, Service Levels and Service Credits 5. Service Levels and Service Credits are set out in Section F. 6. The contract will be subject to on-going performance monitoring. Given the considerable impact poor performance will have on PATAS service users and the reputation of London Councils, Service Provider performance will be measured against Service Levels, as this is critical and the provisions of Appendix 7c of the conditions of contract will therefore be invoked in the event of Service Provider non performance. 14

15 7. The Service Provider will have a three month grace period from 3 July 2 September 2015 (inclusive) in which the performance will be measured, though will not be assessed. The provisions of Appendix 7 of the conditions of contract will therefore not apply to this grace period. Timetable 8. London Councils intends to follow the timetable below to ensure that it is possible to commence the contract on 3 July However, London Councils reserves the right to amend the timetable. Action Target Date: Issue ITT to shortlisted Tenderers 12/05/2014 Bidders open day including presentation/explanation of ITT documents and Q&A with adjudicators. Bidder meetings (these will provide bidders the opportunity to meet with and ask key Authority staff technical questions related to the ITT) 2. Deadline for Tenderers questions relating to the Conditions of Contract and Invitation to Tender Issue of final Tender Circular, issued to all recipients of an ITT, responding to questions received 22/05/2014 w/b 26/05/2014 and w/b 02/06/ /06/ /06/2014 Tender submission date 07/07/2014 Bidder presentations and site visits Evaluation of tenders completed 12/09/2014 Report to the Transport and Environment Committee Contract Award (subject to mandatory standstill period) Issue of contract and commencement of transition period w/b 18/08/2014 and w/b 25/08/ /10/2014 TBC 10/ /2014 TBC 11/2014 System in place 03/06/2015 Contract commencement 03/07/ No Tenderer will be given further information at any stage of the tender process that is not generally provided to all Tenderers. 2 Bidders should note that the questions and answers generated by these meetings will be shared with all bidders in the form of FAQs. These will be worded so as not to identify commercially sensitive information or the identity of the bidders. 15

16 Requirements of Service Providers 10. If you are aware that the submission of your tender may give rise to a potential conflict of interest please inform Stephen Boon, Chief Contracts Officer at Tmtenders@londoncouncils.gov.uk A conflict of interest may arise where you are related to a member or staff officer of London Councils or you have privileged information about the organisation that places you at an unfair advantage over other competitors in the bidding process, or where your organisation is intimately involved as an agent for a party to an appeal. 11. You should be aware that the information you submit may be subject to a request for information. The provision of any information to external parties by London Councils is determined by statutory conditions provided for in the Freedom of Information Act All information provided by London Councils shall be treated by the Tenderer as confidential except where prior written consent has been given by London Councils that such information may be disclosed for the purpose of obtaining sureties and quotations in preparation for the Tender. The dissemination of information within your organisation should be on a need-to-know basis. By the deadline for the receipt of tenders, the Tenderer must submit their bid to deliver the Managed Services. All tenders must be signed in ink by directors or other managers authorised for that purpose. 12. Tenderers must obtain for themselves all information necessary for the preparation of their tender including, but not limited to, all research, investigations and enquiries to have satisfied itself as to the nature, extent, standards, volumes and character of the services to be provided. Information supplied to Tenderers by London Councils is supplied only for the general guidance in the preparation of the tender. Tenderers must satisfy themselves as to the accuracy of any such information and no responsibility is accepted by London Councils for any loss or damage of whatever kind and howsoever arising from the use by Tenderers of such information. No claims will be entertained whatsoever before or after the award of the contract if inaccuracies in the measurement of descriptions are discovered. The Tender 13. Tenders should be completed in full for the relevant Lot or Lots that the Tenderer is bidding for and must be strictly in accordance with these instructions and without qualification. For the avoidance of doubt, Tenders will not be accepted and will be disallowed by London Councils if they are: a) Qualified b) Not submitted as instructed c) Not received by the date and time specified on the Form of Tender 14. All documents must be submitted in English. All prices and rates should be quoted in pounds sterling. 15. London Councils does not bind itself to necessarily accept the lowest priced Tender or any Tender at all. London Councils will not be liable for or pay any expenses, losses or costs incurred by the Tenderer in submitting its Tender. The Tenderer shall have no claim whatsoever against London Councils in respect of such costs and in particular (but without limitation) London Councils shall not make any payments to the successful Tenderer or any other Tenderer save as expressly provided for in the Contract and (save to the extent set out in the Tender 16

17 Documents) no compensation or remuneration shall otherwise be payable by London Councils to the successful Tenderer in respect of the Services by reason of the scope of the Services being different from that envisaged by the successful Tenderer or otherwise. Accompanying Documents 16. By the deadline for receipt of Tenders specified in timetable above, the Tenderer must also submit all associated documentation indicated on the SECTION H APPENDIX 3: Tender Submission Checklist as well as the checklist itself. 17. All Tenderers should note all documentation in support of their Tenders must be submitted in accordance with Schedule H: Tender Response including the Form of Tender and returned to the address set out in the section below on Format of Tender Responses. 18. The Authority has issued a Mutual Non-Disclosure Agreement (MNDA) to all Tenderers who have successfully registered their interest in tendering for the relevant Lot or Lots for the Project. The MNDA is contained within 19. SECTION H APPENDIX 7: MUTUAL NON-DISCLOSURE AGREEMENT of the Invitation to Tender (ITT). 20. The MNDA must be signed and returned to the Authority in order that SECTION H APPENDIX 4: TUPE Information which contain sensitive and confidential information can be disclosed to the Tenderers. 21. The Authority will endeavour to provide the Appendices above within [2/5] working days following receipt of the signed MNDA. Signed MNDA s will be accepted by the Authority up to and including 13 June Failure to return the signed MNDA by the deadline of [13 June 2014.will mean that access to the above Appendices will not be provided to Tenderers. Tenderers may still submit a Tender Response. Tenderers will have to accept that risk when preparing their Tender Response without having had sight of this information. 23. The Authority will return one copy of the MNDA duly signed on behalf of the Authority to the Tenderer as soon as reasonably practicable. 24. Any Tenderer who has not received the MNDA, should contact the Authority as soon as possible. Format of Tender Responses 25. If you wish to apply, four (4) copies, plus one (1) electronic copy of your tender response for each lot that the Tenderer is bidding for should be sent to London Councils to arrive no later than 12 noon Monday 23 June The envelope should be plain without any reference to the Tenderer and marked: Tender Application. Responses should be sealed, clearly marked for the attention of Frank Smith, Director of Corporate Resources, and sent to the following address: London Councils, 59½ Southwark Street, London SE1 0AL 26. Electronic versions of the tender will be accepted; however, only in addition to the required hard copies. Please allow for receipt of electronic tender to occur over a 17

18 full working day. Tenders may also be sent by to: however they MUST also be received by the above mentioned due date and time. A hard copy MUST also be provided by the specified due date and time. ed tenders will not be accepted in isolation. 27. If necessary, you may seek clarification on the tender process, contract terms and conditions or any of the documentation by contacting Stephen Boon, Chief Contracts Officer. All enquiries should be sent to Tmtenders@londoncouncils.gov.uk. 28. Enquiries will not be answered if received after Friday 13 June Tenderers should note that responses to each enquiry will be copied to all organisations tendering (though will not identify the originator of the enquiry). On no account before the tender opening date is the Tenderer to contact or communicate with any other person involved in work concerning this Invitation to Tender unless London Councils redirects the enquiry. The canvassing of London Councils employees or members will result in disqualification. Non-Consideration of Tender 29. London Councils may in its absolute discretion refrain from considering any Tender if: a) It is not in accordance with these Instructions to tenderers and all other instructions issued by London Councils during the tender period; b) The tenderer makes or attempts to make any variation or alteration to the terms of the Tender Documents, except where a variation or alteration is provided or permitted in accordance with the terms thereof. Transfer of Undertakings (Protection of Employment) Regulations 2006 (TUPE) (see Appendix 4) 30. NOTE TO TENDERERS, THIS SECTION WILL BE UPDATED AND CIRCULATED TO ALL TENDERERS AS PART OF A TENDERERS CIRCULAR. Form of Tender and Tendered Pricing Schedule 31. The Form of Tender (Appendix 1) for each Lot for which the Tenderer is bidding must be signed: Where the Tenderer is a company, by two directors or by a director and the secretary of the company, such persons being duly authorised for the purpose; 32. The Tenderer must complete the Pricing Schedule (Appendix 6) and associated Excel Workbook for the relevant Lot or Lots for which it is bidding and include the completed schedule with its Tender. 33. All rates and prices requested in the Pricing Criteria (Section H) shall be inclusive of all disbursements and any other costs or expenses necessary. 34. The Form of Tender for the relevant Lot or Lots which Tenderers are bidding for must be duly completed and returned via the London Tenders Portal by no later than noon GMT on 23 June Any Tender or any accompanying documentation submitted after such date and time will not be considered. It is suggested that Tenderers make arrangements for Tenders to be submitted at least one day prior to the above time. 18

19 36. The Tender Offer for the relevant Lot or Lots which Tenderers are bidding for must be made on the Form of Tender provided by London Councils. Any unauthorised substitution of this Form shall result in the rejection of that offer. Rates and prices 37. Rates and prices quoted must be exclusive of value added tax. 38. Where errors are found in the priced tender documents the Tenderer will be given details of the errors and given an opportunity of confirming his offer or of amending it to correct genuine errors. Should he elect to amend his offer with the result that the revised Tender is no longer the lowest or best value Tender; the offer that becomes the lowest or best value will be examined. 39. If the Tenderer elects not to amend his offer, an endorsement will be required indicating that all rates or prices in those documents (excluding preliminary items, contingencies, prime cost sums) are to be considered as reduced or increased in the same proportion as the corrected total of priced items exceeds or falls short of his offer price (again excluding the items contingencies and sums mentioned above). The endorsement shall be signed by both parties. 40. If the Tenderer does amend his tender figure, and possibly certain of the rates in his documents, he will either be allowed access to his original Tender to insert and initial the correct details or be required to confirm all the alterations in a letter. If in the latter case his revised tender is then recommended for acceptance, a copy of the letter will be attached to the Tender acceptance letter or form before that acceptance is sent or communicated in any way to the Tenderer; the acceptance letter or form itself will record clearly that the amended Tender figure and rates in the Tenderer s letter are substituted for those in the original Tender. Freedom of Information Questionnaire 41. Tenderers should note that in accordance with the obligations placed upon public authorities by the Freedom of Information Act 2000 ( Act ), all information submitted to London Councils may be disclosed by London Councils in response to a request made pursuant to the Act. Tenderers are requested to consider the content of the Freedom of Information Questionnaire appended to these at SECTION H APPENDIX 2: Freedom of Information Questionnaire and to complete this questionnaire and submit it with their Tender submission. Evaluation of Tenders 42. London Councils intends to award the Contract for the relevant Lot or Lots on the basis of the Tender which represents the most economically advantageous tender to London Councils in terms of price and quality. See Section H for details. 43. In evaluating the Tender for the relevant Lot or Lots London Councils will have regard to the factors set out in the specification and the separate evaluation section of this Invitation To Tender In accordance with Part 5 of the Public Contracts Regulations 2006 ( The EU Regulations ), London Councils has set out in the Tender Response (Section H) of this Invitation To Tender a scoring matrix that specifies the award criteria and weightings of the criteria that shall be applied by London Councils in evaluating the Tenders for the relevant Lot or Lots and determining the most economically advantageous tender. The Contract 19

20 44. The successful Tenderer will be required to execute a formal contract/s for the relevant Lot or Lots which embodies the terms of all the tender documents. The contracts for the relevant Lot or Lots will be prepared by the City of London s Comptroller and City Solicitor as legal adviser to London Councils. 45. The successful Tenderer will be required to execute the formal Contract/s for the relevant Lot or Lots promptly at London Councils request. Conditions of Contract 46. London Councils proposes to conclude the Contract/s for the relevant Lot or Lots on the terms set out in SECTION E: CONTRACT of this ITT. 47. Tenderers must raise any concerns and/or questions that they may have with London Councils Conditions of Contract before Friday 13 June This Contract is tendered under the EU Restricted Procedure and is therefore subject to the full regime of the Public Contracts Regulations 2006 ( the EU Regulations ). Therefore London Councils cannot and will not enter into any negotiation of the Generic Conditions of Contract for all Lots or amendments to the Generic Conditions of Contract or accept any amendment to the Contract documentation after the Tender submission date. 49. Tenderers shall keep their respective Tender valid and open for acceptance by London Councils for 180 days from the Tender return date. Rejection of Tenders 50. London Councils reserves the right to reject any Tender submitted by a Tenderer in respect of which the Tenderer: a) Discloses to any third party prices shown in its Tender except where such disclosure is made in confidence in order to obtain quotations necessary for the purposes of financing or insurance; and/or b) Enters into any agreement with any other person that such other person shall refrain from submitting a Tender or shall limit or restrict the prices to be shown by any other Tenderer in its Tender; and/or c) Fixes prices in its Tender in accordance with any arrangement with any person or by reference to any other Tender; and/or d) In connection with the award of the Contract commits an offence under the Bribery Act 2010 or gives any fee or reward the receipt of which is an offence under Section 117(2) of the Local Government Act 1972; and/or e) Has directly or indirectly canvassed any member or official of London Councils concerning award of the Contract or who has directly or indirectly obtained or attempted to obtain information from any such member or official concerning any other Tenderer or Tender submitted by any other Tenderer; and/or f) Has done anything improper to influence London Councils during the tender period; and/or g) Has failed to use the English language; and/or h) Is known to practice or permit discrimination in employment on the grounds of sex, colour, religion, race or ethnic or national origins; and/or i) Has failed to return the Form of Tender and Tender Response Documents fully completed and signed or any of the Accompanying Documents j) From a Tenderer where London Councils believes that there has been any form of co-operation or collusion with another Tenderer. 20

21 Non-Consideration of Tender 51. London Councils may in its absolute discretion refrain from considering any Tender if: c) It is not in accordance with these Instructions to tenderers and all other instructions issued by London Councils during the tender period; d) The tenderer makes or attempts to make any variation or alteration to the terms of the Tender Documents, except where a variation or alteration is provided or permitted in accordance with the terms thereof. Acceptance of Tender 52. Following evaluation of the Tenders London Councils will make a decision on which, if any, Tender for the relevant Lot or Lots shall be accepted. Committee approval may need to be obtained for London Council s award of this Contract or Contracts. 53. As the procurement of this Contract is subject to the full application of the EU Regulations, London Councils must observe a minimum 10 calendar days standstill period before it awards the contract to the successful Tenderer(s). All Tenderers will be notified of London Councils award decision as soon as possible after the decision is made and the standstill period will commence the day the Tenderers are issued with such notification. As soon as possible after the end of the standstill period London Councils will award the contract to the successful Tenderer. 54. Any acceptance by London Councils of a Tender for the relevant Lot or Lots shall be notified to the successful Tenderer in writing by the City of London s Comptroller and City Solicitor as legal adviser for London Councils. 55. The successful Tenderer will be required to commence the Contract on 3 July 2015 (or such other date to be advised) being the Commencement Date. Confidentiality and Ownership of Documents 56. The Tender Documents and all other documentation issued by London Councils relating to the Contract/s shall be treated by the Tenderer as private and confidential for use only in connection with the Tender and any resulting contract and shall not be disclosed in whole or in part to any third party without the prior written consent of London Councils, save where such information has been disclosed for the purposes of obtaining quotations from proposed insurers and/or sub-service Provider and other information required to be submitted with the Tender or as required to be disclosed in accordance with the law. 57. The copyright in all the Tender Documents and any additional information supplied by London Councils, unless stated otherwise in this document, shall vest in London Councils and all such documents and all copies thereof are and shall remain the property of London Councils and must be returned to London Councils upon demand. 21

22 Tenderers Warranties 58. In submitting a Tender for the relevant Lot or Lots, the Tenderer warrants, represents and undertakes to London Councils that: a) All information, representations and other matters of fact communicated (whether in writing or otherwise) to London Councils by the Tenderer or its staff in connection with or arising out of the Tender are true, complete and accurate in all respects. b) It has carried out its own investigations and research, has satisfied itself in respect of all matters relating to the Tender Documents and that it has not submitted the Tender and has not entered into the Contract in reliance upon any information, representations or assumptions (whether made orally, in writing or otherwise) which may have been made by London Councils other than in the Tender Documents or in any Tender Circulars that may be issued in accordance with above. c) It has full power and authority to enter into the Contract and provide the Services and will if requested produce evidence of such to London Councils. d) It is of sound financial standing and the Tenderer and its directors, officers and employees are not aware of any circumstances (other than such circumstances that may be disclosed in the audited accounts or other financial statements of the Tenderer) submitted to London Councils which may adversely affect such financial standing in the future. e) It has, and has made arrangements to ensure that it will continue to have, sufficient working capital, skilled staff, equipment, and other resources available to deliver the Services in accordance with the Contract and for the initial Contract Period and any period of extension. f) It has obtained, or it has made arrangements to ensure that it will have obtained by the Commencement Date, all and any necessary consents, licences and permissions to enable it to carry out the Services and it will throughout the Contract Period obtain and maintain all further and necessary consents, licences and permissions to enable it to continue so to do. 22

23 SECTION D: SPECIFICATIONS Definitions and interpretation 1. Wherever the Specification states that the Service Provider must "supply" or "provide" a service or item, this means that the Service Provider must implement that service or item, where necessary, fully tested, installed and operational at its own cost, unless otherwise stated. 2. The Specifications for each Lot are set out below and should be read in conjunction with the table of defined terms (above), which are common across the 5 lots. Compliance with legislation 3. The Service Provider must comply with all relevant new legislation that may be introduced during the contract term. In meeting this obligation, the Service Provider will supply any new equipment, software, hardware and stationery without passing on any of its costs or charges whatsoever to London Councils for payment. The Lots The lots to be awarded under this contract are as follows: Lot 1 PATAS Administrative Support Services & CMS Lot 2 PATAS ICT Support Services Lot 3 London Councils ICT Support Services Lot 4 Transactional Services Lot 5 Other Appeals Services (RUCTA & POPLA) 23

24 LOT 1 SPECIFICATION: THE PARKING AND TRAFFIC APPEALS SERVICE (PATAS) 1. London Councils' Overall Business Objectives 1.1 London Councils' overall minimum requirement under this Lot is to provide administrative support to the Appeals Services (as described in outline in the ITT and more fully elsewhere in this Lot 1 Specification) and the Hearing Centre located at the PATAS Premises (i.e. the London Councils offices at 2 Angel Square London EC1V 1NY for this definition and those of the other defined terms used in this Lot 1 Specification, the Tenderer should refer to the table of defined terms in the ITT at section D), and the design, development, maintenance, hosting and support of an on-line web-enabled Case Management System (CMS, or the System ) for PATAS to ensure that: a) PATAS Staff and Adjudicators can perform their functions efficiently and effectively; b) the appellants and the Enforcing Authorities (EAs) find the Service both simple to use and accessible; c) all case work is correctly handled on a timely and efficient basis. 1.2 The Service Provider shall ensure that all case and case-related information is reviewed and correctly recorded and documented to allow both the PATAS staff and Adjudicators to carry out their duties, to ensure that both postal and personal appeals are processed and hearings held with the minimum of waiting time for appellants and with minimum necessary bureaucracy, to register the outcome of different case related activity and inform all parties of the outcome. 1.3 The procedures for dealing with appeals to the Parking Adjudicators are contained in the Road Traffic (Parking Adjudicators) (London) Regulations 1993 (as amended or re-enacted from time to time) and the Civil Enforcement of Parking Contraventions (England) Representations and Appeals Regulations 2007 (as amended or re-enacted from time to time). These regulations are available on the PATAS web-site ( 1.4 London Councils expects there to be continuous improvement in the Service and that the Service Provider shall be proactive in suggesting improvements or alternative ways of providing the services delivered under the Agreement. Timescales for the implementation of such improvements will be mutually agreed. 2. Scope of Services to be provided by the Service Provider 2.1 The Service Provider shall meet the requirements described in this specification and shall support PATAS on behalf of London Councils for the duration of the Agreement. 2.2 The Service Provider shall provide for the provision of possible future requirements described in paragraph

25 2.3 The services required fall into the broad category of administrative support services (including IT support services for the CMS, clerical services and other services, such as reception & security) for the Appeals Services based at the PATAS Premises. They do not extend to participation in the formal adjudication process, or to the functions of London Councils staff except as described below. 2.4 In the following paragraphs, the System refers to all the CMS and other facilities required to retrieve, validate, collate and make available to the Adjudicators and London Councils staff all the information and functionality required to enable them to carry out their function in the most efficient and effective manner. 2.5 The Service Provider shall provide all the clerical and other staff required to provide the services described in this Lot 1 Specification. 3. Key Business Requirements 3.1 London Councils' requirements fall into the following main categories: a) data capture and case management for all appeals, ancillary applications, statutory declarations and witness statements; b) dispatching, handling and receiving of communications, notices and correspondence (both appeal and non-appeal related); c) provision and maintenance of a publicly available statutory register; d) hearing centre activities, including clerical, administrative, security and IT support to the CMS; e) administration of Adjudicator sittings; f) telephone enquiry service; g) management information and ad hoc reporting; h) support to the CMS for Adjudicators and Authority staff working remotely, especially outside core operational hours; i) hard copy and CMS data storage and protection 3.2 The Service Provider should note that none of the above is static and should be prepared to make adjustments for changes in legislative requirements and new types of appeals as they arise. 3.3 The Service Provider should also note that all of the requirements under this Lot need to be integrated, or at least interact closely with each other, to achieve the overall objectives. 3.4 The Service Provider shall provide a new System 3 to meet the requirements summarised above and ensure that the CMS technology is capable of supporting adjudication (both postal and personal appeals) from any location, as well as at the Hearing Centre at the PATAS Premises, within the term of the Agreement. It should be noted by the Tenderer that London Councils has an existing CMS in which it holds the IPR, a copy of which may be made 3 New in this context is meant from London Councils perspective. London Councils intention is to procure the most economically advantageous service, where the tenderer believes that London Councils requirements can be met using or adapting commercial off the shelf systems, it should set out the advantages of such an approach and these will be given due consideration. 25

26 available to Tenderer upon request, for evaluation by the Tenderer as to its suitability as a platform for the development of the System as defined in this Lot 1 Specification. The Tenderer should understand, however, that any resulting software developed by the Service Provider based on the use of the existing London Councils CMS software must appear to the User as a single fully-integrated system and London Councils must be satisfied that the resulting system is fit for purpose and will provide the basis for the delivery of a new CMS for use by the Appeals Services for the forthcoming future. The IPR in any software developed by the Service Provider specifically for London Councils will reside with London Councils. 3.5 The Service Provider shall provide a System, such that all data, including all communications, notices and correspondence, can be transferred electronically within PATAS and between PATAS and other stakeholders, including London Councils and the EAs. 3.6 Each of these specific requirements is covered below. 4. Data Capture and Case Management 4.1 The Service Provider shall design, develop, provide, support and host an online web-enabled CMS which can handle a variety of circumstances which arise in the management of cases. These include but are not limited to the following requirements: a) establishing case files; b) registering and acknowledging receipt of appeals, including the capture onto the System of the Notice of Appeal (NoA) form from the Appellant (electronic or paper) and any other correspondence/enquiry from the Appellant (electronic or paper). The Service Provider will need to review correspondence/documentation upon receipt to determine whether any other correspondence constitutes an appeal or not. c) Validation of NoAs. To be valid, the NoA must contain an office use box 4 (paper appeals) or an electronic code with the following information: i. Have a PCN (of a standard format); ii. Have been issued with a Notice of Rejection (NoR); iii. iv. Have been lodged within the time limits for making an appeal; Have been made by the appropriate person (registered keeper, driver/operator {for Lorry Ban appeals} or their authorised representative, or person who paid for the release of the vehicle (in clamp/remove cases);); d) If an NoA is valid then the case must be scheduled by the System immediately according to the Appellants preferences on that NoA (Postal or Personal and availability if Personal); e) notifying the EAs of all appeals, evidence and correspondence received from the appellant; f) dealing with appeals that are out of time and in a non-standard form and If the NoA is not valid (ie, is defective) additional actions will need to be taken by the Service Provider. Defects include: 4 This is completed by the Enforcing Authority 26

27 i. No NoR is issued; ii. Inconsistent appeals (registered keeper and appellant different); iii. Incomplete appeals (no PCN or signature {need to discuss with Adjudicators as to whether signatures are still required given the shift to electronic appeals); iv. Out of Time; g) registering, acknowledging and giving direction to Statutory Declaration (SD) and Witness Statement (WS) referrals, including data capture of SD)/WS from EA in prescribed form (electronic); h) requesting and recording information from all parties to the appeal; An NoA or SD/WS that has been scheduled may be subject to any of the following: i. Do Not Contest (DNC) from the EA; ii. Withdrawal Request from the appellant; iii. EA Evidence; iv. Additional Appellant evidence; v. Digital Evidence either from appellant in the form of a CD/USB etc. or from EA in a prescribed form (preferably on line); vi. Hard copy evidence (to be accessed at hearing centre); vii. Requests to reschedule (from either party); viii. Additional requests (from either party) e.g. signer, interpreter; ix. Linking/Grouping with other cases (using a variety of criteria); i) logging and tracking documents including attachments and evidence that is not capable of being held electronically ( unscannable evidence) and maintaining a secure and auditable system for the storage and retrieval of such evidence; j) managing the information required for all cases; i. It must be possible to close the case on the basis of a DNC or Withdrawal Request; ii. It must be possible to access all additional evidence from the case; iii. It must be possible to create ad hoc letter on the case at any time, without the necessity for correspondence being received. k) scheduling, rescheduling and adjourning hearings and notifying EAs of each stage of an appeal; An Adjudicator has a variety of actions available on a case opened for consideration: i. Issue a decision (Allowed/Refused) for all cases or Refused with Recommendation for TMA cases); ii. Formally adjourn the case to another date. Both parties are notified of the new hearing, which could be either a personal or postal hearing, and the Adjudicator can make additional requests/directions to each party. It should also be possible to make a recommendation to either party during this adjournment that will be recorded on the case; 27

28 iii. Formally suspend a case (or adjourn to no date). Both parties are notified that the case has been suspended/adjourned but no date has been set; iv. Stand a case down. The Adjudicator is not ready to decide the case, but does not want to formally adjourn or suspend the case either. This should result in no correspondence being generated; v. On a linked/grouped case, the Adjudicator should be able to adjourn cases en mass or issue a single decision across multiple cases. l) conducting personal hearings and considering postal appeals; m) notifying appellants and EAs of adjudication outcomes; n) dealing with post-decision actions, there are a number of actions/events that could take place on a case after the decision has been made; i. The Service Provider should identify the action required where possible and categorise accordingly; ii. It should be possible to re-categorise any piece of correspondence as required. o) dealing with applications for case reviews, these can be received from either party to the appeal and could be in relation to any decision or direction made by the Adjudicator. The applicant is entitled to request that the review take place at either a personal or postal hearing; The review process is effectively a 2 stage process 1 st the application for review is considered and then, if successful, the appeal as a whole is considered; i. If the application is for a postal review, the validity of the application will be considered immediately, and a number of action should be available: ii. Schedule the application for an appeal hearing (either postal or personal), and issue any directions/requests within the notification of that date to the parties; iii. Reject the application; iv. Adjourn/Suspend consideration of the application and write to the party/parties. v. If the application is for a personal review, it must be scheduled for a hearing. At the hearing, a number of actions should be available: vi. Schedule the application for an appeal hearing at a later date (either postal or personal), and issue any directions/requests within the notification of that date to the parties; vii. Reject the application; viii. Adjourn/Suspend consideration of the application and write to the party/parties ix. Issue an appeal decision (i.e. accept the review application and consider the appeal immediately) p) dealing with cost applications, a Cost Application can be received from either party to the appeal and there can be multiple cost applications on a case. The applicant is entitled to request that the costs application be considered at either a personal or postal hearing; 28

29 i. If the application is for a postal hearing, it will be considered immediately, and a number of action should be available: 1. Issue a costs decision (i.e. accept the application for costs and consider it immediately) 2. Schedule the application for a full hearing (either postal or personal), and issue any directions/requests within the notification of that date to the parties; 3. Refuse the application; 4. Adjourn/Suspend consideration of the application and write to the party/parties. ii. If the cost application is for a personal review, it must be scheduled for a hearing. At the hearing, a number of actions should be available: 1. Issue a review decision (i.e. accept the review application and consider the appeal immediately) 2. Schedule the application for an appeal hearing at a later date (either postal or personal), and issue any directions/requests within the notification of that date to the parties; 3. Reject the application; 4. Adjourn/Suspend consideration of the application and write to the party/parties iii. A costs decision is a separate decision to the decision on the case and should be recorded as such iv. A costs decision can be reviewed (using the same review process as outlined above) q) dealing with clerical errors This process can be instigated by either party to the appeal or by the Adjudicator or admin staff so it is not necessary for correspondence to be received: i. If an error has been made in any of the decisions, the legislation allows that error to be corrected under a slip rule; ii. Application of the slip rule should result in that particular decision being reissued; r) dealing with Judicial Reviews: i. Any decision of the Adjudicator can be reviewed in the High Court through the Judicial Review (JR) procedure. ii. It must be possible to identify a JR case within the CMS s) archiving case files and establishing the record in the Statutory Register (see below); t) providing a search facility to allow users to search for cases using defined criteria; u) enabling separate grounds of appeal for different PCNs within one case; v) enabling an on-screen audit trail for all cases, which identifies the Users who have made changes; w) enabling the ability to work on more than one appeal at the same time; 29

30 x) providing access to precedents, statutes and a what to do if help system during adjudication; y) providing access to standard reasons for decision text during adjudication; z) diary cases for action; aa) bb) cc) dd) facilitating remote adjudication on both postal and personal appeals; facilitating telephone hearings within the System. i.e. how they are scheduled, allocated etc.; providing access to voice recognition software used for report writing etc.; dealing with complaints - complaints (rather than applications for review) should NOT be dealt with on the case to which a complaint relates. It should be dealt with separately, and the System must enable a new case to record this, linked to the original case; 4.2 The Service Provider shall also ensure that: a) all documents, records and correspondence supplied by any party to the appeal are captured by the System and held in a form suitable for rapid retrieval and inspection by Adjudicators; b) appeal forms, evidence and all other case related documentation can be received and despatched in either electronic (including via the internet) or hard copy format. The EAs and appellants shall be able to upload evidence directly onto an existing case file without requiring the Service Provider s intervention. This facility should be available 24 hours a day, 7 days a week, excluding agreed downtime for maintenance and available to both the EAs and appellants; c) unscannable evidence including, but not limited to, CDs, DVDs and USBs containing audio/visual recordings and maps, to be available to the Adjudicator; d) all case related documents, records and correspondence should be referenced and held within a common index on the system; e) all the items identified in c) above are made available to the Adjudicators at a suitable time and where possible in an electronic form; f) the System provides acceptable safeguards against loss, theft of data, damage or corruption for all the items identified above; g) adjudicators are able to update the case file in real time; h) case file updates are subject to validation; i) all case file data incorrectly input by the Service Provider which requires correction by Adjudicators to be detailed and logged as an error; 30

31 j) the System facilitates recording of separate grounds of appeal for different PCNs within one case; k) the System provides an on-screen audit trail for all actions taken on a case, detailing the User involved; l) the System facilitates working on more than one appeal and/or enquiry at the same time; m) the System facilitates propagating the same decision under the same grounds/reasons across cases; n) the System facilitates linking cases relating to the same Appellant and/or vehicle automatically or manually; o) the System facilitates grouping cases together manually; p) the System facilitates a portfolio of standard texts for reasons, references to be used in decisions, alongside bespoke text for the appeal in question; q) the System provides word processing functionality during adjudication and all work undertaken on the system by London Councils staff and/or the adjudicators (e.g. to enable editing, formatting, autocorrect etc., when setting out reasons for the appeal decision) which matches that of the best industry standards; r) the System allows the Adjudicators to modify any element of the standard appeal decision letter for non-standard cases; s) the System allows the Adjudicator to specify grounds of appeal at the time of their decision and for this ground of appeal to be recorded as a searchable field within the database; t) the System allows the Adjudicator the ability to change decisions on or adjourn a case within an agreed time frame; u) the System allows authorised staff the ability to correct case details on decided cases after the period agreed in t) above; v) the System allows authorised staff the ability to cancel/change/undo any administrative action within an agreed time frame; w) various functions and roles within the System shall be accessed by different classes of User, as not every User should have access to all functions. This should be set up as defined by London Councils but be capable of being varied as necessary; x) correspondence that requires attention by London Councils staff or Adjudicators to be notified or highlighted to those individuals, or group of individuals in a manageable form, such as a workflow queue; 4.3 The Service Provider shall provide the following: 31

32 a) the facility to manage within the appeal case file applications from any party to the appeal for adjournments, costs and reviews of Adjudicators decisions; b) a secure notepad facility for miscellaneous comments on the case file, each case should have its own notepad which acts as an audit trail to records all of the actions that have taken place on that case or its group/linked cases (if it is grouped/linked) as well as providing somewhere that an Adjudicator/Assessor or a member of the LC staff can make notes in relation to the case; c) access to precedents, statutes and a what to do if help system during on line adjudication; d) an automatic notification to EAs of correspondence received prior to a decision being made on the case and recording of such notification in the case file; e) a system for managing non-appeal related correspondence; f) automatic scheduling of Adjudicator sittings; g) automatic assignment of cases to Adjudicators; h) the facility for the Chief Adjudicators or their designated representative to assign cases to Adjudicators; i) automatic notification to Adjudicators and administration staff of assigned cases; j) access to agreed types of evidence online e.g. CCTV and Map based Traffic Management Orders from EA websites; k) standard daily, weekly, monthly and annual statistical reports on data within this section, the format to be agreed between London Councils and the Service Provider prior to contract commencement; l) a facility/software for London Councils staff to create and run reports on any data captured in this section. 5. Communications, Notices and Correspondence 5.1 The Service Provider shall provide facilities for PATAS to communicate with the EAs and appellants and to capture onto the System and manage a large volume of correspondence, both incoming and outgoing. An indication of current volumes can be found in Appendix A. 5.2 The Service Provider shall be responsible for the following: a) establishing routes for data/correspondence to come in (post, , telephone, website); 32

33 b) correctly identifying what type of data/correspondence it is (e.g. Notice of Appeal, evidence from EA, evidence from appellant, case related correspondence, non-appeal/non-case related correspondence); c) filing data/correspondence appropriately and cross-referencing to other documentation as appropriate; d) automatic sending of an acknowledgement for all electronic correspondence; e) setting up a case file from a Notice of Appeal or statutory declaration; f) ensuring evidence from both parties is attached to the right case; g) forwarding Notices of Appeal and appellant s evidence to EAs; h) forwarding correspondence according to business rules agreed with London Councils; i) checking back if the type of data is unclear; j) preparing and distributing outgoing correspondence and reports emanating from the system, whether electronically or in paper form; k) ensuring that standard letters are made editable by authorised users; l) providing secure storage for physical correspondence for two months; m) providing secure storage at the Authorities premises for unscannable evidence with auditable systems for logging in and logging out whilst the case is live and secure off-site storage for unscannable evidence for a period of six months once a case has been decided. n) dealing with other correspondence - it should be possible to use the System to respond to any other correspondence that does not fall into any of the defined categories in paragraph 4.1 above, or re-categorise any piece of correspondence as any other type of correspondence, as required. o) maximising the use of the Internet for information provision and flow, utilising the current website maintained for PATAS by London Councils, The Service Provider shall develop within the System a facility to send and receive all communication, notices and correspondence electronically via the internet where possible. This correspondence management facility must be a component of or integrated with the CMS and include a clear history audit trail for receipt and despatch of all communication, notices and correspondence. In the case of EAs, the Service Provider shall ensure that ALL communications, notices and correspondence from London Councils to EAs will be electronic from the Service commencement date (i.e. 3 July 2015). 33

34 5.4 The Service Provider shall work with the EAs and London Councils to ensure that within six (6) months of the service commencement date ALL communications, notices and correspondence from EAs to London Councils shall be transferred electronically via the internet, utilising the PATAS website where possible. 5.5 For Appellants, the Service Provider shall provide a method for appeals to be submitted online from the Service commencement date (i.e. 3 July 2015), via the internet, utilising the current PATAS website where possible. 5.6 The on-line appeal form and process must be designed to restrict appeals to valid appeals as defined by the relevant legislation and London Councils which could be by way of a verification code provided by the EAs. The capture and verification/validation of all Appellant data must be compliant with data protection legislation requirements. 5.7 The correspondence production system shall be capable of modification and extension to other parts of London Councils or to interface with London Councils general office automation requirement 5.8 Non-standard letters shall be prepared by London Councils staff and Adjudicators. 5.9 The Service Provider shall be responsible for the distribution of all management information reports to agreed recipients both within and outside PATAS as defined in Appendix F The Service Provider shall provide post-room facilities including post opening, sorting, distribution to the correct or most suitable recipient, despatch of letters and the distribution of reports both internally and to EAs using London Councils franking facilities. Should London Councils franking facilities not be available the Service Provider will seek alternative facilities, subject to London Councils meeting the cost of such facilities; 5.11 The Service Provider shall arrange for the collection and delivery of post from the premises of both London Councils and the Service Provider. 6. The Statutory Register 6.1 The Statutory Register is a public record of all of the Adjudicators' decisions in each case. The Register is required by legislation. The Service Provider shall: a) provide the facility within the System to continue the provision and maintenance of the Statutory Register archive which sets out the outcome of appeals and statutory declarations/witness statements. For each individual case, the Statutory Register must include the general details of the appeal together with a record of any and all decisions on that case including any reviews, cost decisions and statutory declarations/witness statements. An entry from the current statutory register is provided in Appendix B to show how the general fields are currently displayed; 34

35 b) ensure the Register can be readily searched using any combination of the general details outlined in a) above; c) maintain full and practicable record of all cases since the inception of the tribunal; d) provide a publicly available Statutory Register via the internet with the functionality to print an entry from the register in a format agreed by London Councils; e) ensure that the case files that update the Statutory Register should provide rule-based validation facilities to ensure that entries made in the register are valid; f) ensure that public access to the Statutory Register is available 24 hours a day, 7 days a week, excluding agreed down-time for maintenance. g) ensure that existing Statutory Register entries are accessible within any new application created; h) enable any party to an appeal to track the progress of that appeal 7. Hearing Management System 7.1 The Service Provider shall provide a management/appointment facility within the System for the Hearing Centre which automatically schedules personal and postal hearings to the earliest available date, matching appellant preferences to adjudicator availability in accordance with the business rules and which allows for scheduling to be controlled and monitored in an efficient and effective way. 7.2 As a minimum, the System shall have the facility to: a) set future hearing sessions comprising a variable number of slots to meet demand or Adjudicator availability or the type of case. Also each day of the week has a different number of slots starting/ending at different times; b) set exception dates for holidays and closures.; c) provide an audit record for changes to a) and b) above d) reschedule hearings; e) group batches of cases to allow them to be scheduled for specific time periods; f) group batches of personal hearings or postal decisions by any searchable criteria and allow them to be scheduled and allocated to a specific Adjudicator for particular time periods; g) adjourn hearings and to specify the date and Adjudicator for the new hearing; 35

36 h) alert administrative staff to cases which, for example, relate to the same appellant so that they can be scheduled together if required. i) allow an Adjudicator to consolidate cases relating to the same appellant or issue; j) adjourn to a date to be fixed for individual cases or groups of cases; k) transfer cases between personal and postal without adjournment if necessary; l) allow no shows to be grouped and rescheduled as either personal or postal decisions; m) schedule Adjudicator sittings; n) produce reports on any of the above - reports should be produced for Hearing Centre management to assist in scheduling cases and allocation of staff resources. 7.3 The System shall be integrated with the other components of the CMS to make available to the Adjudicators and the London Councils staff all of the information necessary to enable them to carry out their function. 8. Administration of Adjudicator Sittings 8.1 The System shall enable the booking of Adjudicator sittings, and notification of booked sittings to the Adjudicators in question. 8.2 It shall also record time logged into the System for both London Councils staff and Adjudicators. It will provide secure monthly reports of those times for staff flexitime recording purposes, and for Adjudicator claims. 8.3 The System shall record the time spent by an Adjudicator dealing with a case. This shall not be confined to deciding a case, but should include other work done by Adjudicators outside of actually hearing the case (e.g considering the merits of review and cost application) and administrative work on a case carried out by Adjudicators. 8.4 The System shall record the time the User has the case open. A monthly timespent report shall be provided to individuals defined by London Councils together with daily reports and monthly summary reports for both Adjudicators dealing with this type of case administration and the staff of London Councils 8.5 Monthly claim forms shall be produced electronically for Adjudicators in a form with sufficient controls to prevent intentional or unintentional manipulation of the standing data along with access controls to satisfy the requirements of the London Councils Finance Director and auditors. 9. Hearing Centre Support 36

37 9.1 The Service Provider shall provide a reception and security service for the Hearing Centre and the PATAS Premises more generally. This shall comprise the following principal services: a) provision of general information to appellants, witnesses and members of the general public; b) check-in and management of parties to cases, witnesses and members of the public in the hearing centre before and after hearings; c) issuing decision letters for personal hearings including the option for the appellant to collect decisions at reception or for it to be included in the batch run to be dispatched to the appellant at a later date; d) assistance to adjudicators in minor administrative functions relating to appeals, including (but not limited to) providing, on request, unscannable evidence for consideration by the adjudicators; e) provision of security staff during the hours that the hearing centre is open to the public; f) production of door access cards for staff and visitors using the equipment supplied by London Councils for this purpose 9.2 The Service Provider shall also provide and maintain the following: a) facilities to monitor (for security purposes) and audio digitally record all personal hearings; b) facilities to monitor, via CCTV, the communal areas at the Authorities premises (for security purposes); c) facilities to control and monitor access to London Councils Premises (using door access software)facilities to support the giving of evidence in different formats including digital; d) a system for Adjudicators to notify reception remotely of their availability for a personal hearing; e) properly licensed staff holding a front line licence from the Security Industry Authority and suitably trained to provide the security function at the hearing centre (as evidenced by NVQ National Vocational Qualification; SITO Security Industry Training Organisation; City and Guilds S.I. Associated Licence); f) sufficient suitably trained staff (possibly those who provide the security function) to perform the necessary first aid/fire monitor functions for a busy hearing centre; g) sufficient suitably trained staff to provide CMS IT support to the Adjudicators, London Councils staff and Contracted staff at the hearing centre and to meet the Service Levels defined in section 14 and Appendix D; 37

38 h) a dedicated telephone number (to be agreed with London Councils prior to the service commencement date) for the hearing centre; i) an emergency panic alarm system for Adjudicators. A contract schedule of the procedure for responding when the panic alarm is activated will be agreed with London Councils prior to the commencement of the service The Service Provider may utilise the current CCTV and panic alarm hardware and software 9.4 The Service Provider shall comply with all reasonable requests from London Councils staff and Adjudicators for information and action required to expedite the adjudication process. 9.5 The Service Provider shall staff the Hearing Centre to: a) provide general information to appellants, witnesses and members of the general public; b) assist the adjudicators in minor administrative functions and c) facilitate personal hearings During PATAS Core Hours. 9.6 The Service Provider shall provide the System in accordance with the Service Levels during PATAS Core Hours and outside PATAS Core Hours (NB. The current Hearing Centre opening hours are shown in Appendix C, but these times may occasionally be varied at reasonable notice to suit London Councils business requirements). 10. Responding to Telephone Enquiries 10.1 The Service Provider shall provide an appropriate 0300 telephone number for the Enquiry Service. This number shall be at a minimum cost to callers located anywhere in the UK and the number and any associated charges/costs must be agreed with London Councils prior to operational use by the Service Provider The telephone enquiry service shall operate according to detailed business rules to be defined by London Councils and the Chief Adjudicator prior to the commencement of the service The Service Provider shall be responsible for handling non-complex PATAS telephone enquiries and for providing case status information. They shall also be responsible for ensuring that complex enquiries are routed efficiently to the member of London Councils staff who is best placed to deal with the enquiry The Enquiry Service shall be available during PATAS Core Hours with longer hours to mirror any variation in the Hearing Centre opening hours agreed under section 9.6 above Any calls recorded shall be held in such a way that they are easily retrievable for use in dealing with complaints, enquiries, and evidence. The Service 38

39 Provider shall provide the facility for specified Authority staff to monitor and play back all calls made to the Enquiry Centre Enquiries and case status help shall be available on-line through the internet as well as by telephone The Service Provider shall utilise an Interactive Voice Response (IVR) as appropriate to direct callers to the most appropriate source of information i.e. Website, statutory register, EA etc as agreed with London Councils in advance of the service commencement date The telephone enquiry service shall be located within the EU The Service Provider shall provide a facility for callers to the Enquiry Centre to leave feedback on their call. 11. Management Information and Reporting 11.1 Management information to support the monitoring and achievement of the Service Levels, as documented in the Service Level Agreement (SLA) in place between London Councils and the Service Provider, shall be produced on a monthly basis, the format of which is to be agreed between London Councils and the Service Provider and may be varied from time to time as agreed. This information shall be presented to London Councils at a monthly Service Meeting The Service Provider shall provide training for London Councils staff prior to the start of the contract and as and when required to enable them to carry out their own ad-hoc enquiries on all databases and produce reports thereon Training for the Users identified in 11.2 shall be funded by the Service Provider and provided at London Councils premises A list of the reports that are required to be produced by the Service Provider from the data held in the CMS is shown at Appendix F It should be possible to run searches/reports on the data held in the CMS to assist with case management. 12. System Design, Development and Implementation 12.1 An important aspect of this and any project is the ability of the Service Provider to successfully design, develop and implement a replacement System. a) The Service Provider must submit in its response to the ITT a detailed project plan, outlining the timetable and key tasks for the development and implementation of their PATAS CMS solution. The Service Provider must also provide a Product Flow Diagram and Outline GANTT chart detailing the following i. The products and their inter dependencies ii. The Service Provider s resource requirements and allocations 39

40 iii. iv. The Authority s resource requirements and allocations A timetable for delivery b) The Service Provider must use, and be able to demonstrate that it has in place, and works to, a formal Project Management Method (e.g. PRINCE2). c) At all stages in the development and implementation of the PATAS CMS, the Service Provider must provide a single point of contact (Service Provider Project Manager or similar title) to be responsible for the provision of services under any agreement, and to work alongside the Department s own Project Manager. d) The Service Provider Project Manager must provide evidence of their personal experience of the project management and successful implementation of projects of similar nature, scale and complexity. e) The Service Provider must propose a systems development methodology that provides design documentation at key milestones so that the development process can be checkpointed by the Authority and set out in the Project Plan the dates at which this documentation is to be provided to the Authority for sign-off, prior to approval for the Service Provider to progress to the next stage of the development and implementation process.. f) The Service Provider must ensure that the solution is capable of being fully implemented within a maximum 6 months from award of contract and must show in their implementation strategy how they will meet this requirement. g) In their implementation strategy the Service Provider must state how it will monitor and control the delivery of their proposed solution, while maintaining the current levels of service and systems integrity during implementation and cutover. h) The Service Provider must state how it will approach the design and implementation of new business processes for the Appeals Services and any other key stakeholder affected by their proposed solution. i) The Service Provider must provide a Business Change Management Plan in their Tender response which must outline the Business Change Management that will be provided and implemented by the Service Provider during the implementation of the System. j) The Service Provider must implement a training programme for PATAS/Appeals Service personnel & LC staff, covering both the implementation of the System and on-going training for the duration of the contract. The Service Provider must state how the programme will be implemented and what it will include. 13. Technical Support Requirements 40

41 13.1 The Service Provider shall provide, operate and maintain in good working order the required hardware, software and wide/local area network capabilities at the PATAS Premises to access the System and support the Services identified in this specification, that meets the service levels of outlined in Appendix D and complies within ITIL good practice. In particular, the Service Provider shall provide: a) the Servers required to support the Service; b) the workstations required by the Adjudicators and Assessors at London Councils Premises and key London Councils staff, as set out at paragraph 13.2 below; c) the workstations required by its staff at the Service Provider s Premises (and for Service Provider s staff located on the PATAS Premises); d) hardware and software to operate the telephony requirements; e) audio recording equipment to monitor and play back all calls; f) scanning and printing facilities required at the Service Provider s Premises to support the Service; g) printing facilities for Reception and other Service Provider staff at the PATAS Premises to support the Service; h) hardware and software to operate the CCTV equipment at the Service Provider s Premises (see Note 1 below); i) hardware and software to operate the emergency panic alarm system at the Service Provider s premises (see Note 1 below); j) hardware and software to produce security access cards (see Note 1 below). k) Note 1: The Service Provider may utilise the current CCTV, access card production and panic alarm hardware and software in place at the Authorities premises. (see Facilities technical specifications where available as supplied in Appendix E) 13.2 The Service Provider shall provide, operate and maintain in good working order the required ICT User Access Devices (UAD) and related hardware and software at the PATAS Premises, as listed in Appendix G, such that they shall support the Adjudicators and Assessors and the nominated London Councils staff in accessing the System and receiving the Services provided under this Lot 1 and Lot The Service Provider shall provide, operate and maintain in good working order the required software to support the Adjudicators and Assessors and the nominated London Councils staff in their general duties. This shall include: 41

42 a) Access to and use of the Systems utilised by PATAS and the other appeals services provided under Lots 1 and 5; b) Access to and use of all the Operational service applications; c) Access to and use of management reports and reporting tools; d) Access to and use of Office Automation systems; e) Access to and use of the Internet; f) Access to and use of the London Councils own Intranet and HR services; g) Access to and use of the software to access call recordings made under Lots 1 and The Service Provider shall ensure that the Adjudicators and Assessors and the nominated London Councils staff have access to the facility to log into the System remotely and securely 24 hours a day, 7 days a week The Service Provider shall ensure that all Users of the System shall use the PATAS address format The Service Provider shall provide secure mobile UAD to allow key staff (currently 2 Chief Adjudicators [PATAS and RUCAT], 1 Lead Adjudicator [POPLA], 1 Tribunal Manager and 1 Contracts Manager) to access and use the System and the Services when working remotely The Service Provider shall maintain an up to date and accurate asset register of all Lot 1 and 5 ICT equipment which shall be available for inspection In particular to telephone calls, the Service Provider shall be responsible for providing a suitable telephone call management system and service between agreed hours capable of: a) handling incoming and outgoing calls; b) identifying separate call streams; c) holding calls in queues and answering queued callers in turn; d) allocating calls to staff; e) effective call routing to London Councils staff; f) giving recorded information to callers who are being queued; g) voice recording all enquiries, logging each call and retaining the recording and log for a period of not less than three Months; measuring performance against the Service Levels, including the measurement of calls which result in a substantive response the first time; 42

43 h) providing Minicom or other suitable facilities/service to enable people with hearing or speech disabilities as well as other disabilities to use the service in accordance with accessibility requirements as set out in the Disability Discrimination Act The Service Provider shall provide and maintain consumables, such as stationary, for the Service Provider s staff irrespective of location The Service Provider shall maintain and support any application software provided, which includes the correction of errors, training and advice to Users on its use, and the provision of agreed amendments to User functions Application Software, Licenses and Ownership a) Unless agreed otherwise, where software is developed to provide the Services or part thereof under this Agreement, ownership shall rest with London Councils. London Councils may be prepared to negotiate with the Service Provider on the issue of marketing rights to the software in which it owns the Intellectual Property Rights, but will expect full recognition of the intellectual rights invested by London Councils and the authorities in this development by virtue of this procurement. b) For bespoke software, the licenses shall continue in perpetuity. c) Where licences are for commercial off-the-shelf software application solutions, the licence ownership of these will rest with the Service Provider and regular updating etc. will be undertaken by the Service Provider Data Security a) The Service Provider shall be responsible for security of the data and the Service Provider will be held totally accountable for the security of data held in the central systems. b) The software supplied under this Agreement shall protect data and software from unauthorised access, and attempts to breach security protection will be investigated and reported to London Councils. The procedures will involve the Service Provider taking an active part in promoting the concepts of data security, and encouraging Users to be aware of the potential dangers of security breaches. c) Every transaction on the System shall be capable of being logged in a file which would be available for subsequent audit and examination. d) The System shall include a virus checker facility that will scan portable media such as USB flash-drives and CDs provided by Appellants either before or during hearings, so that they can be checked and be determined as being free from viruses so that the evidence can be reviewed by the Adjudicator/Assessor as soon as possible. e) The Service Provider shall observe their obligations set out in the Data Protection Act and Data Security Legislation, as applicable to the delivery of the Services. 43

44 f) The Service Provider shall, in relation to Personal Data forming part of the Authority Data Processed by the Service Provider under this Agreement: i. not Process (including, but not limited to, obtaining, retaining, disclosing or transferring) any such Personal Data, other than in accordance with the performance of its obligations under this Agreement in relation to the Services; ii. iii. in accordance with the relevant sections of the DPA, apply appropriate technical and security measures to protect any such Personal Data against unauthorised or unlawful Processing (including any such obtaining, retaining, disclosing or transferring) and against accidental loss, destruction or damage; and should it be required, provide reasonable evidence that it has taken steps to comply with sub-section (b) above and allow the Authority access to the specific documentation and/or The Service Provider s premises, on seven (7) days notice, for this purpose. Such inspection shall not relieve The Service Provider of any of its obligations under this Agreement, the Data Protection Act and Data Security Legislation or other applicable data protection law. g) The Service Provider shall guarantee to the Authority, not to store or Process Personal Data for the purpose of performing the Service Provider's obligations under the Agreement at sites outside of the European Economic Area (EEA). Failure by The Service Provider to comply with this requirement may constitute a material breach of contract, incapable by its nature of remedy, entitling the Authority to terminate the Agreement under the provisions of the relevant section of SECTION E: CONTRACT, forthwith on service of prior written notice Data Recovery a) All data held on the System shall, in the event of system failure, be capable of being fully restored within the timescales agreed in London Councils and the Service Provider s shared contingency plans, with any loss of data not exceeding one Working Day Disaster Recovery a) The Service Provider shall have in place a detailed and robust disaster recovery plan that takes into account all aspects of London Councils needs to maintain the PATAS service in the event of an unexpected interruption, including access to the System and accommodation needs, and which shall be agreed with London Councils. b) The disaster recovery plan shall be provided within 1 month of the contract start and updated annually or whenever changes to the system are made (whichever is soonest) with input from London Councils. 44

45 13.10 System Back-up a) The Service Provider shall provide whatever back-up and contingency facilities are required to meet the data availability and performance requirements of London Councils as agreed between London Councils and the Service Provider Data Protection a) The Service Provider may be requested by London Councils to deal with the Information Commissioner, and to accept liability for the access control and the System. b) The Service Provider shall observe their obligations set out in the Data Protection Act and Data Security Legislation, as applicable to the delivery of the Services Software Piracy a) The Service Provider shall put in place safeguards to prevent unauthorised copying to or from the System of any software Confidentiality a) The data held and processed by London Councils includes sensitive information. Any breach or anticipated breach of London Councils' and EAs' confidences in this respect which is directly attributable to the Service Provider's staff or sub-contractors shall be considered a serious breach of contract, and may be grounds for contract termination. b) The Service Provider shall ensure that access to data held within the Systems provided by or in connection with the Services required by London Councils is restricted to those Users so authorised. 14. System Availability, Maintenance and Support 14.1 The Service Provider shall provide fully supported access to the System for Users during 100% of PATAS Core Hours and 95% of the time outside core hours The Service Provider shall diagnose and maintain control of the resolution of all Incidents (and by third parties as appropriate) for the System, including installation, fault finding, repair, patching and upgrading, fixes and workarounds as appropriate, in accordance with the Service Levels set out at Appendix D The smooth running of personal hearings is of prime importance and all CMS faults, fixes, upgrades and other related incidents and problems must be dealt with in the way least likely to interfere with the smooth running of the Hearing Centre but not to the detriment of the Services as a whole. Where the incident impacts the ability for a personal hearing to take place, a working fix should be in place within 15 minutes and 16 hours to close. 45

46 14.4 The Service Provider shall liaise with any 3 rd party supplier of the software to resolve all incidents and problems The Service Provider shall support all peripheral devices for the delivery of the Services The Service Provider shall arrange the storage of master copies of all media such as installation discs, installation guides, related to these applications and operating systems 15 CMS IT Help Desk First, Second and Third Line Support The Service Provider shall provide initial first line support as part of a single point of contact IT Help Desk, provide assistance and carry out resolution of all Incidents for the System and all peripheral devices and thereafter if not resolved the Service Provider shall provide a resource to visit the user at the desk to resolve the Incident within the timeframes and service levels within 14.2 and (NB The Service Provider should note that the provision of the Lots 1 & 5 IT Help Desk will require liaison and co-operation with the Service Providers (if different) of the Lot 2 and Lot 3 IT Helpdesks) 15.2 The Service Provider shall provide a IT Help Desk and call logging facility during PATAS Core Hours The Service Provider shall ensure that each Incident or Service Request is logged and assigned a unique reference number and recorded on a service management / call logging system The Service Provider shall ensure that all incidents are resolved in accordance with the agreed service levels outlined in 14.2 above The IT Help Desk shall monitor the progress of all fault or enquiry calls to ensure that they are resolved within the Service Levels set out at Appendix D Feedback shall be provided to the originating user for every call The Service Provider shall diagnose and maintain control of the resolution of all Incidents and Problems (including those owned by third parties as appropriate to ITIL best practises) The Service Provider shall manage the maintenance of the System supporting server, network connectivity and mobile equipment and manage the lifecycle of all equipment with suitable replacements as required to enable the System to meet the Service Levels set out at Appendix D For High priority faults (Priority 1 to 2) the IT Help Desk shall: a) inform London Councils when the fault is confirmed of the actions being taken to correct it and the time at which the service is expected to be restored; b) update London Councils on the status of the fault and of actions being taken hourly until the full service is restored; and c) update London Councils daily on the status of the fault and of actions being taken until the full service is restored For Low priority faults (Priority 3 to 4) the IT Help Desk shall: 46

47 d) inform the user that reported the fault of the actions being taken to rectify the fault and the time at which the service is expected to be restored; e) inform the user and London Councils of the situation and the actions being taken if the service is not restored within the maximum time allowed; and f) update London Councils daily on the status of the fault and of actions being taken until the full service is restored For faults that impact a personal hearing the IT Help Desk shall: a) inform the user that reported the fault of the actions being taken to rectify the fault and the time at which the service is expected to be restored; b) inform the user and London Councils of the situation and the actions being taken if the service is not restored within the maximum time allowed; and c) update London Councils half hourly on the status of the fault and of actions being taken until the full service is restored The call log must provide sufficient information to allow: a) Accurate monthly reporting of service performance for all of the services provided; and b) Effective fault analysis and identification of actions to reduce occurrence or impact of faults Authorised Authority staff shall be provided with read access to the Service Provider Help Desk call logging system Authorised Authority users shall be provided with access to a self-service, web-based IT Help Desk system that provides, as a minimum, the capability to: a) Log all faults; b) Track an on-going fault; c) Report an on-going fault as resolved; d) View resolved faults All usage of the web-based CMS IT Help Desk facility shall be logged and provided for audit purposes when required. 16 Archiving and Deletion 16.2 The security strategy shall incorporate the need to archive data for storage and possible retrieval. An archive facility is therefore required 16.3 Any access to the archive will be supported by the Service Provider, who shall ensure that suitable procedures are in place to meet the operational needs for archive access The Service Provider shall be responsible for the security of the data in all of the databases and systems. A schedule for archiving data shall be established and agreed between London Councils and the Service Provider within 1 month of the contract start Security of data shall include taking security copies of the required files, maintaining a security methodology and the use of off-site storage Archived records shall be indexed 47

48 16.7 The Service Provider is also responsible for archiving data held by London Councils and their current Contractors and enabling access to that data. This extends to data already archived by London Councils and its contactors The security strategy will also incorporate the need to delete both physical and electronic correspondence/data. A schedule for deleting general correspondence/data will be established and agreed between London Councils and the Service Provider Physical appeal related correspondence shall be deleted two months after it has been scanned to the appropriate case file Electronic appeal related data, shall be deleted six months after a case has been decided, though the information required in section 6 should be retained in that format. 17 Possible Future Business Requirements 17.2 The Service Provider shall be proactive in developing and implementing improvements in the Parking and Traffic Appeals service and the systems that support it Notwithstanding the above, the System shall incorporate all known types of appeals to be considered by the Adjudicators and Assessors irrespective of whether they are dealt with on the currently or not In addition, it may be necessary to incorporate into the System any additional types of appeal that the PATAS Adjudicators take on. 48

49 APPENDICES to Lot 1 Specification Appendix A Indicative Appeals and Other Transaction volumes Appendix B - Extract from the current Statutory Register Appendix C Hearing Centre hours Appendix D Service Levels Appendix E Facilities Technical Specifications Appendix F - Reports Appendix G User Access Devices 49

50 Lot 1 Appendix A. PATAS indicative transaction volumes estimated values for information only based on historic data (where available) for Lot 1 5 Appeal Type Category Total Documents scanned (estimates) ,000 Notice of Appeals Received 48,277 51,484 57,851 68,090 50,185 51,773 53,261 46,202 Parking Statutory Declarations/Witness Statements received 2,863 2,574 3,007 4,692 6,796 8,760 11,801 10,377 Notice of Appeals Received 2,774 1,965 1,246 1,313 1,443 1,396 1,609 2,460 Bus Lanes Statutory Declarations/Witness Statements received Notice of Appeals Received 1,610 3,521 4,928 7,018 5,259 6,934 6,687 6,570 Moving Traffic Statutory Declarations/Witness Statements received , Notice of Appeals Received Lorry Ban Statutory Declarations/Witness Statements received All Notice of Appeals Received 52,661 57,040 64,072 76,476 56,985 60,213 61,625 55,296 All Statutory Declarations/Witness Statements received 3,263 3,142 3,272 5,198 7,469 9,477 13,011 11,514 Other items of EA evidence received (excluding statutory declarations) Items of case correspondence received: (of which review applications) 1,968 1,444 1,506 1,730 1,797 2,552 2,575 2,210 (of which cost applications) Cases not contested (i.e. Minimal evidence/correspondence) 12,905 19,991 24,075 31,276 20,467 14,751 14,027 11,538 Decisions issued 54,649 62,791 58,985 70,746 61,079 69,240 64,956 55,828 Items of non-case correspondence ,051 1,500 2,400 Enquiry Centre Telephone Calls received 60,000 54,338 53,780 53,000 56,000 Hearing Centre Personal Hearings scheduled 19,369 28,852 22,952 21,327 24,157 19,673 IT Support Calls logged 1,250 No. related to case management/adjudication systems or software 1,000 5 As stated, this data is provided for information only and London Councils provides no guarantee that future volumes will continue at historic levels. Where information has not been provided, data is not available. 50

51 Lot 1 Appendix B - Extract from the current Statutory Register Extract from the current Statutory Register.pdf 51

52 Lot 1 Appendix C PATAS Opening Hours For reference, the Current Hearing Centre opening hours for personal hearings are: Day Current Personals Hours Monday 08:00-17:00 9 Tuesday 10:00-17:00 7 Wednesday 09:00-13:00 4 Thursday 10:00-19: Friday 10:00-13:00 3 Saturday 09:00-14:00 5 Sunday closed The service provider should note that these hours can be varied to accommodate fluctuating workloads and that the hours listed denote the times at which hearings are held i.e. do not take account of time require to prepare the rooms or allow access to the reception prior to hearings for appellants. 52

53 Lot 1 Appendix D Service Levels See SECTION F. SERVICE LEVELS AND SERVICE CREDITS 53

54 Lot 1 Appendix F Reports See SECTION G: REPORTS FROM SERVICE PROVIDER 54

55 Lot 1 Appendix G User Access Devices - PATAS/POPLA/RUCTA Users (Lots 1 and 5) 13 Adjudication Rooms requiring access to the CMS 1 Parking Chief Adjudicator access to CMS and London Councils IT Systems and HR applications 1 RUC Chief Adjudicator access to CMS and London Councils IT Systems and HR applications 1 POPLA Lead Adjudicator access to CMS London Councils IT Systems and HR applications 1 Tribunal Manager access to CMS, plus London Councils IT Systems and HR applications 1 Contracts Manager access to CMS plus London Councils IT Systems and HR applications NB access to the CMS will also be required by Lot 2 and Lot 3 Users. 55

56 LOT 2 SPECIFICATION: Managed ICT Services for PATAS and the other appeal services (Lots 1 and 5) 1. The System 1.1 The London Councils requirements for ICT support for the PATAS ICT Infrastructure and telephony provision, management and support for the London Councils and Service Provider staff located at the PATAS Premises (i.e. the London Councils offices at 2 Angel Square London EC1V 1NY for this definition and those of the other defined terms used in this Lot 2 Specification, the Tenderer should refer to the table of defined terms in the ITT at section B), falls into the following categories of service to provide a range of business systems and applications that can be used to support access to the System and Services as defined in Lots 1 and 5, either deployed locally or via the Internet: a) Productivity applications that include word processing, presentation and spread sheet facilities; b) Flexibility in day to day work activities including communication ( , telephony and mobile technologies), enquiry and information processing; c) Information management and secure handling of all its data either locally or via the Cloud d) Migration of existing or legacy systems and data where necessary. 2. General Business Support Scope of Services to be provided by the Service Provider 2.1 The Service Provider shall meet the requirements described in this specification and shall provide the Services for the duration of the Agreement. 2.2 The Service Provider shall be proactive in developing and implementing improvements in the service and the systems that support it. The timescales for such improvements will be mutually agreed with the Service Provider. 3. The ICT and Telephony System: General Principles 3.1 The Service Provider shall provide the PATAS ICT Infrastructure and be responsible for access via this equipment to the System and Services provided by the Service Provider providing the System and Services under Lots 1 and 5 and shall incur the costs of maintaining this access. 3.2 During the course of the agreement, the enhancement of Services or the introduction of additional Services may require modifications to the PATAS ICT Infrastructure. These shall be managed through the Change Control Procedures. 3.3 The Service Provider shall operate and maintain in good working order the audio and video facilities for the giving of evidence. Such evidence includes DVDs, CDs and memory storage devices such as USBs. The 56

57 Service Provider shall also replace such equipment as and when required. 4. IT, communications and telephony System: General Requirements 4.1 The PATAS ICT Infrastructure shall include all hardware, software and network components installed at the PATAS Premises, including network links to the London Councils Premises, OTHER than those hardware, software and network components that are defined as part of the System as defined in the Lot 1 Specification 4.2 The Service Provider shall operate and maintain in good working order the required PATAS ICT Infrastructure UAD, and associated hardware and software at the PATAS Premises, as listed in Appendix A, such that they shall support the London Councils staff in their general duties; 4.3 The Service Provider shall provide, operate and maintain in good working order the required software to support the work of the London Councils staff located at the PATAS Premises. This shall include: a) Access to and use of the Systems utilised by PATAS and the other appeals services provided under Lots 1 and 5; b) Access to and use of all the Operational service applications; c) Access to and use of management reports and reporting tools; d) Access to and use of Office Automation systems; e) Access to and use of the Internet; f) Access to and use of the London Councils own Intranet and HR services; g) Access to and use of the software to access call recordings made under Lots 1 and The Service Provider shall support the necessary interfaces to all printing, scanning and copying facilities provided at the PATAS Premises by London Council, and shall be required to update/change those interfaces as required. Currently this includes: a) Drivers; b) Network connections. 4.5 The Service Provider shall provide, operate and maintain local telephony within the PATAS Premises to receive and direct the London Councils calls to and from 13 Hearing Rooms, 1 Meeting Room and 28 other desktops at the London Councils Premises. 4.6 The Service Provider shall refresh the PATAS ICT Infrastructure UAD operating systems, office applications and hardware estate at least every three years during the term of the agreement. 4.7 The Service Provider shall ensure that commercial software is kept up to date with relevant security and content updates. 4.8 The Service Provider shall provide data storage for London Councils staff based at the PATAS Premises, including the storage of information 57

58 and data already held by London Councils and the existing Service Provider on London Councils behalf. 4.9 The Service Provider shall provide secure access to the Lot 1 System to allow London Councils staff to access and use the Services under Lots 1 and 5 when working on-site at the PATAS Premises or the London Councils Premises, or when working remotely The Service Provider shall provide secure access to the Lot 2 LC ICT System to allow London Councils staff located at the London Councils Premises to access and use the Services under Lots 1 and 5 when working on-site at the London Councils Premises or when working remotely The Service Provider shall maintain an up to date and accurate asset register of all PATAS ICT Infrastructure equipment which shall be available for inspection. 5. Office Automation 5.1 The Service Provider shall provide a range of business computing facilities for London Councils staff located at the PATAS Premises, comprising: a) word processing; b) electronic mail; c) diary management; d) spreadsheet facilities; e) database tools; f) presentation tools; g) document management systems; h) general internet access with security or content constraints as agreed by London Councils; However, this list should not be seen as exhaustive. 5.2 These facilities shall be available to all the London Councils and Service Provider staff based at the PATAS Premises. 5.3 For all of the items listed above, the Service Provider shall utilise the most recent version of Microsoft Office which it determines to be compatible with the PATAS ICT Infrastructure and the requirements of this Lot 2 Specification. 5.4 Various parts of the PATAS ICT Infrastructure shall be accessed by various classes of User, as not every User should have access to all parts of the PATAS IT Infrastructure. This should be set up as defined by London Councils, but be capable of being varied as necessary. Similarly, the Service Provider shall ensure that London Councils can process confidential files using stand-alone facilities (i.e. using UAD not connected to the network). 58

59 5.6 The Service Provider shall ensure that London Councils staff can log into the PATAS ICT Infrastructure remotely and securely 24 hours a day, 7 days a week. 5.7 The Service Provider shall ensure that all Users of the PATAS ICT Infrastructure shall share the common London Councils address (although Adjudicators, Assessors and London Councils staff based at the PATAS Premises will also have a PATAS address). 6. Desktop Hardware and Software 6.1 The Service Provider shall install and commission all PATAS ICT Infrastructure related hardware and/or software to be provided under this Lot 2 and ensure their operation in accordance with the Lot 2 Service Levels (see Appendix B). 6.2 The Service Provider shall diagnose and maintain control of the resolution of all Incidents (and by third parties as appropriate) for the supported PATAS ICT Infrastructure, UAD and associated software. 6.3 The Service Provider shall support and maintain all of the London Councils approved PATAS ICT Infrastructure desktop applications, including installation, fault finding, repair, patching and upgrading, fixes and workarounds as appropriate in accordance with the Lot 2 Service Levels (see Appendix B). 6.4 The Service Provider shall provide a sufficient level of skilled resource to fix all incidents in accordance with the Lot 2 Service Levels (see Appendix B). 6.5 The Service Provider shall liaise with any relevant 3 rd party supplier of the software used in the PATAS ICT Infrastructure to resolve all reported incidents and problems. 6.6 The Service Provider shall support all PATAS ICT Infrastructure peripheral devices including but not limited to its Audio Visual and display equipment, print server/driver facilities and wireless devices. 6.7 The Service Provider shall arrange access to and the storage of master copies of all media such as installation discs, installation guides, related to these applications and operating systems 7. IT Help Desk First, Second and Third Line Support 7.1 The Service Provider shall provide initial first line support as part of a single point of contact IT Help Desk, provide assistance and carry out resolution of all Incidents for all PATAS ICT Infrastructure and associated UADs and/or mobile devices, and thereafter if not resolved the Service Provider shall provide during PATAS Core Hours a resource to visit the user at the desk to resolve the Incident. Note. It should be noted by Lot 2 bidders that in the event of the supplier of the Lots 1 & 5 Services being different from the supplier of the Lot 2 Services, then the Service Provider for the Lots 1 & 5 will provide the overall SPOC IT Help 59

60 Desk, and the Service Provider for Lot 2 will provide a second-level IT Help Desk, integrated with the overall Lots 1 & 5 SPOC IT Help Desk. 7.2 The Service Provider shall provide an IT Help Desk for the PATAS ICT Infrastructure, including a call-logging facility, during PATAS Core Hours. The Hearing Centre opening hours may occasionally be varied at reasonable notice to suit the London Councils needs. The current Hearing Centre hours are shown in Appendix C. Irrespective of these hours, there must also be the ability for staff to log an incident or service request outside of these hours by telephone or on-line. 7.3 The Service Provider shall ensure that each Incident or Service Request is logged and assigned a unique reference number and recorded on a service management / call logging system. 7.4 The Service Provider shall ensure that all incidents are resolved in accordance with the agreed service levels outlined in 6.4 above and Appendix B. 7.5 The IT Help Desk shall monitor the progress of all fault or enquiry calls to ensure that they are resolved within the agreed timescales. 7.6 Feedback shall be provided to the originating user for every call. 7.7 The Service Provider shall diagnose and maintain control of the resolution of incidents and problems (including those owned by third parties as appropriate to ITIL best practises) for all supported UAD, telephony, mobiles and applications. 7.8 The Service Provider shall manage the maintenance of the supported server, network connectivity, UAD, telephony and mobile equipment and manage the lifecycle of all equipment with suitable replacements. 7.9 The Service Provider shall be responsible for issuing and configuring all London Councils approved ICT equipment (UAD, AV equipment, mobiles and desk based phones) The Service Provider shall use its best endeavours to support any required PATAS ICT Infrastructure non-standard applications with no specified service level agreement (i.e., any desktop applications which are not part of the agreed software list, but are specialist service specific pieces of software that are only used by a small number of London Councils staff within the PATAS Premises The Service Provider shall use its best endeavours to provide support to any non-standard hardware used within the PATAS ICT Infrastructure For High priority faults (Priority 1 to 2) the IT Help Desk shall: a) inform London Councils when the fault is confirmed of the actions being taken to correct it and the time at which the service is expected to be restored; 60

61 b) update London Councils on the status of the fault and of actions being taken hourly until the full service is restored; and c) update London Councils daily on the status of the fault and of actions being taken until the full service is restored For Low priority faults (Priority 3 to 4) the IT Help Desk shall: a) inform the user that reported the fault of the actions being taken to rectify the fault and the time at which the service is expected to be restored; b) inform the user and London Councils of the situation and the actions being taken if the service is not restored within the maximum; and c) update London Councils daily on the status of the fault and of actions being taken until the full service is restored For faults that impact a personal hearing the IT Help Desk shall: a) inform the user that reported the fault of the actions being taken to rectify the fault and the time at which the service is expected to be restored; b) inform the user and London Councils of the situation and the actions being taken if the service is not restored within the maximum; and c) update London Councils half hourly on the status of the fault and of actions being taken until the full service is restored The call log must provide sufficient information to allow: a) Accurate monthly reporting of service performance for all of the services provided; and b) Effective fault analysis and identification of actions to reduce occurrence or impact of faults Authorised London Councils staff shall be provided with read-only access to the Service Provider s IT Help Desk call logging system Authorised London Councils users shall be provided with access to a self-service, web-based IT Help Desk system that provides, as a minimum, the capability to: a) Log a fault; b) Track an on-going fault; c) Report an on-going fault as resolved; d) View resolved faults All usage of the web-based IT Help Desk facility shall be logged and provided for audit purposes when required The Service Provider will produce meaningful monthly Service Reports to the Authority, showing for the month under review the status of each of the Service Levels for the current and previous 2 months, setting out the Service Points for each Service Level and highlighting any Service Levels which have reached a Service Credit Threshold and/or a Termination Threshold. The Service Provider will also provide Root 61

62 Cause Analysis documentation for all Priority 1 and 2 Service Failures/Service Faults that affected the Authority during the month of review. The reporting will review the top 5 Service Failures/Service Faults and the associated action plans to conclude resolution. The monthly Service Report will also provide detailed statistics on the calls made to the IT Help Desk. There will be Service Meetings at agreed intervals between the Service Provider s Service Manager and The Authority to consider the monthly Service Report and agree any necessary remedial actions by the parties. 8 Application Support The Service Provider shall maintain and support any application software provided as part of PATAS ICT Infrastructure, which support includes the correction of errors, training and advice to Users on its use, and the provision of agreed amendments to User functions 8.1 Application Software, Licenses and Ownership Unless agreed otherwise, where software is developed to provide the Services or part thereof under this Agreement, ownership shall rest with London Councils. London Councils may be prepared to negotiate with the Service Provider on the issue of marketing rights to the software in which it owns the Intellectual Property Rights, but shall expect full recognition of the intellectual rights invested by London Council and the authorities in this development by virtue of this procurement For bespoke software, the licenses shall continue in perpetuity Where licences are for commercial off-the-shelf software application solutions, the licence ownership of these shall rest with the Service Provider and regular updating etc. shall be undertaken by the Service Provider. The Service Provider shall utilise the most recent version of software which it determines to be compatible with the ICT and Telephony System. 8.2 Data Security The Service Provider shall be responsible for security of the data and the Service Provider shall be held totally accountable for the security of data held in the PATAS ICT Infrastructure The software supplied under this Agreement shall protect data and software from unauthorised access, and attempts to breach security protection shall be investigated and reported to London Councils. The procedures shall involve the Service Provider taking an active part in promoting the concepts of data security, and encouraging Users to be aware of the potential dangers of security breaches Every transaction on the PATAS ICT Infrastructure shall be capable of being logged in a file which is available for subsequent audit and examination. 62

63 8.2.4 The Service Provider shall observe their obligations set out in the Data Protection Act and Data Security Legislation, as applicable to the delivery of the Services The Service Provider shall, in relation to Personal Data forming part of the Authority Data Processed by the Service Provider under this Agreement: a. not Process (including, but not limited to, obtaining, retaining, disclosing or transferring) any such Personal Data, other than in accordance with the performance of its obligations under this Agreement in relation to the Services; b. in accordance with the relevant sections of the DPA, apply appropriate technical and security measures to protect any such Personal Data against unauthorised or unlawful Processing (including any such obtaining, retaining, disclosing or transferring) and against accidental loss, destruction or damage; and c. should it be required, provide reasonable evidence that it has taken steps to comply with sub-section (b) above and allow the Authority access to the specific documentation and/or The Service Provider s premises, on seven (7) days notice, for this purpose. Such inspection shall not relieve The Service Provider of any of its obligations under this Agreement, the Data Protection Act and Data Security Legislation or other applicable data protection law The Service Provider shall guarantee to the Authority, not to store or Process Personal Data for the purpose of performing the Service Provider's obligations under the Agreement at sites outside of the European Economic Area (EEA). Failure by The Service Provider to comply with this requirement may constitute a material breach of contract, incapable by its nature of remedy, entitling the Authority to terminate the Agreement under the provisions of Section [no], forthwith on service of prior written notice. 8.3 Data Recovery All data held on the PATAS ICT Infrastructure shall, in the event of system failure, be able to be fully restored within one Working Day, with any loss of data not exceeding one Working Day. 8.4 Disaster Recovery The Service Provider shall have in place a detailed and robust disaster recovery plan for the PATAS ICT Infrastructure that takes into account all aspects of London Councils needs, including accommodation needs, and which shall be agreed with London Councils The disaster recovery plan shall be provided within 1 month of the contract start and updated annually or whenever changes to the PATAS ICT Infrastructure are made (whichever is soonest) with input from London Councils. 8.5 System Back-up The Service Provider shall provide whatever back-up and contingency facilities for the PATAS ICT Infrastructure are required to meet the data 63

64 availability and performance requirements of London Councils as agreed between the London Councils and the Service Provider. 8.6 Data Protection The Service Provider may be requested by London Councils to deal with the Information Commissioner, and to accept liability for the access control and the PATAS ICT Infrastructure The Service Provider shall observe their obligations set out in the Data Protection Act and Data Security Legislation, as applicable to the delivery of the Services. 8.7 Software Piracy The Service Provider shall put in place safeguards to prevent unauthorised software copying to or from the PATAS ICT Infrastructure. 8.8 Confidentiality The data held and processed by London Councils via the PATAS ICT Infrastructure includes sensitive information. Any breach or anticipated breach of London Councils and enforcement authorities confidences in this respect which is directly attributable to the Service Provider's staff or sub-service Providers shall be considered a serious breach of contract, and may be grounds for contract termination The Service Provider shall ensure that access to data held within the PATAS ICT Infrastructure provided by or in connection with the Services required by London Council is restricted to those Users so authorised. A list of authorised Users shall be provided at the start of the contract and any variations will be notified to the Service Provider as and when they occur. 8.9 Archiving and Deletion 8.9.1The security strategy shall incorporate the need to archive data held in the PATAS ICT Infrastructure for storage and possible retrieval. An archive facility is therefore required Any access to the archive shall be supported by the Service Provider, who shall ensure that suitable procedures are in place to meet the operational needs for archive access The Service Provider shall be responsible for the security of the data in all of the databases and systems in the PATAS ICT Infrastructure. A schedule for archiving data shall be established and agreed between London Councils and the Service Provider prior to the commencement of the service. In addition a security strategy shall be developed that incorporates the need to delete archived data. The suitability of the security strategy, including the archiving schedule should be considered on an annual basis Security of data shall include taking copies of the required files, maintaining a security methodology and the use of off-site storage Archived records shall be indexed 64

65 Lot 2 - Appendix A Hardware and Software Asset Register 6 Hardware Asset Register Software Asset Register Third Party Contracts 6 Bidders should note that this information is provided as a guide only, where discrepancies exist between the requirements of the specification(s) (please also see Specifications 1, 4 and 5) and information contained in the attached asset register, the specification takes precedence. 65

66 Lot 2 - Appendix B Service levels See ITT Section F 66

67 Lot 2 Appendix C Current Hearing Centre opening hours For reference, the Current Hearing Centre opening hours for personal hearings are: Day Current Personals Hours Monday 08:00-17:00 9 Tuesday 10:00-17:00 7 Wednesday 09:00-13:00 4 Thursday 10:00-19: Friday 10:00-13:00 3 Saturday 09:00-14:00 5 Sunday closed The service provider should note that these hours can be varied to accommodate fluctuating workloads and that the hours listed denote the times at which hearings are held i.e. do not take account of time require to prepare the rooms or allow access to the reception prior to hearings for appellants. 67

68 Appendix D User Access Devices 10 terminals for admin desks with access to all appeal applications and London Councils HR applications + telephony 12 terminals for hot-desks with access to all appeal applications and London Councils HR + telephony 2 terminals for internet access through Angel Square Wi-Fi 68

69 LOT 3 SPECIFICATION: ICT Managed Service Requirements (London Councils Southwark Street) 1. Overview 1.1 London Councils is a progressive organisation, strong in dynamic leadership with a skilled workforce supporting its 33 member authorities across London and will need to be well placed technologically to modify business activities in response to rapidly changing and growing priorities. 1.2 To support this London Councils needs to make use of a variety of technologies and software to enable improved communications and collaboration capabilities among its staff and clients as well as provide efficiency savings and best practice where feasible. 1.3 The Service Provider shall be proactive in developing and implementing improvements in the service and the systems that support it. The timescales for such improvements will be mutually agreed with the Service Provider. 2. The System 2.1 The Service Provider shall be responsible for all London Councils information systems located at the London Councils Premises (i.e., the London Councils offices located at 59½ Southwark Street, London E1 AL for this definition and those of the other defined terms used in this Lot 3 Specification, the Tenderer should refer to the table of defined terms in the ITT at section D), that are used by the London Councils staff located at the London Councils Premises from the agreed service transfer date and shall provide a range of infrastructure, support and development services across the organisation, in addition to providing support to all its organisational projects with a technology component. 2.2 The Service Provider shall provide and support these services from its current locations to enable access to the LC ICT System from around 130 London Councils staff and 100 visitors to the London Councils Premises. 2.3 The Service Provider shall provide London Councils staff with a range of business systems and applications that can be used to support its staff and its visitors at the London Councils Premises, either deployed locally or via the Internet; a) Productivity applications that include word processing, presentation and spread sheet facilities; b) Flexibility in day to day work activities including communication ( , telephony and mobile technologies), collaboration, research, enquiry and information processing; c) Information management and secure handling of all its data either locally or via the Cloud d) Migration of existing or legacy systems and data where necessary. 69

70 3. Assets 2.4 The Service Provider shall provide secure access to the Lot 1 System and the Lot 2 PATAS ICT Infrastructure from the Lot 3 LC ICT System to allow London Councils staff to access and use the Services under Lots 1, 2 and 5 when working on-site at the London Councils Premises or at the PATAS Premises, or when working remotely. 3.1 London Councils has a number of existing ICT assets, e.g. servers, SAN (as listed in Appendix A) that are currently being used to deliver services and will be available for use by the Service Provider to deliver the Services at the start of the contract period. These assets can be made available for the Service Provider to use to deliver services to London Councils at no cost if the Service Provider believes that this would provide best Value for Money for London Councils. 3.2 London Councils current desktop specification is detailed in Appendix A. 3.3 If the Service Provider plans to make use of the existing LC ICT assets then the Service Provider MUST provide London Councils with information on proposed future maintenance and ownership arrangements for these assets. 3.4 Although London Councils currently intend to retain ownership of their assets, the Service Provider shall provide in the Tender the costs for providing the required ICT services if London Councils retains ownership of the ICT assets and the costs if the ICT assets are transferred to the Service Provider. 3.5 Service Providers shall detail any likely advantages and disadvantages of transferring the London Councils ICT assets to the Service Provider. 3.6 Service Providers shall detail their asset and configuration management processes as they would apply to this contract. 3.7 Service Providers shall detail their expectations for the remaining service life of the existing London Councils ICT assets/equipment, detailing any equipment that is expected to reach end of life within three years of the contract start date. 3.8 London Councils may wish to procure any ICT hardware or services using their own process or with the support of the Service Provider. The Service Provider should set out in the Tender the costs of procuring such equipment via the Service Provider. 3.9 The Service Provider shall procure ICT hardware or services on behalf of London Councils if requested to do so Any ICT hardware or services procured by the Service Provider on behalf of London Councils shall be wholly owned by London Councils The Service Provider shall give details of ICT hardware suppliers that they would be able to use to supply equipment to London Councils. 70

71 4. Delivering the ICT Service 4.1 The Service Provider shall manage and maintain the LC ICT System for London Councils that meets the Lot 3 Service Levels set out in Appendix B and complies within ITIL good practice. 4.2 The Service Provider shall implement ICT infrastructure support services that are compliant with the London Councils information security and information management policies that are effective at the start of the contract and reviewed from time to time. 4.3 The Service Provider shall provide London Councils staff with general advice, training and consultancy on all aspects of the LC ICT System and related services as and when required. 4.4 The Service Provider shall meet the strategic aims of the service which are: a) To transform and refresh the LC ICT System as and when required to the latest versions of hardware and software, to enhance functionality and management of information which will ultimately provide better service to the staff and visitors of London Councils; b) Further improve mobility, flexibility and collaborative working between officers, partner organisations and customers. 4.5 The Service Provider shall maintain up-to-date documentation, plans and configuration for the LC ICT System, covering all supported hardware, software and network components, and the related processes and procedures, on behalf of London Councils. 4.6 The Service Provider shall deliver ICT services to London Councils within an ITIL framework 4.7 The Service Provider shall provide a Business Relationship Manager to review previous month s performance and provide a point of escalation 4.8 The Service Provider shall be responsible for capacity planning for all its application and network services. 5. Desktop Hardware and Software 5.1 The Service Provider shall install and commission all UAD hardware and/or software to be provided under this Lot 3 and ensure their operation in accordance with the Lot 3 Service Levels (see Appendix B) The Service Provider shall diagnose and maintain control of the resolution of all Incidents (and by third parties as appropriate) for the supported LC ICT System UAD and associated software. 71

72 5.3 The Service Provider shall support and maintain all of the London Councils approved desktop applications including installation, fault finding, repair, patching and upgrading, fixes and workarounds as appropriate in accordance with the Lot 3 Service Levels (see Appendix B). 5.4 The Service Provider shall provide a sufficient level of skilled resource to fix all incidents in accordance with the Lot 3 Service Levels (see Appendix B). 5.5 The Service Provider shall liaise with the software suppliers as outlined in Appendix C to resolve all software-related incidents and problems. 5.6 The Service Provider shall support all the LC ICT System peripheral devices including but not limited to Audio Visual and display equipment, printing and scanning facilities via MFD s, wireless devices, card access systems. 5.7 The Service Provider shall arrange access to and the storage of master copies of all LC ICT System media such as installation discs, installation guides, related to the applications and operating systems used within the LC ICT System. 6. IT Help Desk First, Second and Third Line Support 6.1 The Service Provider shall provide initial first line support as part of a single point of contact (SPOC) IT Help Desk for the London Councils staff located at the London Councils Premises using the LC ICT System, provide assistance and carry out resolution of all Incidents for all UADs, tablets and thereafter if not resolved the Service Provider shall within London Councils Core Hours provide a resource to visit the user at the desk to resolve the Incident. 6.2 The Service Provider shall provide an IT Help Desk and call logging facility for the London Councils staff located at the London Councils Premises using the LC ICT System during LC Core Hours (ie, between Monday and Friday, between the hours of 08:00 to 18:00, excluding Bank Holidays, and Saturdays between the hours of 09:00 to 14:00) however this could vary at LC s discretion during the period of the contract. There must also be the ability for staff to log an incident or service request 24x7 by telephone or on-line. 6.3 The Service Provider shall ensure that each LC ICT System Incident or Service Request is logged and assigned a unique reference number and recorded on a service management / call logging system. 6.4 The Service Provider shall ensure that all LC ICT System incidents are resolved in accordance with the Lot 3 Service Levels set out in Appendix B 6.5 The IT Help Desk shall monitor the progress of all fault or enquiry calls to ensure that they are resolved within the agreed timescales. 72

73 6.6 Feedback shall be provided to the originating user for every call. 6.7 The Service Provider shall diagnose and maintain control of the resolution of LC ICT System Incidents and Problems (including those owned by third parties as appropriate to ITIL best practises) for all supported LC ICT System UADs, telephony, mobiles and applications. 6.8 The Service Provider shall manage the maintenance of the LC ICT System supported server, network connectivity, UADs, telephony and mobile equipment and manage the lifecycle of all equipment with suitable replacements. 6.9 The Service Provider shall be responsible for issuing and configuring all London Councils approved LC ICT System equipment (UADS, monitors, AV equipment, mobiles and desk based phones) The Service Provider shall use its best endeavours to support any nonstandard applications with no specified service level agreement (i.e., any applications used by LC staff on the LC Premises that are not part of the agreed software list). These can be specialist service specific pieces of software that are used by a small number of LC staff The Service Provider shall use its best endeavours to provide support to any non-standard hardware used within the LC ICT System For High priority faults (Priority 1 to 2) the IT Help Desk shall: a) inform London Councils when the fault is confirmed of the actions being taken to correct it and the time at which the service is expected to be restored; b) update London Councils on the status of the fault and of actions being taken hourly until the full service is restored; and c) update London Councils daily on the status of the fault and of actions being taken until the full service is restored For Low priority faults (Priority 3 to 4) the IT Help Desk shall: a) inform the user that reported the fault of the actions being taken to rectify the fault and the time at which the service is expected to be restored; b) inform the user and London Councils of the situation and the actions being taken if the service is not restored within the maximum; and c) update London Councils daily on the status of the fault and of actions being taken until the full service is restored The call log must provide sufficient information to allow: a) Accurate monthly reporting of service performance for all of the services provided; and b) Effective fault analysis and identification of actions to reduce occurrence or impact of faults. 73

74 6.15 Authorised London Councils staff shall be provided with read access to the Service Provider Help Desk call logging system Authorised London Councils users shall be provided with access to a self-service, web-based IT Help Desk facility that provides, as a minimum, the capability to: a) Log a low-priority fault; b) Track an on-going fault; c) Report an on-going fault as resolved; d) View resolved faults All usage of the web-based IT Help Desk facility shall be logged and provided for audit purposes when required The Service Provider shall liaise as required with the Service Provider of the Lots 1 & 5 and/or Lot 2 IT Help Desk to resolve any faults or incidents that are reported that relate to the network communications and links between London Councils Premises and the PATAS Premises The Service Provider will produce meaningful monthly Service Reports to the Authority, showing for the month under review the status of each of the Service Levels for the current and previous 2 months, setting out the Service Points for each Service Level and highlighting any Service Levels which have reached a Service Credit Threshold and/or a Termination Threshold. The Service Provider will also provide Root Cause Analysis documentation for all Priority 1 and 2 Service Failures/Service Faults that affected the Authority during the month of review. The reporting will review the top 5 Service Failures/Service Faults and the associated action plans to conclude resolution. The monthly Service Report will also provide detailed statistics on the calls made to the IT Help Desk. There will be Service Meetings at agreed intervals between the Service Provider s Service Manager and The Authority to consider the monthly Service Report and agree any necessary remedial actions by the parties. 7. Business Applications & Support 7.1 The Service Provider shall provide application software support to all designated applications included within the LC ICT System within LC Core Hours (8am 6pm) which includes Incident Management and liaison with all 3rd Parties listed in Appendix C. 7.2 The Service Provider shall configure and maintain a remote access solution (currently RDP) for users to access all London Councils applications and network drives securely with dual factor authentication from any computer, anywhere, with a low or high-speed Internet connection. 7.3 The Service Provider shall administer the shared network drives and configured network drives. The Service Provider shall backup shared 74

75 drives, restore network shared drives and maintain data access restrictions for all business groups. 7.4 The Service Provider shall recommend, provide, support and manage a documentation sharing platform (e.g. SharePoint) to access all London Councils documents and resources synchronised across many devices 7.5 The Service Provider shall manage all licences required for the provision of business software included within the Services and shall be responsible for notifying London Councils when additional licences are required, for example due to additional London Councils staff requiring access to desktop or application services. 8. Infrastructure & Server Support 8.1 The Service Provider shall provide, operate and maintain the London Councils data network and shall ensure the availability, security and capacity of its operational servers and networks to meet the Service Levels outlined in Appendix B. 8.2 The Service Provider shall provide support for all application or network server equipment deemed necessary to provide the Services to all London Councils staff located at London Councils Premises or when working remotely The Service Provider shall manage, support and maintain the managed print services to facilitate printing from all its desktop and line of business applications (currently Paper Cut). 8.4 The Service Provider shall upgrade the network as required to meet the needs of London Councils, for example if a new building location is acquired, additional shared services are implemented or there in an increase in partnership working. 8.5 The Service Provider shall explain in the Tender its proposed approach to the provision, operation and support of the data network, including traffic and bandwidth management. 8.6 The Service Provider shall manage all licences required for the provision of hardware, server & systems software included within the Services and shall be responsible for notifying London Councils when any additional licences are required. 9. Telephony 9.1 The Service Provider shall provide and support a Telephony Service for London Councils staff based at the London Councils Premises that includes the design, supply, delivery, installation, commissioning and testing of a complete telephony system for London Councils Premises. 75

76 9.2 The Service Provider shall provide and support all strategies, policies, standards and procedures for its IVR, voic and voice recording services including both hardware and software. 9.3 The Service Provider shall supply and maintain appropriate systems to provide metrics and report on the visibility of all incoming/outgoing calls and response time to measure performance and availability of call centre type systems. 9.4 The Service Provider shall maintain and or recommend a meeting room telephone conferencing facility for London Councils at London Councils Premises. 9.5 The Service Provider shall ensure all telephony services are available for use by all London Councils staff 100% of the time. 9.6 The Service Provider shall provide a management system for the telephony solution and any ancillary systems. The proposed management systems shall include: a) Management System platform software to provide a consistent user experience when managing the various components of the Telephony System; b) Element management software to provide detailed management capabilities for each equipment component of the Telephony System. c) Annual Level 3 Support and Maintenance Agreement. 9.7 Options shall be provided in the Tender on how London Councils could make full use of Fixed Mobile Convergence technology incorporating a nominated mobile service provider. 10. Application Management 10.1 The Service Provider shall reactively respond to all Incidents raised via the IT Help Desk or other mechanisms such as system alerts in accordance with the Lot 3 Service Levels The Service Provider shall resolve or own the resolution by the Third Party application vendors of any reported problems with supported databases/software The Service Provider shall undertake Master Data management for all of its line of business applications included in the London Councils ICT System The Service Provider shall regularly monitor all LC ICT System databases' space and performance and perform corrective actions 10.5 The Service Provider shall carry out scheduling and all relevant back-ups for the London Councils System using best practice for all its supported databases held on the supported networks and 76

77 the Service Provider shall produce and implement future backup policies 11. Disaster Recovery Services 11.1 The Service Provider shall supply disaster recovery services for the LC ICT System to meet the requirements of London Councils Business Continuity Plan The Service Provider shall ensure that London Councils Business Continuity Plan is regularly reviewed and updated so that the services and relevant service standards in the event of a disaster are agreed between the parties. At all other times the Service Provider will deliver the Services to the Contract Standard including critical systems availability as set out in Appendix B. 12. Continual Service Improvement 12.1 The Service Provider shall be responsible for monitoring the use of LC ICT System resources (processor utilisation, memory, disk, bandwidth, etc.) and for taking appropriate steps to prevent any deterioration of the performance of the Services over time The Service Provider shall be responsible for achieving and maintaining security accreditation for the LC ICT System and all related services provided under this Lot 3 contract 12.3 London Councils may benchmark the quality and cost of the Services provided by the Service Provider at any time during the Contract The Service Provider shall provide all support requested by London Councils to enable it to benchmark the Services The Service Provider shall prepare and maintain a continuous service improvement plan for all services supplied to London Councils. The service provider should develop an IT strategy for London Councils that incorporates strategic IT procurement opportunities to drive organisational efficiency The Service Provider shall identify a senior manager to be the point of escalation for any issues that cannot be resolved by the Service Manager The Service Provider shall provide a written monthly report which provides the information required by London Councils to assess the quality of the services provided 12.8 The Service Provider shall provide information on the monitoring that they would put in place on the LC ICT System infrastructure components used. This information should include details on the Management Information provided by monitoring tools that shall be available to London Councils. 77

78 12.9 The Service Agreement shall be updated following any major change or annually if no such changes have taken place The Services shall be scalable to support up to 300 Council Staff, members and visitors Services that are intended to be used by the public/visitors shall be capable of supporting a minimum of 100 concurrent requests without impacting performance The Service Provider shall explain the changes required to their proposed solution for the LC ICT System to scale it to support larger numbers of users The Service Provider shall detail any likely advantages to London Councils if the number of users is reduced The Service Provider shall work with all of its 3 rd party application providers used within the LC ICT System to optimise application performance where necessary. 13. Data Security 13.1 The Service Provider shall be responsible for security of the data held in the LC ICT System and the Service Provider shall be held totally accountable for the security of data held in the LC ICT System The software supplied under this Agreement for the LC ICT System shall protect data and software from unauthorised access, and attempts to breach security protection shall be investigated and reported to the London Councils. The procedures shall involve the Service Provider taking an active part in promoting the concepts of data security, and encouraging Users to be aware of the potential dangers of security breaches Every transaction on the LC ICT System shall be capable of being logged in a file which is available for subsequent audit and examination The Service Provider shall observe their obligations set out in the Data Protection Act and Data Security Legislation, as applicable to the delivery of the Services The Service Provider shall, in relation to Personal Data forming part of the Authority Data Processed by the Service Provider under this Agreement: a. not Process (including, but not limited to, obtaining, retaining, disclosing or transferring) any such Personal Data, other than in accordance with the performance of its obligations under this Agreement in relation to the Services; b. in accordance with the relevant sections of the DPA, apply appropriate technical and security measures to protect any such 78

79 Personal Data against unauthorised or unlawful Processing (including any such obtaining, retaining, disclosing or transferring) and against accidental loss, destruction or damage; and c. should it be required, provide reasonable evidence that it has taken steps to comply with sub-section (b) above and allow the Authority access to the specific documentation and/or The Service Provider s premises, on seven (7) days notice, for this purpose. Such inspection shall not relieve The Service Provider of any of its obligations under this Agreement, the Data Protection Act and Data Security Legislation or other applicable data protection law The Service Provider shall guarantee to the Authority, not to store or Process Personal Data for the purpose of performing the Service Provider's obligations under the Agreement at sites outside of the EEA. Failure by The Service Provider to comply with this requirement may constitute a material breach of contract, incapable by its nature of remedy, entitling the Authority to terminate the Agreement under the provisions of the relevant clause of the contract, forthwith on service of prior written notice. 14. Data Recovery 14.1 All data held on the LC ICT System shall, in the event of system failure, be able to be fully restored within one Working Day, with any loss of data not exceeding one Working Day. 15. System Back-up 15.1 The Service Provider shall provide whatever back-up and contingency facilities for the LC ICT System are required to meet the data availability and performance requirements of London Councils as agreed between the London Councils and the Service Provider. 16. Data Protection 16.1 The Service Provider may be requested by London Councils to deal with the Information Commissioner, and to accept liability for the access control and the data held in the LC ICT System The Service Provider shall observe their obligations set out in the Data Protection Act and Data Security Legislation, as applicable to the delivery of the Services. 17. Software Piracy 17.1 The Service Provider shall put in place safeguards to prevent unauthorised software copying to or from the LC ICT System. 18. Confidentiality 18.1 The data held and processed by London Councils via the LC ICT System includes sensitive information. Any breach or anticipated breach of London Councils and enforcement authorities confidences in this 79

80 respect which is directly attributable to the Service Provider's staff or sub-service Providers shall be considered a serious breach of contract, and may be grounds for contract termination The Service Provider shall ensure that access to data held within the LC ICT System provided by or in connection with the Services required by London Councils is restricted to those Users so authorised. A list of authorised Users shall be provided at the start of the contract and any variations will be notified to the Service Provider as and when they occur. 19. Archiving and Deletion 19.1 The security strategy shall incorporate the need to archive data held in the LC ICT System for storage and possible retrieval. An archive facility is therefore required Any access to the LC ICT System archive shall be supported by the Service Provider, who shall ensure that suitable procedures are in place to meet the operational needs for archive access The Service Provider shall be responsible for the security of the data in all of the databases and systems in the LC ICT System. A schedule for archiving data shall be established and agreed between the London Councils and the Service Provider prior to the commencement of the service. In addition a security strategy shall be developed that incorporates the need to delete archived data. The suitability of the security strategy, including the archiving schedule should be considered on an annual basis Security of data shall include taking copies of the required files, maintaining a security methodology and the use of off-site storage Archived records shall be indexed. 80

81 Appendix A Current LC ICT System Assets Hardware Asset Register Desktop PC Specification 145 x Viglan Genie Ultra Small Form Factor PC Intel Core i Ghz 4GB RAM, 32bit O/S 22 SVGA Monitor Network & Server Infrastructure HP Proliant DL380p Virtual Machine Host + Vsphere Essentials Juniper 48 Port Switch 10 x Cisco 3548 Data Switches 3 kva UPS Thecus 9TB iscsi Storage Array Webroot Cisco BIS Firewall HP ProLiant BlackBerry Server Software Asset Register Microsoft Windows 7 SP1 Microsoft Office 2010 Professional Microsoft Visio 2010 Windows Internet Explorer Microsoft Server 2007 and SQL Server 2008 Enterprise VMware ESX Services Microsoft Office365 BlackBerry for Office365 Cisco IronPort Web Security Symantec Anti Virus v10 Symantec Endpoint Security Symantec LiveUpdate Adobe Acrobat Reader WinRAR (current version) Java Version 7 SiteHelpdesk Version 7.6 Condecco Room Bookings Version 1.6 SP3 MaXxess Door Entry System and CCTV System Continuum Building Management System Version

82 Appendix B Service Levels See ITT Section F 82

83 Appendix C - Third Party Contracts VMware Vsphere Essentials and Support Cisco BIS Firewall Support Microsoft Volume Licencing Enterprise Agreement Network Switch Support British Telecom Virgin Media Internet Konica Minolta Multifunctional Business Machine Support Condecco Room Bookings SiteHelpDesk Software for Facilities Management 83

84 Appendix D User Access Device Requirements Ground Floor Resources = 13 desktop PC s and 13 telephones Reception = 2 desktop PC s and 2 telephones First Floor Chief Executives Office = 4 desktop PC s and 4 telephones Political Advisors = 5 desktop PC s + 1 laptop and 6 telephones Meeting Rooms & Conferencing = 6 desktop PC s and 6 telephones Network Comms Room = 4 desktop PC s and 1 telephone Second Floor Transport & Mobility = 20 desktop PC s + 2 laptops and 24 telephones Grants = 20 desktop PC s and 20 telephones Children & Young People = 5 desktop PC s and 5 telephones LEPT = 3 desktop PC s and 3 telephones Quiet pods = 2 desktop pc s + 2 telephones 3 x desktop scanners and 3 desktop PC s and 1 telephone Third Floor Media & Comms = 27 desktop PC s and 27 telephones Policy & Public Affairs = 22 desktop PC s and 22 telephones Fair Funding = 5 desktop PC s and 5 telephones London Social Care Partnership = 3 desktop PC s and 3 telephones London Health Board = 5 desktop PC s and 5 telephones Fourth Floor Governance = 10 desktop PC s and 10 telephones Meeting Rooms = 4 desktop PC s and four telephones Note: there are no printers to support, scanning photocopying and printing all delivered through the Konica Minolta contract for 11 multifunctional devices throughout the building. Wi-Fi services is across the whole site for staff and visitors provided by The Cloud. 84

85 Lot 4: TRANSACTION SERVICES 1. Transactional Services - London Councils Overall Business Objectives 1.1 Transactional Services encompass 2 services: the Traffic Enforcement Centre ( TEC ) data transfer service and the Tow-away, Removal and Clamping Enquiry ( TRACE ) service 1.2 The Service Provider shall be responsible for monitoring, storing and managing statistics and data relating to the use of Transactional Services by all parties. 1.3 For the purpose of this Agreement, the Transactional Services constitute the link between London Councils and the external parties insofar as they are used for the transmission, validation and reconciliation of the information described in this Lot London Councils overall objectives for Transactional Services are to: a) provide accurate and timely information to the general public on vehicles that have been clamped or removed by the external parties, 24 hours a day, 365 days a year (TRACE); b) respond to all enquiries in an accurate, timely and appropriate manner; c) ensure all debt registrations and warrant applications filed by the Enforcement Authorities (EAs) are processed accurately within 1 working day; d) ensure that the EAs and London Councils requirements are met in the most cost effective manner; e) process all EA transactions accurately and within given TEC timescales, this service specification and the Service Levels in SECTION F. SERVICE LEVELS AND SERVICE CREDITS; f) ensure any identifiable payments made to one EA but payable to another are redirected to the correct EA; and g) gather and collate information from the various databases for EAs and to provide London Councils and EAs with access to this information. 1.5 The Service Provider should note that London Councils is also an EA and makes use of Transactional Services from time to time. 2. Transactional Services Key Business Requirements and Scope of Services to be provided by the Service Provider 2.1 The Service Provider shall meet the requirements described in paragraphs 3 and 4 below and will operate the service on behalf of 85

86 London Councils for the duration of the Agreement. The Service Provider will provide the staff required to maintain the transactional services. 2.2 The Service Provider shall be proactive in developing and implementing improvements in the service and the systems that support it. The timescales for such improvements will be mutually agreed with the Service Provider. 3. Traffic Enforcement Centre 3.1 The procedures below should be taken as a guide only and the Service Provider should refer to the TEC Code of Practice for detailed instructions regarding TEC procedures. A copy of the TEC Code of Practice; TEC Data User File V5 and TEC User Guide 4 can be found in Appendix A; B and C. 3.2 As a minimum, the Service Provider shall be required to: a) receive batches of debt registrations and warrant applications from participating EAs or their agents and validate the records before their transmission to the TEC; b) reject invalid records and return them to the issuing EA for correction and re-submission. The Service Provider shall provide reasons for all rejections within a batch; c) submit batches of valid data to TEC in an agreed format and on a predefined basis; d) receive, validate and match Global Authorisation Certificates and advice note from EAs and submit these in the form required by TEC to allow them to process the EAs requests; e) receive validation information (known as "the Sealed Authority") from TEC concerning the number of batches and valid transactions submitted; f) prepare information which is sufficient to enable London Councils to authorise its bankers to transfer funds to TEC's bank account (such as the total amount due, plus total by batch by authority); g) record the appropriate transfer of funds from London Councils ' bank account to TEC; h) provide reasons for each individual rejection within a batch; and i) advise EAs of and provide copies of out of time statutory declarations or witness statements, filtering the information so that each EA receives only the details relevant to them. 3.3 There is no requirement for data transfer from TEC to individual EAs via London Councils, as authorisation to issue warrants is despatched from TEC direct to EAs. 86

87 3.4 Exceptions, which can arise for instance when records or Global Authorisation Certificates submitted by the EA fail validation checks, should be processed automatically. 3.5 Under no circumstances shall there be communication between London Councils and motorists or registered keepers in connection with county court action. 3.6 All interactions with TEC should be conducted according to the TEC Code of Practice. 3.7 The Service Provider shall control and manage the volumes of registrations according to the TEC Code of Practice. 3.8 An indication of current volumes can be found in Appendix D. 4. TRACE TRACE is the service provided by London Councils to allow members of the public and other organisations to locate a vehicle that has been towed away. 4.1 Capturing and Maintaining Vehicle Status Information The Service Provider shall be required to: a) collate, validate, format and hold data from external parties relating to all vehicles which have been removed; b) record new information on the TRACE system within 15 minutes of receipt c) provide the means for relevant parties to submit evidence and communication in real time; d) acknowledge receipt of each removal notification record, provide them with the details of all records which fail the validation checks and provide an alert mechanism when there is no acknowledgment; e) collect data records relating to removed vehicles at all stages of the process from removal to release from the pound. The status information maintained should include, but are not limited to, the following: i. vehicles which have been removed or are en route to a car pound; ii. vehicles which have been received within a car pound; iii. vehicles which have been released from the car pound; iv. transfer of a vehicle to a decant car pound if necessary; v. relocation of a vehicle to another location; and vi. vehicles which have been sold or scrapped. 87

88 f) collate and maintain the information in a form suitable for rapid access in order to answer queries from members of the public and other individuals (such as a police officer or pound supervisor) quickly and accurately; g) update the database in real time with any relevant information obtained via an enquiry from the driver of a removed vehicle; h) record the details of calls relating to an individual vehicle on the database; i) have available for London Councils daily, weekly and monthly status reports on vehicles removed, held or released by the EAs on an individual basis; j) highlight/mark vehicles that have three or more PCNs outstanding against them; and k) maintain an auditable trail for all changes. l) However, this is not an exhaustive list Access to the database is required through the internet (including optimisation for mobile devices) by: a) EAs; b) the police; c) the public; d) London Councils; and e) The Service Provider s staff Different types of users shall have different levels of access according to rules set by London Councils All fields on the database shall be capable of being searched in any practical combination, though the fields available will depend on the user access in above Access shall also be required from those listed above by telephone through the Service Provider s call handling centre The System shall be able to record anomalies, such as vehicles with foreign number plates, as well as be able to perform validation and reporting functions The Service Provider shall ensure that all the information required to handle a particular enquiry is readily available. This will typically be to establish the presence of the vehicle within the system (i.e. in the control of an external 88

89 party), track its movements if it has been removed and provide information on how to secure the release of the vehicle Allow EAs and Pounds to view all information held in relation to their EA/Pound The Service Provider shall provide the public with multiple means of accessing information from the TRACE database, including, but not limited to, web-based applications and SMS. 4.2 Handling and Responding to Telephone Enquiries The Service Provider shall be responsible for providing a suitable telephone call management system and service between agreed hours capable of: a) handling incoming calls; b) identifying separate call streams; c) holding calls in queues and answering queued callers in turn; d) allocating calls to staff; e) handling straightforward queries without recourse to London Councils; f) effective call routing to London Councils staff; g) giving recorded information to callers who are being queued; h) voice recording all enquiries, logging each call and retaining the recordings and log for a period of not less than three Months; measuring performance against the Service Levels, including the measurement of calls which result in a substantive response the first time; and i) providing Minicom or other suitable facilities/service to enable people with hearing or speech disabilities as well as other disabilities to use the service in accordance with accessibility requirements as set out in the Disability Discrimination Act The Service Provider shall use the Enquiry Centre number provided by London Councils (currently ) The Service Provider shall respond to enquiries in an appropriate and pleasant manner and seek to provide a substantive response on the first call. 4.3 Maintaining Reference Information The Service Provider shall be required to collate all external party reference information necessary to support the system (for instance, the location of the pound, its opening hours, the motorist s identification requirements, payment methods, public transport access and the external party details required to carry out record validation checks). 89

90 4.3.2 The Service Provider shall enable EAs and Pounds to view/access only their own reference information in above so that each EA take responsibility for maintaining the accuracy of their own data The Service Provider shall establish a procedure for updating the information set out in 4.3.1, as and when required by Authority staff The Service Provider shall establish a procedure for reviewing and updating the information set out in above on an annual basis, irrespective of changes made under The Service Provider shall maintain a log of all changes to the information held under 4.3 recording the name of the individual/ea/pound making the change, the date and time on which the change was made, and the information changed on each occasion The Service Provider shall ensure that the information held under 4.3 is available to the public via the Enquiry Centre, the website and SMS. 4.4 Handling and Responding to Complaints On receipt of a complaint in relation to section 4, the Service Provider shall be responsible for logging and investigating that complaint and drafting a response. The draft response shall then be sent to London Councils to respond to the complaint formally. 4.5 Archiving and Deletion The security strategy shall incorporate the need to archive data for storage and possible retrieval. An archive facility is therefore required Access to the archive shall be supported by the Service Provider, who will ensure that suitable procedures are in place to meet the operational needs for archive access The Service Provider shall be responsible for the security of the data in all of the databases and systems. A schedule for archiving data will be established and agreed between London Councils and the Service Provider at the start of the contract. The suitability of the archiving schedule should be considered on an annual basis Security of data shall include taking copies of the required files, maintaining a security methodology and the use of off-site storage Archived records shall be indexed and searchable The security strategy shall also incorporate the need to delete archived data. An agreed schedule for deleting data shall be established and agreed between London Councils and the Service Provider at the start of the contract. The suitability of the archiving schedule should be considered at least once a year Actual TRACE data shall be deleted 3 months after the release or destruction of the vehicle. 90

91 5 Technical RequirementsApplication Support The Service Provider shall maintain and support any application software provided, which includes the correction of errors, training, advice to Users on its use, and the provision of agreed amendments to User functions under the Change Control Procedures. 5.2 Application Software, Licenses and Ownership Unless agreed otherwise, where software is developed to provide the Services or part thereof under this Agreement, ownership shall rest with London Councils. London Councils may be prepared to negotiate with the Service Provider on the issue of marketing rights to the software in which it owns the Intellectual Property Rights, but will expect full recognition of the intellectual rights invested by London Councils and the authorities in this development by virtue of this procurement For bespoke software, the licenses shall continue in perpetuity Where licences are for commercial off-the-shelf software application solutions, the licence ownership of these shall rest with the Service Provider and regular updating etc. will be undertaken by the Service Provider. The Service Provider shall ensure that software utilised is to the latest version unless agreed otherwise. 5.3 Data Security The Service Provider shall be responsible for security of the data and the Service Provider shall be held totally accountable for the security of data held in the central systems The software supplied under this Agreement shall protect data and software from unauthorised access, and attempts to breach security protection shall be investigated and reported to London Councils. The procedures shall involve The Service Provider taking an active part in promoting the concepts of data security, and encouraging Users to be aware of the potential dangers of security breaches Every transaction on the System shall be capable of being logged in a file which would be available for subsequent audit and examination. 5.4 Data Recovery All data held on the System shall, in the event of system failure, be able to be fully restored within one working day, with any loss of data not exceeding one working day. 5.5 Disaster Recovery The Service Provider shall have in place a detailed and robust disaster recovery plan that takes into account all aspects of London Councils needs and which will be agreed with London Councils The disaster recovery plan shall be provided within 1 month of the contract start and updated annually or whenever changes to the system are made (whichever is soonest) with input from London Councils. 5.6 System Back-up 91

92 5.6.1 The Service Provider shall provide whatever back-up and contingency facilities are required to meet the data availability and performance requirements of London Councils as agreed between London Councils and The Service Provider. 5.7 Data Protection The Service Provider may be requested by London Councils to deal with the Information Commissioner, and to accept liability for the access control and the System. 5.8 Software Piracy The Service Provider shall put in place safeguards to prevent unauthorised software copying to or from the System. 5.9 Confidentiality The data held and processed by London Councils includes sensitive information. Any breach or anticipated breach of London Councils and enforcement authorities confidences in this respect which is directly attributable to The Service Provider's staff or sub-service Providers will be considered a serious breach of contract, and may be grounds for contract termination The Service Provider shall ensure that access to data held within the Systems provided by or in connection with the Services required by London Councils is restricted to those Users so authorised. A list of authorised Users will be provided at the start of the contract but may be varied from time to time. 92

93 Lot 4 Appendix A TEC Code of Practice (this is the latest version available but we are aware that some of the content is out of date) 93