Module Db Technical Solution Capita s Combined Offer for Business & Enforcement Operations delivers many overarching benefits for TfL: Cost is reduced through greater economies of scale, removal of duplication and our unified approach to service delivery and change Quality and consistency of the customer experience is increased through a single view of customer and common service design approach Risk to revenue collection and service delivery is minimised by removing inter-lot dependencies Commercial interests are aligned, removing any barriers to innovation and realising future opportunities Interoperability and future strategic flexibility is maintained through a modular, off the shelf solution design Oversight and assurance is simplified through higher quality, comprehensive and transparent reporting and information sharing Specific changes to this module in order to deliver these benefits are annotated throughout this document in this style. Module Db (Technical Solution) Page 1 of 1
Contents 1 Introduction... 3 2 Business Operations Solution Architecture... 3 3 {Information Redacted}... 5 4 {Information Redacted}... 5 4.2 Risks, Mitigations & Dependencies... 8 4.3 Ability to deliver... 9 4.4 Licensing... 9 Appendix DbA Bespoke sub-systems... 10 Appendix DbB Shared Systems... 13 Module Db (Technical Solution) Page 2 of 1
1 Introduction 1. Our Technical Solution will fully meet the needs of the business requirements for Business Operations, delivering excellent customer service, and offering a number of advantages to TfL. 2. Through a combination of innovative design, incorporating the use of leadingedge COTS products across all aspects of charging and enforcement operations, we will deliver systems that will reliably meet today s operational needs and have the potential to stretch to meet the emerging, and currently unforeseen, needs of operations well into the future. Standardised & Efficient A world class road user charging service that enhances London's reputation Efficient and cost effective s interaction Enhance the experience and safeguard customer rights Optimised Service Systems Changing World and Communication Channels Protect revenue and reduce fraud. 3. The main advantages of our solution are as follows: An experienced programme and implementation team, with robust methodology, delivering a low risk transition and cut over to new systems and infrastructure {Information Redacted} Heavily COTS focused delivery to provide the majority of the required functionality which will provide both scalability and flexibility by default to reduced risks associated with delivery and on-going support Use of COTS products, with each product providing the benefit of a product roadmap that will deliver new capability into the products that TfL can benefit from Use of proven managed service solution components thereby reducing risk and enabling efficiency gains (Payments, telephony, document handling), while simultaneously minimising capital setup costs Innovative use of technology such as Automated Speech Recognition and mobile applications to deliver a fresh, effective and reliable experience to the public Use of Capita s dynamic hosting and flexible network services to allow the IT to scale up or down, responding easily to changes in demand from TfL customers. 4. We are highly confident that our solution will deliver excellent value for money and also the functionality, security, reliability and performance sought by TfL to protect revenue and support an effective customer experience. 2 Business Operations Solution Architecture 5. Our aim is to offer TfL reliability and cost effectiveness from initial deployment through to ongoing service delivery. We will achieve this using a combination Module Db (Technical Solution) Page 3 of 1 Satisfaction Standardised & Efficient
of dedicated hosting and infrastructure solutions, shared service platforms (e.g. for payment processing) and COTS applications. Our solution also minimises the need for bespoke development, with only a very limited number of sub-systems, which are too specialised to source using COTS without overly complex customisation, being created as discrete bespoke implementations (outline designs for these are described at the end of this document). 6. The COTS components proposed will be configured with business logic to precisely meet the functional requirements specified by TfL. This is the level of configuration commonplace with the products we have selected - due to the nature of the markets they operate in. All software configuration will be carried out in accordance with the vendors guidelines, ensuring we are able to safely upgrade to new product versions over the term, while maintaining product support. 7. We will build the service system in accordance with Schedule 3 and Schedule 28 and to meet the requirements of the Scheme Orders and associated laws. [B1.1.4] [Z7.1.1] The ICT solution is designed to: [Z7.2.4] [Z7.2.5] [Z7.2.6] [Z7.2.7] [Z7.2.8] Follow industry standards of modular design and best practice, using COTS products - Reduce the number of components / technologies to simplify integration requirements Be highly configurable and parameter driven with a list of types and value ranges / sets made available to TfL [Z7.2.2] Enable better use of time and resource during implementation Allow us to better manage total cost of ownership Provide extensive search capability, including wildcard combinations [Z7.2.3] Meet the required levels of service standards, security (confidentiality), integrity, availability and capacity - Fully support automated exception alerting and management Provide timely access to data, information and functions on a need-toknow and least privilege basis in line with business rules Incorporate business and configuration rules that minimise manual intervention and data entry Have no single point of failure for critical parts of the system Incorporate automated monitoring to identify any system failure, including trend and pattern analysis for early alerting of potential issues Maximise re-use and minimise the impact of change - Efficiently upgradeable as required, in response to TfL policy changes, without detriment to the business Supporting the implementation of future system extensions which comply with agreed standards Cost effective Cost Reduction Standardised & Efficient Flexible & Scalable Module Db (Technical Solution) Page 4 of 1
Scalable to meet possible demand growth without a step change in investment, while retaining the flexibility to scale down as required. Combined solution: The combined solution will enable resource consolidation as many aspects of the solution design and implementation activities within the two Lots are similar, examples include: Messaging standards and the adapter patters Data centre design and implementation Server build specification 3 {Information Redacted} Common product configuration and support guides Service management design and development of operational procedures API design and implementation. As a consequence the combined management team providing governance and assurance will also be smaller than the standalone Lot totals. 4 {Information Redacted} 4.1.1 Testing and Assurance 8. Capita Assurance and Testing has a proven approach to the full end-to-end management of testing. Our process addresses all the key activities and deliverables needed for successful project delivery in a controlled manner and in line with ISO9001:2008. The key stages are: Standardised & Efficient Initiate Test Analyse Test Requirements Iterative Testing Construct Tests COTS Configuration Execute Tests Close Testing. 9. The test manager will undertake management of the project stakeholders throughout the work, and liaise with the support functions if they do not have direct control over these items. 4.1.2 Infrastructure Build 10. The approach to be followed will build on the high level design activities initiated in the Mobilisation phase. The high level design will be broken down into a number of detailed designs that will address each aspect of the infrastructure, servers, network, desktop services, and management tools. 11. The designs will be used to implement each environment in turn: Module Db (Technical Solution) Page 5 of 1
Integration Test Pre-Production Disaster Recovery Production and Training. 12. Each implementation configuration will be fully documented and the lessons learnt input into the overall design and build scripts. This progressively improves the design of both the infrastructure and the implementation approach resulting in a reliable consistent implementation. Module Db (Technical Solution) Page 6 of 1
4.1.3 Data Migration 13. Our approach to Data Migration will be based on experience from a number of high volume, high sensitivity migrations carried out for organisations; as diverse as UK police forces and UK Insurance Companies. We promote the developing maturity of Data Migration as an industry practice and follow the terminology and methodology espoused by the British Computer Society and described in their publication Practical Data Migration (John Morris 2006). 4.1.4 Security Combined solution: The combined data migration solution will create efficiencies through common migration and validation techniques and shared governance structures. Details are presented in 'Quality Module Ic Data Migration Combined'. 14. We will follow a risk based approach following HMG and ISO 27001 guidance. Detailed accreditation process will be agreed during dialogue with the accreditor. Insight Led Safe & Secure 15. In conforming to the Data Protection Act Capita can confirm that data held by the system will be held in and accessed from within the UK. All data centres in use and operating centres are UK based. [Z3.4.4b] 4.1.5 Service Management Combined solution: The combined security solution will see an improvement to quality and reduction in cost in in the following areas: Single ISO 27001 certification scope. Common processes and procedures Shared SIEM infrastructure and Security analysts Single set of security controls to address risks Shared risk assessment and security review scope Single point of engagement with TfL security team removing Reduced risk as cross lot dependencies will be managed within a single scope and contract. In each area implementation and operational savings can be realised through shared service or re-use. In addition cross lot risks are mitigated and TfL will only have one point of contact for all related security issues. Details are presented in 'Quality Module Dj Security Combined'. 16. We will deliver a service management model in line with ITILv3. The design of this service will follow a Capita standard 'Preparation for Service' methodology, updating existing policies and procedures to address the specific needs of TfL. 17. {Information Redacted} Module Db (Technical Solution) Page 7 of 1
Combined solution: The combined service management solution will see savings through: reduced overall training, shared resource and reporting. TfL will also benefit from having a single point of contact with the service provider and mitigate risks associated with activities that span both lots. Details are presented in 'Quality Module Dg Service Management Combined'. 4.2 Risks, Mitigations & Dependencies 18. We have a high level of confidence in our proposed solution and our Implementation Plan. Our governance and assurance methodologies include rigorous risk management; identifying, mitigating and monitoring risks. The table below provides visibility of some of the more notable technical risks assessed: ID Risk Mitigation 1 Third party dependencies delay programme - Dependencies on the third party supplier (e.g. the incumbent supplier) for data, information, resource or service fail to be met impacting the delivery time table. 2 Transition of service to live fails due to a third party or unforeseen event. 3 Desired performance levels not achieved - Incorrect sizing of the ICT infrastructure (server, network and storage) that could impact operational performance. 4 Fail to meet security standards -Solution fails to meet the Security standards required for the processing of evidential data and credit card payments. We will ensure that there are clear dependency requirements on third parties and schedule early engagement with them where possible. Extensive system and operational testing will be undertaken including the Simulated Operation and Service Transition. Back-out procedures and mechanisms will be agreed and tested prior to the service transition taking place. Undertaken network and storage sizing based on supplied metrics validated server sizing with key suppliers. Capita has and will continue to engage specialists in HMG and PCI standards to assure that the technology and procedures will address the business need. We will seek early engagement with the TfL accreditor to ensure appropriate and acceptable risk mitigation mechanisms are in place. 4.2.1 Dependencies Table 1 - Risks and Mitigations 19. During the Commercial dialogue meetings we reviewed the list of potential dependencies on TfL and agreed that a jointly developed statement would be included in our ITS Final Offer. This statement has been included within Quality Module Ib and Module Dc which in turn will form Schedule 28 within the contract Module Db (Technical Solution) Page 8 of 1
4.3 Ability to deliver 20. Capita employs the full range of skilled staff required to support the implementation teams in conjunction with our chosen COTS providers. This includes; over 800 employees skilled and experienced in applications design, development and testing and a further 370 skilled and employed in ICT infrastructure design, build and testing. Service Management will be delivered via ITIL certified staff, with over 350 employees certified to foundation level of ITIL (either version 2 or 3), and a further 42 staff certified in other ITIL disciplines. 21. {Information Redacted} 4.4 Licensing 22. Capita has proposed transferable 'Perpetual right to use' based licences for the majority of software. For those elements of our software solution to which TfL have access, Capita will put in place suitable licensing arrangements with the relevant third party suppliers to enable TfL to receive the Services in accordance with Clause 39 (Licensing of Intellectual Property Rights). Module Db (Technical Solution) Page 9 of 1
Appendix DbA Bespoke sub-systems While we have actively pursued a policy of building around COTS products, there are several functions required by TfL which are so specialised that we have been unable to identify viable COTS options for them. We believe it will be necessary to develop the following as bespoke sub-systems and a high level design for each of these is included below. {Information Redacted} Reimbursements Sub-system We will implement a Reimbursements Sub-system which allows approved external customers (Hospitals, London Fire Service, plus any others that may be added later) to authorise claims for reimbursement of charges incurred by individuals subject to agreed business rules. All reimbursement claims will be processed through the customer s Secure Online Account. [B7.1.2] [B7.1.3] {Information Redacted} The reimbursements application will be designed to be highly configurable, with system parameters held in a database. These will include a pre-defined list of reasons for a journey which will be pre-loaded with values that have been agreed by TfL prior to the sub-system being released to live operation. [B7.1.5] [B7.1.6] {Information Redacted} High Level Screens We will develop two sets of screens which are listed below. The first are the customer screens which are used to make a claim and report on claims made previously. The second are the administrative screens which will be used by Capita staff to implement data changes requested by TfL, or released to TfL staff to permit them to make the changes. Access to all screens will be dependent on the user logging into the system successfully and having a role which permits access. The reimbursements sub-system will apply an agreed set of business rules to validate all reimbursement claims against TfL s stated requirements before the claim can be authorised and paid. Any claim that violates one or more business rules will be rejected at the point of submission; it will not be possible to submit a claim that is not compliant with all agreed business rules. The reimbursements application will clearly display the reason(s) for any decision to reject the claim. [B7.1.9] [B7.1.14] [B7.1.15] [B7.1.16] [B7.1.17] {Information Redacted} All reimbursement claims will be validated against the record of charge payments made and no claim will be authorised unless it is accompanied by a valid proof that payment has been submitted (e.g. Receipt references and / or CC Auto Pay Charge Payment reference numbers). [B7.1.10] [B7.1.13] It will also check that the charge to which the reimbursement claim relates has not already been reimbursed or cancelled in any other way. [B7.1.11] [B7.1.12] Module Db (Technical Solution) Page 10 of 1
Information on the status of the charge in question will be retrieved from the Business Operations accounting systems via a web service function call. Screen Login using password(s) and other security checks [B7.1.2] Begin Reimbursement Claim [B7.1.2] [B7.1.3] Gather mandatory reimbursement claim data [B7.1.4] Specify one or more Charge Payments for the claim [B7.1.8] Submit claim and receive Validation Result [B7.1.9] If approved, value of claim is displayed [B7.1.18] If claim is rejected, reasons displayed [B7.1.16] [B7.1.17] List previous reimbursement claims [B7.1.21] Download details of a claim from displayed list [B7.1.22] Request full statement [B7.1.28] Add / remove approved customer [B7.1.1] Configuration of approved reasons for reimbursements [B7.1.5] [B7.1.6] [B7.1.7] Review claims by specified customer Logout Authorised User(s) (e.g. Hospital, Fire Service); TfL TfL TfL TfL, TfL Table 2 - Reimbursement Screens Back Office Send a Reimbursement Statement to a. This gives a full breakdown of all claims within a specified date range. [B7.1.28] {Information Redacted} Contravention Validation and Verification Checking (CVVC) Requirement Before issuing a Penalty Charge Notice, any potential contravention must first be manually verified. This is to prevent unfounded PCNs from being issued. Module Db (Technical Solution) Page 11 of 1
The automated systems can quite possibly misread a VRM, so human confirmation is necessary. To maximise confidence in the verification, each contravention must be independently verified by two operators. If they do not agree, a third operator is brought in to clarify the situation. {Information Redacted} Module Db (Technical Solution) Page 12 of 1
Appendix DbB Shared Systems With reference to Clause 6.2.3, and without prejudice to Clauses 45 (Security) and 49 (Information Governance), the following categories of Hardware, Software and Systems may not be dedicated to provision of the Services under this Agreement and may also be used in the provision of services to other clients of Capita and / or in the provision of services under the EOps Services Agreement: Networks Telephony (including IVR) Firewalls Storage Virtual Server Infrastructure Security Systems Finance System Knowledge Management System Service Desk Systems Management Tools Module Db (Technical Solution) Page 13 of 1